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. [x] All program rules and policies are set or established by the State or Territory. (If checked, skip to question 1.2.2.) b. [ ] 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: [ ] 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: ii. Sliding-fee scale is set by the: [ ] 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: [ ] 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: [ ] 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: [ ] 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: [ ] 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: 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] [ ] [ ] Describe: Who assists parents in locating child care (consumer education)? [x] [x] [x] [x] [ ] Describe: CCDF Activity CCDF Lead Agency TANF Agency Local Government Agencies CCR&R Other 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: The Lead Agency’s contracted child care resource and referral vendor’s scope of work addresses parent and family services including child care referral service, consumer education resources, referral feedback survey responsibility and referral follow-up expectations. The Lead Agency maintains rigorous oversight of CCDF administration by formalizing written agreements with entities such as Human Service Zones that handle eligibility determinations. These agreements specify the tasks to be performed, including training and supervision of eligibility workers, adherence to updated policies, and execution of eligibility determinations. The Lead Agency ensures that all tasks performed by Human Service Zones and Temporary Assistance for Needy Families (TANF) programs are in compliance with the Child Care and Development Fund (CCDF) requirements, as outlined in the North Dakota Century Code. The Century Code serves as the primary written "agreement" governing the responsibilities and tasks assigned to Human Service Zones. [ ] No. If no, describe: b. Schedule for completing tasks. [x] Yes. If yes, describe: The Lead Agency’s contracted child care resource and referral vendor assists parents in locating child care and providing consumer education on an as needed basis, providing a statewide, toll-free telephone number that is staffed Monday ￿ Friday, 8:00 a.m. ￿ 5:00 p.m., along with a general email address that parents can reach out to after hours. The vendor must assure that requests for child care referral services are responded to within 48 hours. Additionally, the Lead Agency maintains a child care referral database and consumer education website to serve parents and families 24/7. The Lead Agency ensures that Human Service Zones (HSZs) and TANF programs perform their required tasks in compliance with the North Dakota Century Code. While the Century Code does not establish specific timelines for completing tasks, it mandates that HSZs assist in the administration of various human services programs, including economic assistance and child care assistance, as outlined in North Dakota Century Code Chapter 50-01.1 and Chapter 50-35. HSZs are responsible for ensuring the effective and timely administration of these programs, which includes processing applications, providing services to eligible individuals, and maintaining program integrity. Although the Century Code requires HSZs to help administer these programs, the specific timelines for completing tasks are typically determined by the Lead Agency's policies and procedures. To ensure compliance with both state and federal requirements, the Department's Human Service Zone Accounting Manager, along with other designated officials, monitors the performance of these tasks. The Lead Agency oversees the activities of HSZs to ensure that all responsibilities are carried out efficiently and in accordance with the legal framework established by the state. [ ] No. If no, describe: c. Budget which itemizes categorical expenditures in accordance with CCDF requirements. [x] Yes. If yes, describe: The Lead Agency’s contracted child care resource and referral vendor receives CCDF funding to conduct child care referrals as part of their contract. The contracted vendor certifies that they have read and understand the 2 CFR Part 200 Informational Guide. The vendor submits a budget to the Lead Agency categorizing expenditures for services which is approved by the Lead Agency. The Lead Agency ensures compliance with Child Care and Development Fund (CCDF) requirements by requiring Human Service Zones and Temporary Assistance for Needy Families (TANF) programs to submit detailed budgets. These budgets must itemize categorical expenditures, including direct costs such as compensation, fringe benefits, and approved operating costs, as defined under North Dakota Century Code Chapter 50-01.1 and Chapter 50-35. The budgets are reviewed and approved by the Department's Human Service Zone Accounting Manager to ensure they align with the requirements. The Lead Agency also monitors these expenditures through a structured cost allocation plan, ensuring that all direct and indirect costs are appropriately categorized and reimbursed in compliance with state regulations [ ] No. If no, describe: d. Indicators or measures to assess performance of those agencies. [x] Yes. If yes, describe: The Lead Agency’s contracted child care resource and referral vendor completes a quarterly report and meets with the Lead Agency to discuss performance including number of referrals by type, number of referral feedback surveys completed, trends in care requests, etc. The Human Service Zones (HSZs) are responsible for administering Economic Assistance and Medicaid programs in accordance with the guidelines established by the North Dakota Department of Health and Human Services (ND HHS). HSZs are tasked with supervising and directing these programs, ensuring timely and accurate service delivery to the public. To meet these responsibilities, the HSZs adhere to the following processes: Timeliness and Program Accuracy: HSZs process program applications and reviews accurately, following program policies and adhering to defined timelines. Monitoring and Performance Management: HSZs monitor reports and data metrics to manage workload and performance effectively. Staff Performance Reviews: Regular check-ins with staff are conducted to review work performance and ensure adherence to program standards. These tasks are monitored by the Quality Control Team of Economic Assistance to ensure compliance with state and federal requirements and to maintain the overall integrity of the Child Care and Development Fund (CCDF) program. [ ] 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. The Lead Agency is required to complete a six-month contract monitoring checklist for the child care resource and referral contract that covers communication between parties, technical assistance, reimbursement requests, programmatic progress reports, client complaints regarding the contract, concerns with the entity’s ability to perform the scope of services outlined in the contract, and changes in key personnel. The Lead Agency also meets quarterly with the vendor to review programmatic progress. The Human Service Zones receive monthly reports to ensure the quality of their child care assistance cases. A quality control team reviews each case for accuracy and manages the correction of any errors found. Quarterly, the Human Service Zone directors and the Lead Agency leadership team meet to discuss caseloads, timeliness, workload, error rates, and new policies. This meeting provides an opportunity for an open discussion on any concerns with the Child Care Assistance program, and the eligibility determination process. Moreover, the team also has access to real-time dashboards that show work progress on child care assistance cases from application submission to the final determination of eligibility. These dashboards have the ability to drill down to the exact worker assigned to the application, providing clarity and transparency in the eligibility determination process. The Lead Agency has access to not only the workflow but also the integrated eligibility system where they can check case narration and understand how the case has been flowing from the initial application. The dashboards can also show the supervision of the individual eligibility worker as well as the other cases for that eligibility worker so if a trend from a specific Human Service Zone or worker is noticed it can be reviewed in its entirety. 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: