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] [ ] [x] [ ] Describe: CCDF Activity CCDF Lead Agency TANF Agency Local Government Agencies CCR&R Other Who assists parents in locating child care (consumer education)? [ ] [ ] [ ] [x] [ ] Describe: Who issues payments? [ ] [ ] [ ] [ ] [x] Describe: DHS/DFD contracts with a vendor to process and issue payments to providers through an electronic payment process. Who monitors licensed providers? [ ] [ ] [ ] [ ] [x] Describe: The Department of Children and Families (DCF), Office of Licensing is responsible for conducting inspections for license child care centers. CCDF Activity CCDF Lead Agency TANF Agency Local Government Agencies CCR&R Other Who monitors license-exempt providers? [ ] [ ] [ ] [x] [x] Describe: Child Care Resource and Referral (CCR&R) agencies are contracted to manage and monitor license- exempt Family Child Care and Approved Homes. The Department of Health (DOH) oversees license- exempt youth camps, and is responsible for monitoring them. 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: Written agreements are established which include a Statement or Scope of Work (SOW) detailing required components of the Agreement. The SOW clearly identifies the tasks to be performed pursuant to the Agreement, along with regulatory contractual language, responsibilities, and non-negotiable obligations. [ ] No. If no, describe: b. Schedule for completing tasks. [x] Yes. If yes, describe: A schedule or timeline for completing the SOW is a required component of the Agreement and is often part of the SOW itself or enumerated in the contracted agency’s roles and responsibilities pursuant to the Agreement, such as prescribed timeframes for delivery of services and/or reports. [ ] No. If no, describe: c. Budget which itemizes categorical expenditures in accordance with CCDF requirements. [x] Yes. If yes, describe: A Budget Information Form or equivalent budget document is a required component of the Agreement. The Budget form must be completed by the contracted agency and includes separate line items for the categories of Personnel/Fringe, Consultant/Professional Fees, Materials and Supplies, Facility Costs, Other miscellaneous items, General and Administrative Cost Allocation and Equipment. [ ] No. If no, describe: d. Indicators or measures to assess performance of those agencies. [x] Yes. If yes, describe: Contractual oversight is managed by various units, which consists of staff from operations, legal, contracts, fiscal and budget. The units work together to collectively provide oversight, monitor performance, and coordinate efforts to ensure compliance. Various instruments, tools, meetings, and activities are used to assess performance outcomes. DHS/DFD collective team from the respective units meet contracted vendors to discuss trends, best practices, challenges, and opportunities. Data and information collected from reports are reviewed to assess trends, and determine needs, gaps, and utilization levels, which are discussed with the vendors. Fiscal and programmatic focused meetings are held to review expenditures and service deliverables to measure and evaluate performance, as a way to monitor and ensure allowable use of funds and effectiveness of services. [ ] 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. DHS/DFD tracks the service providers’ compliance of its contractual conditions, terms and obligations included in the Standard Language Document (SLD) and program services contracts. Staff reviews service providers’ contracts, budgets, written procedures and expenditure reports. There are always at least three levels of internal controls. Contract, Program, Fiscal Supervisors and Managers are responsible for doing an assessment and thorough review of budgets, modifications and expenditure reports. 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: