1.2 CCDF Policy Decision Authority

The Lead Agency has broad authority to administer (i.e., establish rules) and operate (i.e., implement activities) the CCDF program through other governmental, non-governmental, or public or private local agencies as long as the Lead Agency retains overall responsibility for the administration of the program. Administrative and implementation responsibilities undertaken by agencies other than the Lead Agency must be governed by written agreements that specify the mutual roles and responsibilities of the Lead Agency and other agencies in meeting the program requirements. 1.2.1 Entity establishing CCDF program rules Which of the following CCDF program rules and policies are administered (i.e., set or established) at the State or Territory level or local level? Identify whether CCDF program rules and policies are established by the State or Territory (even if operated locally) or whether the CCDF policies or rules are established by local entities, such as counties or workforce boards. Check one of the following: a. [ ] All program rules and policies are set or established by the State or Territory. (If checked, skip to question 1.2.2.) b. [x] Some or all program rules and policies are set or established by local entities or agencies. If checked, indicate which entities establish the following policies. Check all that apply: i. Eligibility rules and policies (e.g., income limits) are set by the: [x] State or Territory. [x] Local entity (e.g., counties, workforce boards, early learning coalitions). [x] Other. Identify the entity and describe the policies the entity can set: State Smart Start funds used for subsidized child care may be counted for CCDF Match and Maintenance of Effort in cases where the family income is at or below the 85% of the State Median Income and the reason for care meets CCDF requirements. Some Smart Start partnerships may set enhanced eligibility criteria for Smart Start funds used for subsidized child care. This is determined at the local level. The Social Services Commission of the Division of Social Services promulgates rules for the Subsidized Child Care Assistance program. ii. Sliding-fee scale is set by the: [x] State or Territory. [ ] Local entity (e.g., counties, workforce boards, early learning coalitions). [ ] Other. Identify the entity and describe the policies the entity can set: iii. Payment rates and payment policies are set by the: [x] State or Territory. [ ] Local entity (e.g., counties, workforce boards, early learning coalitions). [ ] Other. Identify the entity and describe the policies the entity can set: iv. Licensing standards and processes are set by the: [x] State or Territory. [ ] Local entity (e.g., counties, workforce boards, early learning coalitions). [ ] Other. Identify the entity and describe the policies the entity can set: v. Standards and monitoring processes for license-exempt providers are set by the: [x] State or Territory. [ ] Local entity (e.g., counties, workforce boards, early learning coalitions). [ ] Other. Identify the entity and describe the policies the entity can set: vi. Quality improvement activities, including QIS, are set by the: [x] State or Territory. [ ] Local entity (e.g., counties, workforce boards, early learning coalitions). [ ] Other. Identify the entity and describe the policies the entity can set: vii. Other. List and describe any other program rules and policies that are set at a level other than the State or Territory level: With the exception of waiting list policies, all other rules and policies are established by the State. Session Law 2011-145 adopted policies improving the quality of child care for children receiving subsidy. Child care subsidies are paid only to three-, four-, and five-star programs. 1.2.2 Entities implementing CCDF services The Lead Agency has broad authority to operate (i.e., implement activities) through other agencies, as long as it retains overall responsibility for CCDF. Complete the table below to identify which entity(ies) implements or performs CCDF services. Check the box(es) to indicate which entity(ies) implement or perform CCDF services. CCDF Activity CCDF Lead Agency TANF Agency Local Government Agencies CCR&R Other Who conducts eligibility determinations? [ ] [ ] [x] [x] [ ] Describe: Who assists parents in locating child care (consumer education)? [x] [ ] [x] [x] [x] Describe: Smart Start also called NC Partnership for Children Who issues payments? [x] [ ] [ ] [ ] [ ] Describe: Who monitors licensed providers? [x] [ ] [ ] [ ] [ ] Describe: Who monitors license-exempt providers? [x] [ ] [ ] [ ] [ ] Describe: Who operates the quality improvement activities? [x] [ ] [ ] [ ] [ ] Describe: 1.2.3 Information systems availability For any activities performed by agencies other than the Lead Agency as reported above in 1.2.1 and 1.2.2, identify the processes the Lead Agency uses to oversee and monitor CCDF administration and implementation activities to retain overall responsibility for the CCDF program. Check and describe how the Lead Agency includes in its written agreements the required elements. Note: The contents of the written agreement may vary based on the role the agency is asked to assume or type of project but must include, at a minimum, the elements below. a. Tasks to be performed. [x] Yes. If yes, describe: DCDEE contracts include clear scopes of work describing the activities to be performed and the specific performance requirements. [ ] No. If no, describe: b. Schedule for completing tasks. [x] Yes. If yes, describe: Each contract denotes an effective period which includes an effective date and termination date. Expectations are shared in the contract for activities to be completed within the effective period of the contract with the option to extend, if mutually agreed upon, through a written amendment. [ ] No. If no, describe: c. Budget which itemizes categorical expenditures in accordance with CCDF requirements. [x] Yes. If yes, describe: Formal contracts require the contractor to submit a line item budget with descriptions of categorical expenditures and amounts. [ ] No. If no, describe: d. Indicators or measures to assess performance of those agencies. [x] Yes. If yes, describe: Contracts include performance requirements in the form of outcomes and outputs. The performance requirements set are specific, measurable, achievable, relevant and time-bound (SMART). [ ] No. If no, describe: e. In addition to the written agreements identified above, describe any other monitoring and auditing processes used to oversee CCDF administration. NC DCDEE's use of CCDF is reviewed every year by the NC Department of Health and Human Services to ensure effective internal controls for overall administration of these funds. For activities funded with CCDF quality dollars, NC DCDEE's Center of Excellence committee reviews and evaluates proposed activities. The committee ensures that all funded proposals reflect the goals of NC DCDEE, comply with all CCDF regulations, have clear budgets, scopes of work, and measurable outcomes. Formal contracts stipulate the services to be rendered by the contractor; outline specific budget line items; and require assurances/certifications that funding will be used for approved purposes. NC DCDEE follows a comprehensive written annual subrecipient monitoring plan to assess contractor compliance with all fiscal and programmatic requirements. Contractors submit monthly financial status reports. These reports are reviewed by NC DCDEE contract administrators before reimbursement to review activities and approve expenditures. An annual desk review and risk assessment is performed by the lead monitoring coordinator. An internal control questionnaire is completed by the contractor to report staffing patterns, programmatic supervision, service delivery and management control systems. Once the desk review and internal control questionnaire are completed and reviewed, DCDEE's monitoring and compliance unit schedules on-site visit or desk monitoring for financial assistance contracts and any other contracts selected by the DCDEE's monitoring team. The monitoring team conducts contract programmatic and fiscal reviews per federal guidelines. The results of the monitoring are presented in a written report to contractors and includes any findings or corrective actions. Corrective actions are documented and tracked until completion. For child care subsidy, NC DCDEE staff conduct on-going monitoring related to 1) local administration of the eligibility processes and 2) child care provider attendance documentation and billing. Monitoring of each local purchasing agency administering the subsidized child care program is completed on a three-year cycle. A checklist is used to review case records and documentation. A written monitoring report is provided to the local purchasing agency. A score of 95% is in compliance. When errors are found in local agency monitoring, the errors are corrected from the point of discovery to the point of origin. Child care providers are monitored at the rate of approximately 400 per year. When in compliance, the child care provider receives the checklist completed by the monitor. If the child care provider is out of compliance with parameters set in Subsidized Child Care Rules, a Determination of Non-Compliance is issued. 1.2.4 Certification of shareable information systems. Does the Lead Agency certify that to the extent practicable and appropriate, any code or software for child care information systems or information technology for which a Lead Agency or other agency expends CCDF funds to develop is made available to other public agencies? This includes public agencies in other States for their use in administering child care or related programs. [x] Yes. [ ] No. If no, describe: 1.2.5 Confidential and personally identifiable information Certification of policies to protect confidential and personally identifiable information Does the Lead Agency certify that it has policies in place related to the use and disclosure of confidential and personally identifiable information about children and families receiving CCDF assistance and child care providers receiving CCDF funds? [x] Yes. [ ] No. If no, describe: