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: CCDF Activity CCDF Lead Agency TANF Agency Local Government Agencies CCR&R Other Who assists parents in locating child care (consumer education)? [x] [ ] [ ] [x] [ ] Describe: Who issues payments? [x] [ ] [ ] [ ] [ ] Describe: Who monitors licensed providers? [ ] [ ] [ ] [ ] [x] Describe: Utah Department of Health and Human Services, Child Care Licensing, monitors licensed providers. Who monitors license-exempt providers? [ ] [ ] [ ] [ ] [x] Describe: Utah Department of Health and Human Services, Child Care Licensing, monitors license- exempt providers. Who operates the quality improvement activities? [x] [ ] [ ] [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 contracts with six regional child care resource and referral agencies (Care About Childcare or CAC agencies) covering all counties in Utah as well as the Utah Department of Health and Human Services’ Child Care Licensing program. The six CAC agency contracts are identical with regards to assisting parents in locating child care. They are all written agreements with explicit requirements to assist consumers seeking information about the availability of child care, individualized to meet the child care needs of the consumer. The tasks include locating child care providers and other services that support families with young children, which may include child care subsidies and other programs. Tasks related to quality improvement center around the Child Care Quality System (CCQS) as well as professional development and include providing technical assistance to all child care programs eligible to participate in CCQS in their service area, teaching professional development courses, assisting with CCQS applications and collaborating with the Lead Agency to complete program observations and quality improvement coaching within the CCQS system. The Lead Agency has a contract with Utah’s Department of Health and Human Services to monitor license and license-exempt providers. This written agreement includes a scope of work laying out the responsibilities of the Child Care Licensing program, including tasks around the following topics: licensing, provider inspections, complaints, technical assistance, background checks, monitoring of health and safety inspections and tasks around providers not subject to licensing requirements. [ ] No. If no, describe: b. Schedule for completing tasks. [x] Yes. If yes, describe: The CAC and Child Care Licensing contracts include schedules for completing the tasks laid out in the scope of work where relevant. For example, CAC agencies are required to offer a certain number of professional development courses quarterly depending on the size of their area. With regards to consumer education for parents, the CAC contract agreements require them to offer phone services 35 hours per week, 52 weeks per year. They also assist families with navigating the Care About Childcare referral website. In the Child Care Licensing contract, there are schedules around when to complete and monitor inspections. For example, Child Care Licensing must perform at least one announced and unannounced on-site inspection for all providers and provider facility types annually as a requirement for providers to receive CCDF funds. The annual inspection at provider licensing renewal is always an announced inspection. All providers shall be notified up to 60 days in advance of the annual inspection. [ ] No. If no, describe: c. Budget which itemizes categorical expenditures in accordance with CCDF requirements. [x] Yes. If yes, describe: All contracts include budget expenditures with indirect expenses, direct administrative expenses and direct program expenses. [ ] No. If no, describe: d. Indicators or measures to assess performance of those agencies. [x] Yes. If yes, describe: Measures are utilized to assess the performance of the CAC agencies in the following areas: Child Care Quality System measures, Market Rate Survey and whole record updates, Child Development Associate (CDA) credential cohorts, observations, technical assistance, outreach events, phone services, coaching, professional development course offerings and child care access and capacity building. Measures are utilized to assess the performance of the Child Care Licensing program in the following areas: licensing, provider inspections, complaints, databases, technical assistance, interdepartmental communication and collaboration, background checks, license-exempt requirements, provider outreach, collecting and storing required tax identification information and monitoring health and safety inspections. [ ] 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 utilizes a contract monitoring checklist to monitor the activities of the CAC agencies and the Child Care Licensing program. This checklist is used to conduct desk audits and onsite monitoring to audit the program. If a program does not comply with the requirements of the contract, the Lead Agency may terminate the contract after efforts are made to bring the program into compliance. In addition to program monitoring, the Lead Agency engages in fiscal monitoring of the agreements. The agencies are required to submit invoices with proper documentation. Each invoice is reviewed by two members of the Lead Agency staff prior to releasing payment. The Lead Agency meets monthly with the CAC agencies to ensure that programs are administered consistently throughout the state and that all providers have access to services. The Lead Agency reviews contracts annually with the contractors to ensure overall compliance and to identify any changes or amendments needed. 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: