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Child Care and Development Fund (CCDF) Plan For Louisiana FFY 2012-2013 PART 1 ADMINISTRATION 1.1 Contact Information The agency shown below has been designated by the Chief Executive Officer of the State (or Territory), to represent the State (or Territory) as the Lead Agency. The Lead Agency agrees to administer the program in accordance with applicable Federal laws and regulations and the provisions of this Plan, including the assurances and certifications appended hereto.(658D, 658E) 1.1.1 Who is the Lead Agency designated to administer the CCDF program? Identify the Lead Agency and Lead Agency''s Chief Executive Officer designated by the State/Territory. ACF will send official grant correspondence such as grant awards, grant adjustments, Plan approvals and disallowance notifications to the designated contact identified here. (658D(a), §98.10) Name of Lead Agency: Department of Children and Family Services (DCFS) Address of Lead Agency: P. O. Box 3776, Baton Rouge, LA 70821 Name and Title of the Lead Agency's Chief Executive Officer: Ruth Johnson, Secretary Phone Number: 225-342-7475 Fax Number: 225-342-8636 E-Mail Address: ruth.johnson@la.gov Web Address for Lead Agency (if any): www.dcfs.louisiana.gov 1.1.2 Who is the CCDF administrator? Identify the CCDF administrator designated by the Lead Agency, the day-to-day contact, with responsibility for administering the State/Territory's CCDF program. ACF will send programmatic communications such as program announcements, program instructions, and data collection instructions to the designated contact identified here. If there is more than one designated contact with equal or shared responsibility for administering the CCDF program, please identify the co-administrator or entity with administrative responsibilities and include contact information. (§§98.16(a) and (c)(1)) a) Contact Information for CCDF Administrator: Name of CCDF Administrator: Gail B. Kelso Title of CCDF Administrator:Director, Child Development and Early Learning Section, Louisiana Department of Children and Family Services (DCFS) Address of CCDF Administrator: P. O. Box 94065, Baton Rouge, LA 70804-9065 Phone Number: 225-342-0694 Fax Number: 225-219-4248 E-Mail Address: gail.kelso@la.gov Web Address for Lead Agency (if any): www.dcfs.louisiana.gov Phone Number for CCDF program information (for the public) (if any): 225-342-2342 Web Address for CCDF program (for the public) (if any): www.childcare.la.gov Web Address for CCDF program policy manual (if any): http://stellent:8080/LADSS/outlineParts.do?agency=OFS&chapterID=6 Web Address for CCDF program administrative rules (if any):www.doa.louisiana.gov/osr/lac/books.htm b) Contact Information for CCDF Co-Administrator (if applicable): Name of CCDF Co-Administrator: Title of CCDF Co-Administrator: Address of CCDF Co-Administrator: Phone Number: Fax Number: E-Mail Address: Description of the role of the Co-Administrator: 1.2 Estimated Funding 1.2.1 What is your expected level of funding for the first year of the FY 2012 - FY 2013 plan period? The Lead Agency estimates that the following amounts will be available for child care services and related activities during the 1-year period from October 1, 2011 through September 30, 2012. (§98.13(a)). FY 2012 Federal CCDF allocation (Discretionary, Mandatory and Matching): $ 78,500,772 Federal TANF Transfer to CCDF: $ 4,202,500 Direct Federal TANF Spending on Child Care: $ 81,600,000 State CCDF Maintenance-of-Effort Funds: $ 5,219,488 State Matching Funds: $ 14,450,042 Reminder - Lead Agencies are reminded that not more than 5 percent of the aggregate CCDF funds, including federal funds and required State Matching funds, shall be expended on administration costs (§98.52) once all FY2012 funds have been liquidated. State Maintenance-of-Effort funds are not subject to this limitation. 1.2.2 Which of the following funds does the Lead Agency intend to use to meet the CCDF Matching and maintenance-of-effort (MOE) requirements described in 98.53(e) and 98.53(h)? Check all that apply. Territories not required to meet CCDF Matching and MOE requirements should mark N/A here Note:The Lead Agency must check at least public and/or private funds as matching, even if pre-kindergarten (pre-k) funds also will be used. Public funds to meet the CCDF Matching Fund requirement. Public funds may include any general revenue funds, county or other local public funds, State/Territory-specific funds (tobacco tax, lottery), or any other public funds. If checked, identify source of funds: DCFS will use the refunded portion of the LA School Readiness Tax Credit (SRTC) as state match in the CCDF program which is the amount refunded to the taxpayer after being applied against any tax liability. The Matching funds will be used to finance subsidy payments. The SRTCs are a comprehensive effort to support Quality Start by offering incentives to families, child care providers, child care professionals, and employees through state tax credits that vary based on the quality of the child care setting and the experience and education of child care staff as determined by Quality Start. DCFS will also use the refunded portion of the Louisiana Child Care Tax Credit as state match in the CCDF program. This refundable tax credit is available for child care expenses for which a Louisiana resident is eligible pursuant to the federal income tax credit. The taxpayer must meet the same tests for earned income, qualifying dependents, and qualifying expenses as required by the Internal Revenue Service. This credit is equal to a percentage of the federal credit for child care expenses claimed on the resident individual's federal tax return based on their federal adjusted gross income. The Louisiana Child Care Tax Credit is refundable only for families with earned income of less than $25,000 per year. If known, identify the estimated amount of public funds the Lead Agency will receive: $10,285,117 Private Donated Funds to meet the CCDF Matching Fund requirement. Only private received by the designated entities or by the Lead Agency may be counted for match purposes. ( 98.53(f)) If checked, are those funds: donated directly to the State? donated to a separate entity(ies) designated to receive private donated funds? If checked, identify the number of entities designated to receive private donated funds and provide name, address, contact and type: If known, identify the estimated amount of private donated funds the Lead Agency will receive: State expenditures for Pre-K programs to meet the CCDF Matching Funds requirement. If checked, provide the estimated percentage of Matching Fund requirement that will be met with pre-k expenditures ( not to exceed 30%): 30% If percentage is more than 10% of the Matching fund requirement, describe how the State will coordinate its pre-k and child care services: Ongoing coordination is documented through the School Readiness Report issued to the Louisiana Legislature each March 1 and through frequent interaction as members of the State Advisory Council. If known, identify the estimated amount of pre-k funds the Lead Agency will receive for Matching Funds requirement: $4,407,907 Describe the Lead Agency efforts to ensure that pre-k programs meet the needs of working parents: The Local Education Agency (LEA) must provide written notice of the availability of before and after school enrichment activities to all parents of children enrolled in pre-kindergarten programs in the system or partial system. The precise start and end times of the full day program shall be determined by the LEA and may vary at different school sites; however, those times shall be based on a needs assessment of the community served. The needs assessment must be kept on file at the school site. • The LEA must make before and after school enrichment activities services available for all children enrolled in the school system’s or partial system’s pre-kindergarten classes. These services shall be provided at no cost to parents/guardians of children attending pre-kindergarten through LA 4 Prekindergarten Program funds and may be provided for other children (living in the school district and enrolled in the LA 4 Pre-kindergarten Program) at no cost or may be provided for a fee that is not more than the average per pupil cost excluding the cost of providing space and utilities. Before and after school enrichment activity services are components of the total pre-kindergarten program, and therefore, shall support positive child development. The environment shall provide a variety of appropriate activities for children to self-select. Before and after school enrichment activity services for pre-kindergarten age children may be coordinated with existing before/after enrichment activities programs funded by other sources. • If before and after school enrichment activities are provided on the school campus, pre-kindergarten children shall be cared for in rooms with pre-kindergarten or kindergarten age children as long as the adult to child ratio does not exceed 1 to 10 and the group size is not greater than 20 children. • If the before and after school enrichment activities site is located on the school campus, the person supervising personnel during the before and after school enrichment activities portion of the day shall be either a school administrator or a teacher having the same qualifications as the pre-kindergarten teacher (see Section II) and be present at the before and after school enrichment activities site at all times when pre-kindergarten children are present. • The entire site shall be checked after the last child departs to ensure that no child is left unattended at the site. Documentation shall include date, time, and signature of staff conducting the visual check and shall be reviewed periodically and signed/initialed by the school principal (or the highest authority) to ensure that the procedure is consistently followed. Transportation: Transportation services shall be made available to all pre-kindergarten students to ensure that each child is present for the educational/instructional portion of the day and summer programs. Transportation to and from the before and after school enrichment activities site may be provided. • Families of children eligible for free or reduced price meals may not be charged transportation fees for transportation for the instructional portion of the day. • Field trips are part of the instructional program and shall not be considered as transportation costs. The Department also contracts with Board of Elementary and Secondary Education (BESE)-regulated (public schools) or approved through Brumfield vs Dodd (non-public schools) to provide before and after school care and summer programs. These school settings allow parents the confidence to have their pre-kindergarten aged children cared for at one location throughout the school and after school day. State expenditures for Pre-K programs to meet the CCDF Maintenance of Effort (MOE) requirements. If checked, The Lead Agency assures that its level of effort in full-day/full-year child care services has not been reduced, pursuant to 98.53(h)(1). Estimated percentage of MOE Fund requirement that will be met with pre-k expenditures ( not to exceed 20%): 20% If percentage is more than 10% of the MOE fund requirement, describe how the State will coordinate its pre-k and child care services to expand the availability of child care: Act 876 of the 2008 Legislative Session enables the incremental expansion of the LA 4 program from the current 185% of the federal poverty level to no income restriction in the 2013-2014 school year, when all four-year olds who want pre-k, regardless of income, can be served. The legislation also encourages, but does not require, collaboration with community providers for the provision of LA 4 classrooms in non-school settings, including child care centers and Head Start programs, while maintaining LA 4’s high quality standards. Beginning with the 2009-2010 school year, at least 10% of the total increase in LA 4 funding in excess of the 2008-2009 school year must be used to provide LA 4 classes through collaborative agreements with non-school system providers of early childhood education including child care centers and Head Start programs. Act 876 requires the school system to explore all feasible supports to enable non-school system providers of early childhood education to meet the requirements of the LA 4 program, have a detailed plan that includes collaboration with non-school system providers, have at least quarterly meetings with child care providers and federal programs such as Head Start to discuss common issues and to coordinate programs to ensure that high quality early childhood education programs are available and to address the needs of working parents including before and after school, holiday, and summer care. If known, identify the estimated amount of pre-k funds the Lead Agency will receive for MOE Fund requirement: $1,043,897 Describe the Lead Agency efforts to ensure that pre-k programs meet the needs of working parents: The LA 4 Pre-K Program can be offered in Class A licensed centers that have a four star rating in Quality Start. The centers will continue to provide full day/full year child care services for working families. These before and after school day services will still be provided using CCDF funds where appropriate. The Department also contracts with Board of Elementary and Secondary Education (BESE)-regulated (public schools) or approved through Brumfield vs Dodd (non-public schools) to provide before and after school care and summer programs. These school settings allow parents the confidence to have their children cared for at one location throughout the school and after school day. 1.2.3 Describe the activities for which quality funds (including targeted quality funds for infants and toddlers, school-age children, and resource and referral) will be used in FY 2012. In as much detail possible, list the activities that will be funded, the estimated amount of CCDF quality funds that will be used for each activity, and how these activities relate to the Lead Agency's overall goal of improving the quality of child care for low-income children. Activity Estimated Amount of CCDF Quality Funds (indicate if targeted funds will be used) Purpose Projected Impact and Anticipated Results 1. Child Care Resource and Referral 1. Child Care Resource 1. Child Care Resource and Referral: targeted $8 and Referral: Consumer million (2 years) education and referral, 2. School Age Children provider training and 2. School Age Children: technical assistance to 3. Infants and Toddlers targeted $50,000 (2 improve licensing years) compliance and child 4. LA Pathways Child care quality as assessed Care Career 3. Infants and Toddlers: by QRIS Development System targeted $200,000 and Scholarship (2 years) 2. School Age Children: Support for start up of LA 5. QRIS Assessment and 4. LA Pathways Child Center for Afterschool Early Childhood Mental Care Career Learning Health Consultation Development System and Scholarship: $1.6 3. Infants and Toddlers: million (2 years) Improve the quality of care provided to infant 5. QRIS Assessment and toddler workforce Early Childhood Mental Health Consultation: $2 4. LA Pathways Child million (2 years) Care Career Development System and Scholarship: Provide registry, evaluation of staff qualifications for QRIS and tax credit, and financial aid for CDA, NAC, and college level education for those working in child care 5. QRIS Assessment and Early Childhood Mental Health Consultation: Conduct Environment Rating Scale (ERS) Assessments in centers participating in QRIS, continued support to staff of children's socialemotional development in centers participating in QRIS 1. Child Care Resource and Referral: All Louisiana children will have access to child care that meets basic health and safety measures. In addition, child care centers especially those serving low-income children will have supports to improve quality through these services. 2. School-Age Children: School-age programs in child care centers and other settings will have the support of the Center to establish standards and to access unique training specifically for SA staff development 3. Infants and Toddlers: Continue support of ARRA funded Beginning with Babies project through webinars and online support and implementation of training on revised Early Learning Guidelines 4. LA Pathways Child Care Career Development System and Scholarship: Continued support of workforce development and quality improvement 5. QRIS Assessment and Early Childhood Mental Health Consultation: Continued support of center improvement through objective program assessment for QRIS specifically targeted to centers serving low-income children and children in foster care 1.2.4 Will the Lead Agency distribute quality funds to counties or local entities? No, the Lead Agency will manage all quality funds directly Yes, the Lead Agency will manage some quality funds directly and distribute a portion to local entities. Estimated amount or percentage to be distributed to localities Yes, all quality funds will be distributed to local entities Other. Describe: 1.3 CCDF Program Integrity and Accountability Program integrity is defined to include efforts that ensure effective internal controls over the administration of CCDF funds. The Lead Agency is responsible for monitoring programs and services, ensuring compliance with the rules of the program, promulgating rules and regulations to govern the overall administration of the plan and oversee the expenditure of funds by sub-grantees and contractors. (§ 98.11(b)) Accountability measures should address administrative error, which includes unintentional agency error, as well as address program violations, both unintentional and intentional, that may or may not result in further action by the Lead Agency, including those cases suspected of and/or prosecuted for fraud. 1.3.1. Describe the strategies the Lead Agency will utilize to ensure effective internal controls are in place. The description of internal controls may include, but is not limited to a description of processes to ensure sound fiscal management, to identify areas of risk or to establish regular evaluation of control activities. Describe: The Case Review System provides an automated and efficient method for reviewing cases for any program and replaces manual case reading summaries when conducting case validations. Case readings are important in that they may find where the most error-prone areas of the program are. The Case Review System can be used to obtain important statistical reports notating error trends and actions taken to correct deficiencies, if needed; errors that may cause improper payments; and corrective measures to prevent incorrect or ineligible benefits. Fifteen percent (15%) of all Child Care Assistance Program (CCAP) cases must be reviewed. Case readings are completed by first level and upper level Supervisory staff and Regional Program Coordinators. Social Service Analyst Supervisors (SSAS) must conduct 40 formal case readings per month of which a percentage must be CCAP cases and Regional Program Coordinators must conduct 120 formal case readings, 30 of which must be CCAP case readings per month. Ineligible benefits or overpayments are reported to the Fraud and Recovery Unit for recovery from the person responsible for the ineligible benefits or overpayment if the claim is an: • Inadvertent Household Error Claim and is $35 or more for participating clients/providers or $250 or more for non-participating clients/providers. • Administrative Error Claim and is $35 or more for participating clients/providers or $250 or more for non-participating clients/providers. The Fraud and Recovery Unit must establish a claim on any overpayment or ineligible payment received regarding a recipient or provider of Child Care Assistance unless the claim is a nonfraud claim and is less than $35 for participating clients/providers and/or less than $250 for non-participating clients/providers. The client and provider are contacted to discuss the overpayment. The client or provider may make a lump sum payment. A payment schedule may be negotiated with the recipient or provider. Repayment plans for providers are usually negotiated for three or six months. In no instance will the repayment plan for a currently participating provider extend more than 12 months. The Department contracts with non-profit organizations, Child Care Resource and Referral (CCR&R) Agencies, colleges, individuals, and universities. A Request for Proposal (RFP) which outlines the terms and conditions is issued by the Department to solicit proposals from qualified prospective contractors. The RFP is advertised including a description of the service desired, the contracting agency, where and how the RFP may be obtained, where proposals are to be sent, information regarding a proposer’s conference if one will be held, the date and time proposals must be received, and the date, time, and the place proposals will be accepted. All proposals are reviewed and evaluated by a Proposal Review Committee. Some contracts may be awarded by the Department without the necessity of competitive bidding or competitive negotiation. Negotiation for these services is completed by the Assistant Secretary/Director of the appropriate office within the Department or by a designee. Compensation must be determined in writing to be fair and reasonable to the State. Contracts are awarded for periods of not more than three years (36 months). The Department monitors contractors to ensure compliance with performance standards. Annual on-site visits are conducted to evaluate performance, identify any problem areas, and provide practical support. Invoices and Measurement of Success (MOS) reports submitted by contractors are reviewed for compliance and to ensure funds are expended appropriately. Contracts are amended if circumstances change. 1.3.2. Describe the processes the Lead Agency will use to monitor all subrecipients.Lead Agencies that use other governmental or non-governmental subrecipients to administer the program must have written agreements in place outlining roles and responsibilities for meeting CCDF requirements. (98.11 (a) (3)) Definition: A sub-recipient (including a sub-contractor and or sub-grantee) is a nonFederal entity that expends Federal awards (contract or grant) received from another entity to carry out a Federal program, but does not include a vendor nor does it include an individual who is a beneficiary of such a program. OMB Circular A-133 Section 210 provides additional information on the characteristics of a sub-recipient and vendor (http://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2010). The description of monitoring may include, but is not limited to, a discussion of written agreements, fiscal management, review of policies and procedures to ensure compliance with CCDF regulations, monitoring/auditing contractors or grantees to ensure that eligible children are served and eligibility documentation is verified, and establishing performance indicators or measures related to improper payments. Describe: N/A 1.3.3. Describe the activities the Lead Agency will have in place to identify program violations and administrative error to ensure program integrity using the chart below. Program violations may include intentional and unintentional client and/or provider violations as defined by the Lead Agency. Administrative error refers to areas identified through the Error Rate Review process (98.100). Check which activities, if any, the Lead Agency has chosen to conduct. Type of Activity Share/match data from other programs (e.g. TANF, Child and Adult Care Food Program (CACFP), Food and Nutrition Service (FNS), Medicaid)) Share/match data from other databases (e.g., State Directory of New Hires, Social Security Administration, Public Assistance Reporting Information System (PARIS)) Run system reports that flag errors (include types) Review of attendance or billing records Audit provider records Conduct quality control or quality assurance reviews Conduct on-site visits to providers or sub-recipients to review attendance or enrollment documents Conduct supervisory staff reviews Conduct data mining to identify trends Train staff on policy and/or audits Identify Program Violations Identify Administrative Error Other. Describe DCFS proposes to have the Compliance Services (CS) unit of the Bureau of Audit and Compliance Services division review attendance log sheets received from Licensing staff inspections and Child Care Resource and Referral (CCR&R) Agency contract staff visits to ensure that the information provided corresponds to the information reported from Tracking of Time Services (TOTS). Any discrepancies indicating possible fraud will be referred to the Fraud and Recovery (F&R) unit for investigation. None For any option the Lead Agency checked in the chart above other than none, please describe: Low-Income Child Care (LI-CC) case certification periods may be assigned to align with the Supplemental Nutrition Assistance Program (SNAP) certification or SNAP Simplified Report month. The redetermination date may be less than the maximum allowable in order for the Child Care Assistance Program (CCAP) redetermination to occur in the same month that the next SNAP redetermination or SNAP Simplified Report is due. The total certification period must not exceed 12 months. The OFS-FA Web System Clearance Summary automatically completes clearances that are normally completed manually. Clearance Summary helps to reduce the error rate. This system is reviewed at application and redetermination. Clearance Summary interfaces with the Work Number, Social Security and Veteran's Administration, Louisiana Quarterly Wage, Louisiana Unemployment Compensation System, Child Support Enforcement System, Federal Department of Defense Employment, Louisiana Prisoner Match System, and public assistance programs from other states. The Public Assistance Reporting System (PARIS) reports duplicate participation for SNAP, TANF, and Medicaid in all 50 states. The Clearance Summary checks PARIS – interstate matches on Public Assistance at application, redetermination, and Simplified Reporting (SR). PARIS files provide information on public assistance participation in 49 other states, the District of Columbia, and Puerto Rico. REVIEW OF ATTENDANCE OR BILLING RECORDS: The Department has implemented an automated time and attendance process called Tracking of Time Services (TOTS). TOTS uses biometric technology, primarily finger imaging. TOTS was piloted in one region of the state effective July 1, 2010 and was implemented statewide on August 1, 2010. This automated process submits attendance electronically to the Department for each eligible child's attendance. TOTS reduces manual processes, saves time for staff and providers, and improves the frequency and accuracy of payments to providers. Providers and CCAP participants are required to participate in TOTS to receive CCAP payments and benefits for child care services. Quality Control (QC) Reviews are conducted every three years as required by federal regulations set forth by the Administration for Children and Families (ACF). Louisiana baseline reviews were conducted in Federal Fiscal Year 2011. The Case Review System provides an automated and efficient method for reviewing cases for any program and replaces manual case reading summaries when conducting case validations. Case readings are important in that they may find where the most error-prone areas of the program are. The Case Review System can be used to obtain important statistical reports notating error trends and actions taken to correct deficiencies, if needed; errors that may cause improper payments; and corrective measures to prevent incorrect or ineligible benefits. Fifteen percent (15%) of all CCAP cases must be reviewed. Case readings are completed by first level and upper level Supervisory staff and Regional Program Coordinators. Social Service Analyst Supervisors (SSAS) must conduct 40 formal case readings per month of which a percentage must be CCAP cases and Regional Program Coordinators must conduct 120 formal case readings, 30 of which must be CCAP case readings per month. Child Care Resource and Referral Agencies (CCR&Rs) were also trained and contracted to assist child care providers on how to properly use the TOTS system, which included the TOTS Provider Portal and reports within the portal. The Department also conducted training sessions in April 2010 and October 2010 for the Regional Program Coordinators, first level supervisory staff, and other field staff on new CCAP policy and procedures prior to and after the implementation of TOTS. The Department conducted training sessions for child care providers that received payments from CCAP. These training sessions were held in each region of the state so that providers could attend a session as near as possible to their home or center. This training covered proper sign-in/out procedures, completion of invoices for payment, holiday pay, absences, and other necessary information. Payments are made electronically through direct deposit into the child care provider’s bank account or by stored value card. Underpayments are corrected by the issuance of a supplemental payment or a manual payment. Disqualification periods have been implemented which result in termination of CCAP payments to child care providers for specified periods after determination that certain acts or violations have been committed. A provider may be disqualified for a period of three months to twelve months for reasons such as, but not limited to, failure to collect co-payments, charging more for CCAP children than for non-CCAP children, and other violations of the CCAP Provider Agreement. If a violation is determined to be an Intentional Program Violation (IPV), the provider can be disqualified for a period of twelve months, twenty-four months, or permanently. An Intentional Program Violation (IPV) is any act by a CCAP provider that consists of intentionally making a false or misleading statement or misrepresentation, concealing, or withholding relevant facts. Examples of IPV include, but are not limited to, providing false documents to obtain registration/certification, false record-keeping/billing, and providing false information. If the Lead Agency checked none, please describe what measures the Lead Agency has or plans to put in place to address program integrity: N/A 1.3.4. What strategies will the Lead Agency use to investigate and collect improper payments due to program violations or administrative error? Check and describe in the chart below which strategies, if any, the Lead Agency will use for each of the following areas: Unintentional program violations (UPV), intentional program violations (IPV) and/or fraud, and administrative error as defined in your State/Territory. The Lead Agency has the flexibility to recover misspent funds as a result of errors. The Lead Agency is required to recover misspent funds as a result of fraud (98.60(i)). Strategy Require recovery after a minimum dollar amount in improper payment. Identify the minimum dollar amount: $ Coordinate with and refer to other State/Territory agency (e.g. State/Territory collection agency, law enforcement). Describe: See Provider Investigations below Recover through repayment plans Reduce payments in the subsequent months Recover through State/Territory tax intercepts Recover through other means. Describe: Establish a unit to investigate and collect improper payments. Describe composition of unit: see below UPV IPV and/or Fraud Administrative Error Other. Describe: In response to minimum dollar amount above: $34 for participating clients/providers; $249 for non-participating clients/providers None For any option the Lead Agency checked in the chart above other than none, please describe: The Fraud and Recovery Unit (FRU), established in 1974, is the investigative body within the Program Integrity and Improvement Section, which is authorized by state law (46:114) to conduct investigations into allegations of fraud, waste, and abuse in public assistance programs administered by the DCFS, and to seek criminal prosecution in state and federal courts. FRU is also responsible for recovering any ineligible benefits paid to recipients and CCAP providers regardless of the reason. The FRU consists of thirty-nine (39) employees domiciled in State Office and in each of the nine DCFS regions. Recipient: The Fraud and Recovery Unit must establish a claim on any overpayment or ineligible payment to a recipient of Child Care Assistance unless the claim is a non-fraud claim and is - less than $35 if the recipient is a current recipient of Child Care Assistance. - less than $250 if the recipient is not currently receiving Child Care Assistance. Provider: The Fraud and Recovery Unit must establish a claim on any overpayment or ineligible payment to a provider unless the claim is a non-fraud claim and - less than $35 if the provider is a participating provider in the Program. - less than $250 if the provider is not a participating provider. Provider Investigations: During the course of an investigation in which fraudulent activity is suspected with a provider (Class A facility), the US Department of Health and Human Services may be contacted to assist with or to take the lead of the investigation. Recovery/Methods of Repayment: A recipient or a provider may make a lump sum payment. A payment schedule may be negotiated with the recipient or provider. Repayment plans for providers are usually negotiated for three or six months. In no instance will the repayment plan for a currently participating provider extend more than 12 months. Recipient claims reduced to judgment because of a civil suit are referred to the Louisiana Department of Revenue for offset of any income tax refunds due the debtor. 1.3.5. What type of sanction, if any, will the Lead Agency place on clients and providers to help reduce improper payments due to program violations? None Disqualify client. If checked, please describe, including a description of the appeal process for clients who are disqualified Clients may be found to have committed Fraud/IPV: • • • • through an Administrative Disqualification Hearing, or by signing a waiver of right to an Administrative Disqualification Hearing, or by a court of appropriated jurisdiction, or by a Disqualification Consent Agreement in cases referred for prosecution. The client’s household will be unable to receive LI-CC during the disqualification period: • 12 months for the first violation • 24 months for the second violation • permanently for the third violation When a participant’s case is referred by the Fraud and Recovery Unit, the Appeals Bureau reviews the record and sends to the Division of Administrative Law that: • conducts an Administrative Disqualification Hearing • sends advance notice of the hearing to the provider or participant’s household by either first-class mail or certified mail with a return receipt requested at least 30 days prior to the date of the hearing • conducts the hearing • arrives at a decision • notifies the Fraud and Recovery Unit of the decision. Disqualify provider. If checked, please describe, including a description of the appeal process for providers who are disqualified A child care provider is disqualified from receiving CCAP payments if the department determines that certain acts or violations have been committed by the provider as follows: Intentional Program Violation (IPV) • 12 months for the first violation • 24 months for the second violation • permanently for the third violation Non-fraudulent violations of the terms of the CCAP Provider Agreement • three months for the first violation • six months for the second violation • 12 months for the third and subsequent violations Providers are not offered administrative appeal regarding matters of payment. Class A providers may appeal decisions regarding refusal of the department to grant a license or revocation of licensure. FCDCH providers may appeal decisions regarding refusal or revocation or registration, including dates of eligibility. Prosecute criminally Other. Describe. 1.3.6 Based on responses provided from Question 14 in the most recent ACF-402 report, please describe those actions the Lead Agency has taken or plans to take to reduce identified errors in the table below. Territories not required to complete the Error Rate Review should mark Activities identified Cause/Type of Error Actions Taken or in ACF-402 (if known) Planned Completion Date (Actual or planned) (if known) Louisiana DCFS Program Integrity and Improvement Section, Quality Improvement and Case Review Unit has submitted and is awaiting approval of our FY 11 Federal Child Care Review Fieldwork Preparation and Sampling Plan. A completed report of findings and a corrective plan (if required) will be submitted at the end of the review process. An error is defined as any violation or misapplication of statutory, contractual, administrative or other legally-applicable requirements governing the administration of CCDF grant funds, regardless of whether such violations result in improper payment. An error definition must include all of the above applicable considerations. The Project Team has met and defined an error and customized the record review worksheet. The Quality Control (QC) Review Team reviewed all state laws and policies to establish Louisiana's definition. The record review worksheet template, Form 402, was customized to accommodate the State child care policy. A total of 276 active Child Cases will be randomly selected for FY 11 (10/10 09/11). Of the 276 active sampled cases, 138 will be selected semiannually on April 1, 2011 for 10/10 thru 3/11 and 138 selected on 10/1/11 for 4/11 thru 9/11. The case review process, data entry, computation of error measures, analysis and response to the improper authorization for payment findings will be completed by QC. 1.4 Consultation in the Development of the CCDF Plan Lead Agencies are required to consult with appropriate agencies in the development of its CCDF Plan (§98.12, §98.14(a),(b), §98.16(d)). Definition: Consultation involves the meeting with or otherwise obtaining input from an appropriate agency in the development of the State or Territory CCDF Plan. At a minimum, Lead Agencies must consult with representatives of general purpose local governments. (§§98.12(b), 98.14(a)(1)) 1.4.1 Identify and describe in the table below who the Lead Agency consulted with in the development of the CCDF Plan (658D(b)(2), §§98.12(b), 98.14(b)). Agency/Entity Describe how the Lead Agency consulted with this Agency/entity in developing the CCDF Plan DCFS consulted with the Louisiana Municipal Association (LMA) whose members include Representatives of general purpose representatives of local government. The plan was local government (required) discussed with LMA staff and the input of their members was requested. DCFS works with This may include, but is not limited to: representatives of local government through representatives from counties and CCR&R Agencies’ participation in the Children and municipalities, local human service agencies, local education representatives Youth Planning Boards. CCR&R Agencies also (e.g., school districts), or local public health work with local emergency preparedness officials and local Volunteer Organizations Active in agencies. Disaster (VOAD) in planning for shelter child care as described below. For the remaining agencies, check and describe (optional) any which the Lead Agency has chosen to consult with in the development of its CCDF Plan. State/Territory agency responsible for public education Louisiana Department of Education (LDE) is a partner in all efforts related to children birth to age eight. This may include, but is not limited to, State/Territory pre-kindergarten programs (if applicable), programs serving school-age children (including 21st Century Community Learning Centers), or higher education. State/Territory agency responsible for programs for children with special needs This may include, but is not limited to: State/Territory early intervention programs authorized under the Individuals with Disabilities Education Act (Part C for infants and toddlers and Section 619 for preschool), or other State/Territory agencies that support children with special needs Consultation was held with the LDE regarding services under Section 619 and with DHH Office for Citizens with Developmental Disabilities regarding their early intervention program Early Steps. The Licensing Section is housed within DCFS. State/Territory agency responsible for licensing (if separate from the Lead Agency) State/Territory agency with the Head Start Collaboration grant Statewide Advisory Council authorized by the Head Start Act The Director of the State Head Start Collaboration Office is housed within DCFS making extensive interaction and consultation possible. The Plan Pre-Print and a link to the current plan was provided to all members. A presentation was made at the April 5, 2011 meeting and conversations were scheduled. Other Federal, State, local, Tribal (if applicable), and/or private agencies providing early childhood and schoolage/youth-serving developmental services State/Territory agency responsible for the Child and Adult Care Food Program (CACFP) State/Territory agency responsible for implementing the Maternal and Early Childhood Home Visitation programs grant DCFS works closely with the Child and Adult Care Food Program (CACFP) administered by DOE and consults in policy development and changes. Consultation was conducted through a conversation with the program director and staff. Discussed efforts related to childhood obesity, breast feeding education, Child Care Health State/Territory agency responsible for Consultant Program, home visiting (Nurse Family public health (including the agency Partnership), and parent training and support responsible for immunizations and programs that promote children's emotional (Triple P – Positive Parenting Program). and mental health) The Director of the LA DHH Immunization Program reviewed the CCDF Pre-Print and made comments. LA’s Child Welfare (CW) program is housed in State/Territory agency responsible for child DCFS. Comments were received from the Foster Care section. welfare State/Territory liaison for military child care programs or other military child care representatives State/Territory agency responsible for employment services/workforce development Louisiana Workforce Commission (LWC) is a valued partner for both the parents served by child care and the early childhood workforce and LWC participated by reviewing this plan. LWC is represented on the LA Advisory Council for Child Care and Early Childhood Education. State/Territory agency responsible for Temporary Assistance for Needy Families (TANF) Indian Tribes/Tribal Organizations The TANF program is housed in DCFS which provides opportunities for consultation on the use and administration of child care services with the TANF program including quality initiatives. Comments were received from the Program Director. Review and consultation was requested from a representative of the Yaamahana Chitimacha Child Development Center. N/A: No such entities exist within the boundaries of the State Private agencies/entities including national initiatives that the Lead Agency is participating in such as BUILD, Strengthening Families, Mott Statewide After-school Networks, Ready by 21 Provider groups, associations or labor organizations The plan was disseminated and feedback received from the LA Afterschool Network (a Mott grantee). A presentation was made at the March 18, 2011 LA Advisory Council on Child Care and Early Childhood Education. Comments were received from the members including the LA Early Childhood Association, the Child Care Association of Louisiana, and the LA Association for the Education of Young Children. Parent groups or organizations Local community organizations (child care resource and referral, Red Cross) Through dissemination of the Pre-Print and a conference call with the Child Care Resource and Referral contractors. Other 1.4.2. Describe the Statewide/Territory-wide public hearing process held to provide the public an opportunity to comment on the provision of child care services under this Plan. (658D(b)(1)(C), §§98.14(C)). At a minimum, the description should include: a) Date(s) of notice of public hearing: 05/23/2011 Reminder - Must be at least 20 days prior to the date of the public hearing. b)How was the public notified about the public hearing? The public is notified about statewide hearings through the use of three major newspapers throughout the state and the World Wide Web.c) Date(s) of public hearing(s): 06/13/2011 Reminder - Must be no earlier than 9 months before effective date of Plan (October 1, 2011). d) Hearing site(s) Baton Rouge, LA e) How was the content of the Plan made available to the public in advance of the public hearing(s)? A draft of the plan is made available on the World Wide Web. f) How will the information provided by the public be taken into consideration in the provision of child care services under this Plan?Comments received from the public on the proposed plan will be reviewed and addressed by DCFS administrators and incorporated if applicable. 1.4.3. Describe any strategies used by the Lead Agency to increase public consultation on the Plan or access to the public hearing. For example, translating the public hearing notice into multiple languages, using a variety of sites or technology (e.g., video) for the public hearing, holding the hearing at times to accommodate parent and provider work schedules. 1.4.3. Describe: At the request of providers, DCFS will begin using web based technology to respond to the needs of those providers wishing to comment at Public Hearings. To accommodate providers or parents who do not have access to this technology, Child Care Resource and Referral Agencies serve as regional meeting spaces or arrange for space in each region. 1.5. Coordination Activities to Support the Implementation of CCDF Services Lead Agencies are required to coordinate with other Federal, State, local, Tribal (if applicable) and private agencies providing child care and early childhood development services Definition - Coordination involves child care and early childhood and school-age development services efforts to work across multiple entities, both public and private (such as in connection with a State Early Childhood Comprehensive System (SECCS) grant or the State Advisory Council funded under the Head Start Act of 2007). (658D(b)(1)(D), §§98.12(a), 98.14(a)(1)) 1.5.1. Identify and describe in the table below with whom the Lead Agency coordinates in the delivery of child care and early childhood and school-age services (§98.14(a)(1)). Agency/Entity Describe how the Lead Agency (check all that will coordinate with this apply) Agency/entity in delivering child care and early childhood services Representati ves of general purpose local government (required) This may include, but is not limited to: representativ es from counties and municipalities , local human service agencies, local education representativ es (e.g., school districts), or local public health agencies. Describe the goals or results you are expecting from the coordination Examples might include increased supply of full-day/full-year services, aligned eligibility policies, blended funding, or access to more training and technical assistance resources shared across agencies. DCFS will continue to coordinate child Increased access to training and care and early childhood development technical assistance across early service delivery across multiple entities, education settings through coordination both public and private, through with local education representatives and BrightStart. BrightStart is conducted public health agencies. under the auspices and guidance of the Louisiana Children’s Cabinet. To support The LA Center for Afterschool Learning this effort, the Louisiana Legislature in will promote collaboration across the 2008 Regular Session passed SCR systems serving youth. 83, which specifically calls on state entities to work together in support of an early childhood system. In 2010 BrightStart was designated as the Statewide Advisory Council. DCFS works with representatives of local government through CCR&R Agencies’ participation in the Children and Youth Planning Boards. State/Territor y agency responsible for public education (required) This may include, but is not limited to, State/Territor y prekindergarten programs (if applicable), programs serving school-age children (including 21st Century Community Learning Centers), or higher education. A DCFS representative is part of the The School Readiness Tax Credit Department of Education (DOE) (SRTC) for teachers and staff is committee to revise the four-year old available to teachers working in child standards and their alignment with K-12 care centers. This credit may remove a grade standards. There has been much barrier to mixed delivery since some collaboration with DOE throughout qualified teachers would normally not BrightStart and the development of select work in a child care center Quality Start to facilitate the coordination environment. of Quality Start and the pre-k program. For example, the pre-k programs use the The goal is to increase pre-k capacity, Early Childhood Environment Rating provide high quality choices to parents, Scale, Revised edition, and this is also and to increase quality in the child care used by Quality Start to determine sector. program quality. DCFS and DOE have shared the expenses of bringing national A diverse delivery model is considered a trainers to Louisiana to train staff for best practice, as it provides parents both programs on the scales. more high quality choices in their local communities, avoids the costs of BrightStart has led an effort to building new school buildings, and encourage diverse delivery of public pre- promotes quality and accountability kindergarten in Louisiana. This school across early childhood settings. year, DCFS is partnering with DOE and BrightStart in a unique, pilot program to The goal of these activities is to improve develop a system of policy and supports the quality of school-age services related to the diverse delivery of pre-k through a robust, informed network of services. The pilot is funded with professionals and providers, the American Recovery and Reinvestment development of state policies and Act (ARRA) money and seeks to systems to support quality improvement, facilitate access to high quality pre-k and and the creation of resources and to meet DOE’s goal of having all children training opportunities specifically for entering school ready to learn. The school-age programs. pilot’s funding provides for the implementation of two model sites and a Program Coordinator. This Coordinator has also supported collaborations outside the model sites with technical assistance and coordination services. DCFS provides monetary support, utilizing targeted funds, to the Louisiana Center for Afterschool Learning (LACAL), an initiative of Education’s Next Horizon, to ensure a coordinated and uniform focus on high quality out-ofschool time services for children and youth. Established in 2011, LA-CAL is Louisiana’s statewide afterschool network also funded by the Charles Stewart Mott Foundation. During 20112012, LA-CAL will establish and lead a coalition of state agency representatives, public officials, community leaders, statewide organizations, child care providers, and other stakeholders to develop quality improvement strategies for school-age care. The new statewide network promotes cross-collaboration across state systems serving youth including the DOE, Office of Juvenile Justice and Louisiana Workforce Commission. Working with the state DOE, ECAC, and ECCS grant to provide state pre-k Other Federal, State, local, Tribal (if applicable), and/or private agencies providing early childhood and schoolage/youthserving development al services (required) State/Territor y agency responsible for public health (required) This may include, but is not limited to, the agency responsible for immunization s and programs that promote children's emotional and mental health State/Territor y agency responsible for employment services / workforce development (required) programs in private child care settings. Working with Tulane University to provide Mental Health Consultation to Child Care Centers The Mental Health Consultation model is designed to assist all children, staff, and families involved in center-based care, with the goal of achieving healthy behavioral, social, and emotional development for young children. DCFS will support implementation of DHH training such as “Improving Support for Breastfeeding in Child Care Settings”, SIDS/Safe Sleep, Child Care Health Consultant Program, and Infant Mental Health. The Child Care Resource and Referral Agencies (CCR&R) will be active partners in recruiting child care programs and providers to participate in these sessions. Collaboration is taking place between CCR&R and Workforce Development efforts as they meet and explore the needs of their communities for high quality child care. Notably in Northeast Louisiana a collaboration of the 15 top employers and the Workforce Investment Board and other key community partners are working with the LA Community and Technical College System (LCTCS) and the Children’s Coalition for Northeast Louisiana, the regional CCR&R, to develop a task force to assess and suggest remedies related to child care capacity. Through the Louisiana Pathways Child Care Career Development System (LA Pathways), DCFS provides scholarships to individuals who work with, or want to work with, Louisiana children age birth to eight years of age in all settings. State/Territor y agency responsible for providing Temporary Assistance for Needy Families (TANF) (required) DCFS works with the Governor’s Office of Community Programs to support the Non-Public School Early Childhood Program (NSECD), a pre-k program for four-year olds in child care centers and non-public schools. TANF provides the funding for this program whose goal is to increase access to quality pre-k services through these partnerships. Indian Tribes/Tribal Organizations (required) DCFS has invited members of the Tunica-Biloxi, Coushatta, and Chitimacha tribes to participate on the Louisiana Advisory Council on Child Care and Early Childhood Education. The Yaamahana Chitimacha CDC became a Class A licensed child care center in August 2006 and is the only center on the reservation. The program participates in the QRIS as a four star center. The Chitimacha Tribe worked with state Licensing to establish and maintain DCFS has been consulting with N/A: No such cooperative agreements with the state. members of the Tunica-Biloxi tribe related to development of child care entities exist services and has used the Yaamahana within the Chitimacha CDC as a study site and training location. boundaries of the State Through these coordination and collaboration opportunities child care services are increased. For the remaining agencies, check and describe (optional) any with which the Lead Agency has chosen to coordinate early childhood and school-age service delivery Continued alignment and consistency of State/Territor Interdepartmental meetings support coordination of services. services. y agency responsible for licensing (if separate from the Lead Agency) Through these efforts alignment of State/Territor As an integral partner in the Child Development and Early Learning standards and access to training and y agency Section, the Director provides input and technical assistance are enhanced. with the opportunities to support coordination. Head Start Collaboration grant The Director of the Child Development Create a professional development plan Statewide and Early Learning Section serves on that addresses professional standards, Advisory the Council. The Section and the Council career pathways, articulation, data, and Council will work together on a number of financing that supports a professional authorized by projects that were included as part of the development system that trains and the Head state’s grant application for the ECAC. prepares early childhood educators and Start Act other early childhood professionals. State/Territor DCFS works closely with the Child and DCFS and CACFP seek to align Adult Care Food Program (CACFP), standards and provider quality services y agency administered by DOE. Agency staff to all children. Regarding family child responsible present updates on child care at all care homes, we seek to enhance for the Child CACFP conferences and consult in engagement of these legally operating and Adult policy development and changes. exempt providers to improve oversight Care Food and quality. Program (CACFP) The State Head Start Collaboration Office Director and the Director of the DCFS Child Development & Early Learning Section represent DCFS on the State Interagency Coordinating Council (SICC) for the early intervention program Early Steps that is a program of the Office for Citizens with Developmental Disabilities (OCDD). The Head Start Director and the Director also participate This may on the Special Quest Louisiana include, but Leadership Team and the State is not limited Interagency Coordinating Council to: (SICC). The SAC/BrightStart Strategic State/Territor Plan calls for increased access in early care and education settings for children y early special needs by providing greater intervention with funding and training with a focus on programs inclusion. Additionally, representatives authorized from these organizations and the under the Children’s Special Health Services program are on the SAC/BrightStart Individuals Council. with State/Territor y agency responsible for programs for children with special needs Disabilities Education Act (Part C for infants and toddlers and Section 619 for preschool), or other State/Territor y agencies that support children with special needs State/Territor y agency responsible for implementing the Maternal and Early Childhood Home Visitation programs grant State/Territor y agency responsible for child welfare Develop and implement a support process for child care agencies with Early Steps-enrolled children: 1. Continue availability of disabilityrelated training for child care agencies with follow up onsite support. 2. Revise the current CCAP rules regarding services to children with special needs to be more family-friendly and fair to providers. DCFS has the goal of integrating the vision of inclusive child care and the Special Quest materials into professional development in Louisiana. Department representatives have participated with DHH in the development of regulations for Pediatric Day Health Care Facilities for medically fragile individuals under the age of twenty-one. DCFS will coordinate information sharing Engage Child Care Resource and through participation on the SAC with Referral Agencies to become DHH. knowledgeable about the services and eligibility requirements. Interdepartmental meetings support coordination of services. Continued alignment and consistency of services. State/Territor y liaison for military child care programs or other military child care representativ es Private agencies/enti ties including national initiatives that the Lead Agency is participating in such as BUILD, Strengthenin g Families, Mott Statewide After-school Networks, Ready by 21 Local community organizations (child care resource and referral, Red Cross) Provider groups, associations or labor organizations DCFS is a supporting partner with the Mott Foundation in The LA Center for Afterschool Learning (LA-CAL). LA-CAL will establish and lead a coalition of state agency representatives, public officials, community leaders, statewide organizations, child care providers, and other stakeholders to develop quality improvement strategies for school age care. DCFS has contracts with 5 agencies to Training and technical assistance as well provide comprehensive child care as consumer education and referral will resource and referral services statewide. be provided. The LA Advisory Council on Child Care This Council provides input and and Early Childhood Education was suggestions on the system of child care established to advise DCFS in matters and early learning. related to child care. This group is made up of stakeholders including providers, professional organizations, parents and other state agencies who regulate child care in LA. Parent groups or organizations Other 1.5.2. Does the State/Territory have a formal early childhood and/or school-age coordination plan? Lead Agencies are not required to have an early childhood nor a school-age coordination plan, but the State/Territory may have such plans for other purposes, including fulfilling requirements of other programs. Yes. If yes, a) Provide the name of the entity responsible for the coordination plan(s): BrightStart, which is both Louisiana's Early Childhood Advisory Council (ECAC) and Early Childhood Comprehensive System grant initiative b) Describe the age groups addressed by the plan(s): birth to five c) Indicate whether this entity also operates as the State Advisory Council (as authorized under the Head Start Act of 2007): Yes No d) Provide a web address for the plan(s), if available: Strategic Plan (2005) http://www.brightstartla.org/assets/files/brightstart_strategic_plan.pdf SAC Application http://www.brightstartla.org/assets/files/LA%20ECAC%20Application.pdf No 1.5.3. Does the State/Territory have a designated entity(ies) responsible for coordination across early childhood and school-age programs? (658D(b)(1)(D), §98.14(a)(1)) Check which entity(ies), if any, the State/Territory has chosen to designate. State/Territory-wide early childhood and/or school-age cabinet/advisory council/task force/commission. If yes, describe entity, age groups and the role of the Lead Agency State Advisory Council (as described under the Head Start Act of 2007). If yes, describe entity, age groups and the role of the Lead Agency The Lead Agency administers the ARRA funds awarded to the state for a three-year period to support the ECAC in building an early childhood system for children ages 0-5. The Lead Agency has three representatives who sit on the Council. A number of objectives to be addressed by the grant funds specifically involve the Lead Agency. Local Coordination/Council If yes, describe entity, age groups and the role of the Lead Agency Other Describe None 1.5.4 Does the Lead Agency conduct or plan to conduct activities to encourage public-private partnerships that promote private sector involvement in meeting child care needs? (§98.16(d)) Yes . If yes, describe these activities or planned activities, including the tangible results expected from the public-private partnership: The School Readiness Tax Credit for Businesses: There are two types of SRTCs available to businesses/employers that support quality child care: 1) a refundable state tax credit based on a percentage of the “eligible expenses” incurred in support of child care centers participating in the Quality Rating Improvement System (QRIS) and 2) a refundable state tax credit for donations made to Child Care Resource and Referral Agencies. In the second year of the implementation of the credits, calendar year 2009, $372,841 was paid in tax credits to 340 businesses, more than double the number of businesses participating in 2008. Also, DCFS is partnering with the state DOE and the ECAC and ECCS initiatives in a pilot program to develop a system of policies and supports related to the diverse delivery of pre-k services. The pilot’s funding provides for the implementation of two model sites and a Program Coordinator. In addition, through facilitation by BrightStart, the Recovery School District in Orleans Parish has instituted two diverse delivery classrooms being funded through LA 4. Each of the four sites has structured its diverse delivery classroom in a different way, but all the classrooms meet the standards required under the LA 4 pre-k statute, the standards required by the Quality Start program to maintain their high star ratings, and the standards required under the child care licensing regulations. The goal of diverse delivery is to facilitate a seamless early education system of high quality, coordinated programs across state departments and local school systems. No 1.6. Child Care Emergency Preparedness and Response Plan It is recommended, but not required, that each