ELC Policy Name: School Readiness Funds Management ... BOARD PACKAGE 1 - Policies … · 1 . ELC Policy Name: School Readiness Funds Management/Disenrollment Policy and Procedure

1

ELC Policy Name: School Readiness Funds Management/Disenrollment Policy and Procedure

ELC Policy No.: Approval Date: Pending Board Approval, 2/11/11 Rev. Date(s): 3/11/16 COA Standards: N/A

Purpose of Policy: The Early Learning Coalition of Broward County, Inc. (“ELC”) and its contracted service provider(s) shall utilize disenrollment of non-priority participants as an option of last resort, in order to maintain fiscal integrity. Statement of Policy: The ELC shall not disenroll a child due to a deficit unless the ELC has forecasted a deficit through the end of the fiscal year and has implemented one or more of the fund management strategies described in the Office of Early Learning’s (OEL) Program Guidance concerning School Readiness Funds Management. Pursuant to OEL School Readiness Funds Management Policy, the ELC is prohibited from the disenrollment of groups of children for reasons other than preventing a deficit or failure to comply with eligibility requirements. The ELC shall not disenroll any group of children prior to consulting with representatives of the Office of Early Learning.

Board Chair’s Signature:___________________________ Date Signed: ____________________

Page 1

2

STATEMENT OF PROCEDURE:

Definition(s)

1. Board shall have the same meaning as it does in the ELC bylaws.

2. Chair shall have the same meaning as it does in the ELC bylaws.

3. Chief Executive Officer (“CEO”) shall have the same meaning as it does in the ELC bylaws.

4. Client shall mean the intended recipients of the ELC and/or Office of Early Learning (“OEL”) grant related activities or funding, including, but not limited to the ELC’S Voluntary Pre- Kindergarten (“VPK”) or School Readiness (“SR”) programs and services such as children, parents, and legal guardians.

5. Complaint shall mean notice of an adverse or unsatisfactory matter, process, result, or condition

that is reported to the ELC.

6. Contractor shall mean those eligible licensed entities that contract directly with the ELC to provide School Readiness or Voluntary Pre-Kindergarten services and/or programs in accordance with Florida Statutes and provides monitoring, investigations and/or other oversight functions on behalf of the ELC to Service Providers. For purposes of this policy and procedure, the term “Contractor” shall have the same meaning as the term “lead agency” or “sub-recipient” in any statewide agreement(s) created by Florida’s Office of Early Learning, any other governing state agency or authority for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services.

7. Enhanced Field System (“EFS”) - A data management system used by the Office of Early

Learning, the ELC and Contractor(s) to manage the Early Care and Education program.

8. ELC Staff means those persons directly employed by the ELC.

9. ELC 2 Contractor - The contractor chosen by the ELC as a result of its procurement activities to perform Eligibility and Enrollment and Fiscal Administration for the School Readiness, Child Care Executive Partnership, Voluntary Prekindergarten, and Financially Assisted Child Care Programs on behalf of the ELC.

10. General Counsel shall mean the primary law firm contracted with the ELC to provide legal and

general counsel services to the ELC. 11. Grievant shall mean a person or an entity that has filed a Grievance with the ELC or a

Contractor in accordance with the ELC’S Grievance policy and procedure. 12. Grievance shall mean the filing of an official written complaint with the ELC or a Contractor

by a Grievant in accordance with the ELC’S Grievance Policy and Procedure in which the Grievant seeks an official resolution and/or response regarding the complaint from the ELC or the Contractor.

Page 2

3

13. Grievance Form shall mean an internal ELC-approved form utilized by the ELC for the

documentation and reporting of a Grievance within the ELC. 14. Member(s) shall have the same meaning as it does in the ELC bylaws.

15. School Readiness (“SR”) Programs - The Florida SR Program offers financial assistance to low-

income families for early education and care so they can become financially self-sufficient and their young children can be successful in school in the future. The SR program has three specific eligibility requirements:

15.1 Parent(s)/guardian(s) must be working or participating in and educational activity, such as attending college or trade school at least 20 hours per week or a total of 40 hours per week for a two-parent household.

15.2 Gross Income must be at or below 150 percent of the federal poverty level for family size to enter the program.

15.3 Families must pay a copayment for child care based on income and family size unless waived in accordance with the Child Care and Development Fund (“CCDF”) State Plan.

16. Service Agreement - An agreement for service with a Service Provider that defines established

criteria for the delivery of an Early Care and Education Program that may include an established rate of payment for a specified unit of service.

17. Service Provider shall mean an eligible public school, private school, licensed or licensed-exempt

child care entity that has an agreement with the ELC and/or a Contractor to provide Voluntary Pre-Kindergarten (“VPK”) or School Readiness (“SR”) program services directly to children in Broward County in accordance with Florida Statutes. For purposes of this policy and procedure, the term “Service Provider” shall have the same meaning as the term “Provider” in any statewide agreement(s) for VPK and SR created by the Office of Early Learning (“OEL”), or any other governing state agency for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services.

18. Single Point of Entry (“SPE”) shall mean the process established in accordance with Florida

Statutes that allows parents to access Child Care Resource and Referral (“CCR&R”) services and to apply for SR and VPK Programs through the family portal. The SPE is the access point for the unified waiting list. If funding is not available, children eligible for the SR program will be placed on the uniform waiting list.

19. Single Statewide Information System – The single statewide information system is a statewide

integrated technology system to provide critical information to early learning ELCs, parents, partners and providers. The anticipated benefits of the single statewide information system include, but may not be limited to, the following – (1) streamlined administrative processes for attendance tracking, eligibility processing and provider payments, (2) data sharing opportunities for educators, parents, providers and state agencies and (3) easy online access to child care resources and referral information for early learning programs. The single statewide information system is made up of multiple component units including the core module (currently Enhanced Field System), Family Portal and Provider Portal.

Page 3

4

20. Subcontractor shall mean those persons or entities that have a contract with the ELC or a Contractor and is retained to perform a portion or all of the SR and/or VPK program related services on behalf of the Contractor or ELC under those original contracts. For purposes of this definition, "SR and/or VPK program related work" shall mean services that would not fall under the definition of a “Vendor" such as instructional, client engagement, monitoring, reporting. This definition shall also excluded those person or entities that deliver or perform professional services. For purposes of this definition, “professional services shall mean accounting, finance, audit, legal or licensed healthcare related services.

21. Waiting List (Uniform Waiting List) shall mean the list of children whose families are deemed

potentially eligible for financial assistance for child care services in the county and are waiting for said care.

22. Vendor shall means a dealer, distributor, merchant or seller who provides the goods and services

within business operations; provides similar goods or services to many different purchasers; operates in a competitive environment; provides goods or services that are ancillary to the operation of the federal program; and is not subject to compliance requirements of the federal program. For purposes of this policy and procedure, the term “Consultant” shall have the same meaning as the term “Vendor”.

23. Voluntary Pre-kindergarten Education Program (“VPK”) - A free educational program that

prepares 4-year-olds for success in kindergarten and beyond. Children must live in Florida and be four (4) years old on or before September 1st of the current year to be eligible. The program helps children build a strong foundation using educational materials that fit their developmental needs. Private child care centers (including family child care homes), public schools, and specialized instructional service providers may offer VPK. Parent may choose from one of the following programs:

23.1 School-year program – 540 instructional hours; class size of 20 or fewer students. Instructors must hold a Birth through Five Florida Child Care Professional Credential.

23.2 Summer program – 300 instructional hours. Class Sizes of 12 or fewer students. Instructors must hold a bachelor’s degree.

23.3 Specialized Instructional Services Program – Hours vary by instructional service provided. For children with disabilities who have current individual education plans developed by local school districts.

PROCEDURE FOR ENROLLMENT AND DISENROLLMENT Should disenrollment of said participants become necessary, the following steps shall be taken:

1. The ELC shall provide written notification to the Office of Early Learning at least forty-eight (48) hours prior to the initiation of formal consideration by the ELC Board to disenroll a group of children from early learning programs.

2. The ELC shall allow the continued initial enrollment of a child in a priority eligibility group in

accordance with applicable Florida Statutes.

Page 4

5

3. The ELC shall establish enrollment priorities among the subsequent priority eligibility groups in descending order and in accordance with applicable Florida Statutes, beginning with children from families with the highest family incomes.

4. The ELC shall determine by formal vote that disenrollment is necessary at a given point in time

in order to maintain fiscal soundness. 5. The ELC shall determine by formal vote:

a. Non-mandatory participant groups which will be disenrolled; b. Relevant disenrollment order of non-mandatory groups; and c. Timeframe therein.

(Note: These steps will be preceded by a discussion and recommendation from the Executive Committee, when timing permits.)

6. The ELC shall permit the disenrollment of children in order, beginning with the lowest

enrollment priority. The ELC may allow for the disenrollment of a distinct subgroup within an enrollment priority (e.g., a school-age child older than a specified age).

7. Once the need to disenroll has been formally approved, the ELC shall notify the Office of Early

Learning (OEL), in writing, within a minimum of five (5) business days prior to taking action to notify providers or families in writing of the determination to disenroll a child from the School Readiness Program.

The ELC’s written notification to OEL shall be submitted with:

a. A copy of the two most recent monthly use analyses; b. Identification of the enrollment priority group from which the ELC plans to disenroll

children; and c. The number of children the ELC plans to disenroll within the enrollment priority group.

However, the ELC may not disenroll an at-risk child without written approval from the Child Welfare Program Office of the Department of Children and Families (“DCF”) or the community-based lead agency providing contractual services on behalf of DCF.

8. The ELC shall submit a plan amendment, if applicable, and receive written approval of the

submitted plan amendment from OEL prior to disenrollment of children. 9. The ELC shall provide written notice of a child’s disenrollment from a School Readiness

Program, including the effective date, a minimum of fourteen (14) calendar days prior to the disenrollment as follows: a. To a Parent or guardian of any affected child to be disenrolled; and

b. To any affected child’s School Readiness provider.

Page 5

SUMMARY OF GRIEVANCE POLICY vs. DISPUTE RESOLUTION Enclosed is the latest version of Grievance Policy and Procedure. This was one of the policies and procedures that was done in accordance with the COA certification process. I believe Janice and Leticia were present when this policy and procedure was being discussed in depth by the Governance Committee members. The Governance Committee has approved the policy and procedure in substance with direction to myself to either clarify or clean up certain provisions as well as any scrivener’s errors. The goal was to have a central policy and procedure to handle grievances which either dealt wit the grievance or directed you where to go if the Grievance Policy and Procedure was not applicable. The Grievance policy and procedure actually replaces the prior policy and procedure (Dispute Resolution Policy and Procedure (“DRSP”) to the some inherent flaws in that policy procedure. These flaws and differences were explained in detail to the Governance Committee. The flaws are as follows:

1. The DRSP conflicts with dispute resolution sections in our contracts in that it does not explicitly state it does not apply to our contracts (Service Provider, Contractor, Vendor, etc…) which creates a conflict between the policy and the Coalition contracts. This conflict also subjects the Coalition to potential liability in terms of what process providers, contractors, vendors and the Coalition should follow in resolving disputes. In addition, the DRSP does not account for a Service Provider or Contractor brining a grievance against the ELC and circumnavigating their contract, resulting in a potential conflict in the dispute resolution section of contract and the policy and procedures of the Coalition.

2. The DRSP conflicts with our Whistleblower Policy as it does not specifically state that it does not apply to said policy and procedure. Under the DRSP, an employee, intern, or other party could file a whistleblower claim under the DRSP as a third party. The DRSP does not meet statutory criteria for addressing whistleblower complaints as there is a specific criteria for notification and filing complaints under the Whistleblower Policy and Procedure. This conflict creates potential liability and risk for the Coalition.

3. The DRSP conflicts with our HR policy and procedures as well as our employment

manual in that it does not specifically state that employees (who would be third parties under DRSP) cannot file complaints or grievances under the DRSP. Employee grievances should be handled internally by supervisor and the CEO and should not go through this process. This conflict creates potential liability for the Coalition, specifically in terms of FMLA, FLSA, etc..,. as those laws have specific criteria for notice, response times, etc.. The DRSP would also conflict with applicable federal and state statutes and codes as it pertains to labor and employment matters.

4. The DRSP conflicts with our fiscal policy and procedures in terms of how to deal

with procurement issues for the Coalition. That is addressed in our Fiscal Policy and Procedures. Furthermore, the Coalition solicitation documents (RFP, ITN,

Page 6

RFQ) always provide a clear process of how objections to procurements can be challenged by another bidder. A contactor (as a third party) would be able to use the DRSP process as it specifically does no exclude procurements and bid solicitations. That would be disastrous for the Coalition and place the Coalition in an adverse position in terms of liability and risk. The language in the solicitations is much more restrictive and favorable to the Coalition that the DRSP policy and procedure and accounts for Board participation if needed in the process. Furthermore, the DRSP conflicts with Florida Statutes 287.057 and 120 regarding how procurements issues would be handled by the Coalition (certified contract manager vs. staff review committee, etc..)

5. The term “Service Provider” is not clearly defined under DRSP and can mean

different things in different documents. For example, There are no service providers under grant agreement, they are only sub-recipients. Under the new policy procedure, the term “Contractor” has the same meaning as “sub-recipient” under its definition in the new policy procedure. This keeps in line with the definitions in the Statute.

6. The DRSP does not dearly and affirmatively state that a parent or other client must

go through the childcare or Service provider. If the childcare provider has a direct contract with the Coalition i.e. VPK., then they go through a childcare provider if the What if the matter is a SR issue? Does the person go through

7. The DRSP lumps grievances for Childcare Provider and Service Providers together

and creates potential confusion, particularly if a Childcare Provider has a direct contract with the ELC. Under the new policy and procedure, I have a separated the process for grievances against a Service Provider vs. a Contractor to avoid confusion. Under the DRSP, it is unclear and could cause problems for the Coalition. In addition, refer to #1 above as to the additional problem.

8. Grievance from third parties (which is a large pool of people could include Clients,

Vendors, Subcontractors, etc..). The DRSP also does not account for third party brining a grievance against a Service Provider or Contractor.

9. There is at least one or two more policy and procedures that address grievances.

First, everything should be under one policy and procedure so everyone will know where to go or where to be directed to another policy and procedure (such as Whistleblower, Employee Manual, Bid Solicitation, etc..

10. DRSP does not take in account how Grievances are handled against the CEO or

members of the Board. Those should go through Governance and possibly the Board.

11. DRSP conflicts with the Grant Agreement in terms of if there is a grievance

concerning OEL and the Coalition. For example, there is an ADA case that has been filed against the Coalition and OEL and referred to the DOJ. Under this

Page 7

scenario, the Coalition would have to follow the Grant Agreement’s dispute resolution procedure in handling the matter, not our own DRSP.

12. Parent vs. Childcare provider- Under DRSP, complaints regarding childcare

providers and parents are handled in the same manner. This is a problem, as some our Childcare providers have direct contracts with the ELC or our Contractor, BHRPC. As a result, the childcare provider would need to follow the dispute resolution section of their contract. The new Grievance Policy and Procedure takes this fact under consideration and provides a separate method for clients (parents, guardians, etc…)

13. Legislators- Legislator’s should not be using a grievance process to resolve issues

with the Coalition. Other than the fact that this is not how complaints are actually resolved, these issues are better handled by the CEO and Board members. If we have a legislator filing a grievance against the Coalition, that is a real problem and would not be resolved with the DRSP process, politically given the probable political and media related nature of the grievance.

14. The DRSP had the CEO as the final arbitrator of any issue that went through its

process. The Governance Committee made it clear that it wanted the committee or the Board to hear certain matters, particularly if there are of great importance to the Board. DRSP effectively cuts the Grievant off from the Board unless they go under another policy or procedure.

15. The new Grievance Policy and Procedure allows for certain exceptions that address

certain realities such as waiting for direction from OEL on a matter that may concern a grievance.

16. The DRSP does not deal with how the public made retrieve documents regarding a

grievance or how to maintain records for grievances.

17. The DRSP does not deal with conflicts of law, with other policy and procedures, or the Grant Agreement.

18. The DRSP does not address the Anti-Fraud policy and procedure nor deal with the

conflict between the two policy and procedures.

Page 8

1

ELC Policy Name: Grievance Policy and Procedure

ELC Policy No.: RSK_____ Approval Date: Pending Board Approval, 9/12/2014 Rev. Date(s): 2/29/16 COA Standards: N/A

Purpose of Policy: To give a clear and specific written course of action for resolving disputes within the Broward County as it concerns the Early Learning Coalition of Broward County ("ELC"), and those persons and/or entities that receive, implement, or are affected by the programs and/or services offered by the ELC. Statement of Policy: The ELC strives to maintain the highest level of satisfaction possible with the families and children served by the ELC, its child care providers, its sub-recipients, its contractors and its vendors. It is the commitment of the ELC to ensure all interested parties are treated fairly at all times and be afforded a dispute resolution process. The ELC desires to provide an opportunity for individuals to file a complaint and also provide for a formal appeals process.

Board Chair’s Signature:_____________________________Date Signed:____________________

Page 9

2


Definition(s)

1. Board shall have the same meaning as it does in the ELC bylaws 2. Chair shall have the same meaning as it does in the ELC bylaws 3. Chief Executive Officer (“CEO”) shall have the same meaning as it does in the ELC bylaws 4. Client shall mean the intended recipients of the ELC and/or Florida’s Office of Early Learning

(“OEL”) grant related activities or funding, including, but not limited to the ELC’s Voluntary Pre-Kindergarten (“VPK”) or School Readiness (“SR”) programs and services such as children, parents and legal guardians.


that is reported to the ELC. 6. Contractor shall mean those eligible licensed entities that contract directly with the ELC to provide

School Readiness or Voluntary Pre-Kindergarten services and/or programs in accordance with Florida Statutes and provides monitoring, investigations and/or other oversight functions on behalf of the ELC to Service Providers. For purposes of this policy and procedure, the term “Contractor” shall have the same meaning as the term “lead agency” or “sub-recipient” in any statewide agreement(s) created by the Office of Early Learning, any other governing state agency or authority for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services.

7. ELC shall mean the Early Learning Coalition of Broward County, Inc. For purposes of this policy

and procedure, the term “Coalition” shall have the same meaning as the term “ELC”. 8. ELC staff means those persons directly employed by the ELC. This definition does not include

the Chief Executive Officer for purposes of this policy and procedure. 9. General Counsel shall mean the primary law firm contracted with the ELC to provide legal and

general counsel services to the ELC. 10. Grievant shall mean a person or an entity that has filed a Grievance with the ELC or a Contractor

in accordance with the ELC’s Grievance policy and procedure.

11. Grievance shall mean the filing of an official written Complaint with the ELC or a Contractor by a Grievant in accordance with the ELC’s Grievance Policy and Procedure in which the Grievant seeks an official resolution and/or response regarding the Complaint from the ELC or the Contractor.


documentation and reporting of a Grievance within the ELC.

Page 10

3

13. Grievance Review Committee shall mean a committee composed of at least three (3) ELC staff members assigned to review, investigate and if possible, resolve a Grievance.

14. Member shall have the same meaning as it does in the ELC bylaws. 15. Procurement shall mean the ELC’s solicitation, advertisement, evaluation, and selection of a

person or entity through a Board committee to provide services and/or commodities on behalf of the ELC. The procurement process may be done in a form or method that includes, but is not limited to the following: request for proposal, request for information, invitation to bid, or invitation to negotiate.

16. Risk Management Plan shall mean the Board approved plan for reviewing, assessing, reporting

and resolving organizational risks for the ELC. 17. Service Providers shall mean an eligible public school, private school, licensed or license-exempt

child care entity that has provider agreement with the ELC and/or a Contractor to provide Voluntary Pre-Kindergarten (“VPK”) or School Readiness (“SR”) program services directly to children in Broward County in accordance with Florida Statutes. For purposes of this policy and procedure, the term “Service Provider” shall have the same meaning as the term “Provider” in any statewide agreement(s) for VPK and SR created by the Office of Early Learning (“OEL”), any other governing state agency for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services

18. Subcontractor shall mean those persons or entities that have a contract with the ELC or a Contractor and is retained to perform a portion or all of the SR and/or VPK program related services on behalf of the Contractor or ELC under those original contracts. For purposes of this definition, "SR and/or VPK program related work" shall mean services that would not fall under the definition of a “Vendor" such as instructional, client engagement, monitoring, and reporting. This definition shall also exclude those person or entities that deliver or perform professional services. For purposes of this definition, “professional services” shall mean accounting, finance, audit, legal or licensed healthcare related services.

19. Vendor shall mean a dealer, distributor, merchant or seller who provides the goods and services within business operations; provides similar goods or services to many different purchasers; operates in a competitive environment; provides goods or services that are ancillary to the operation of the federal program; and is not subject to compliance requirements of the federal program. For purposes of this policy and procedure, the term “Consultant” shall have the same meaning as the term “Vendor.

GRIEVANCES AND COMPLAINTS

In no event will a Complaint be considered a Grievance under this policy and procedure, nor shall any filing or reporting requirement as well as any related form or document under another ELC policy and procedure (i.e. the ELC’s Incident Reporting or Whistleblower Policy and Procedure) shall substitute for the filing of a Grievance as set forth under this policy and procedure.

Page 11

4

FILING OF A GRIEVANCE Once a Grievance is filed by a Grievant, the ELC shall utilize the Grievance Form as referenced by this policy and procedure to properly document the Grievance. A Grievant may utilize additional pages as well as provide supporting information, documentation and data when filing a Grievance pursuant to this policy and procedure. GRIEVANCE PROCESS

I. Grievance against a Service Provider (Contract between Contractor and Service Provider)

A Grievance by a Client or another Service Provider against a Service Provider shall be as follows:

a. In the event a Service Provider is a Grievant that has a Grievance against another Service

Provider and both Service Providers have a contract with a Contractor, the Service Provider as the Grievant shall file their grievance in accordance with the dispute resolution section of their Contract with the Service Provider or the Contractor’s Grievance Policy and Procedure, whichever is applicable to the Service Provider(s).

b. After notice of a Grievance by a Grievant who is a Client, ELC staff shall contact the

Grievant and direct the Grievant to the Contractor responsible for monitoring the Service Provider on behalf of the ELC. If the Service Provider is not monitored by a Contractor, but has a direct contract with the ELC, the Grievant may skip this section and go directly to Section III of the ELC’s Grievance Policy and Procedure. In the event the Service Provider is being monitored by a Contractor on behalf of the ELC, the Grievant shall be verbally advised of the ELC’s Grievance Policy and Procedures and provide the Grievant with written contact information for the Contractor by ELC staff. The Grievant, as part of the information provided to the Grievant by ELC staff, will be directed to follow the Contractor’s grievance process prior to accessing the grievance process for the ELC.

c. The Grievant shall be offered the opportunity to return to the ELC in order to address the

Grievance if a resolution or response is not obtained from the Contractor. The ELC will also provide the Grievant contact information for the ELC.

d. ELC staff will make a record of the Grievance and provide the Grievant with a copy of the

ELC’s Grievance Policy & Procedures.

e. A Grievance must first be presented to the Contractor by the Grievant in accordance with the grievance process established by the Contractor.

f. Within five (5) business days of receipt of the Grievance, ELC staff will follow-up with

the Contractor as to the status of the Grievance.

g. The Contractor shall respond to a Grievance filed by a Grievant in accordance with the Contractor’s grievance process, but in no event within a time frame that exceeds ten (10) calendar days of receipt of the Grievance. The Contractor will maintain a record of the Grievance and the Contractor and will file a monthly report with the ELC regarding the Contractor’s handling of the Grievances until its resolution.

Page 12

5

h. The Grievant must follow and complete the Contractor’s grievance appeal process In the

event the Grievant cannot reach a resolution with the Service Provider and Contractor as stated herein, the Grievant will be allowed to access the grievance process as set forth in Section II of the procedure portion of the ELC’s Grievance Policy and Procedure.

II. Service Provider Grievance Appeal Process to ELC (Contract between Contractor and Service Provider)

In the event the Grievant and the Service Provider cannot reach a resolution in accordance with the Contractor’s grievance process as set forth in Section I of the procedure portion of the ELC’s Grievance Policy and Procedure, the Grievant or the Service Provider shall be offered an opportunity to appeal the decision of the Contractor to the ELC.

a. Parties appealing a Contractor’s decision must submit written notice of the appeal of

the Grievance to the ELC within ten (10) calendar days of the Contractor’s decision. Written notice shall include:

i. The specific act(s) or omission(s) that is the basis of the Grievance; and

ii. The date of occurrence of the act(s) or omission(s) that form the basis of the

Grievance; and

iii. A detailed explanation of how the Grievant was adversely affected by the act, omission or decision. If known, the Grievant will provide specific legislation, policy, procedure, statute, etc. that was violated by the Service Provider.

iv. If an appeal is done by the Service Provider, a detailed explanation of their

objections to the Contractor’s decision; and

v. The name, address, and telephone number of an individual who can act on behalf of the Grievant if the Grievant is an entity or has a designated representative. The name, address and telephone number of an individual who can act on behalf of the Service Provider; and

vi. Any supporting documentation regarding the Grievance, or in the case of the Service

Provider, objections to the Contractor’s decision; and

vii. A copy of the final decision of the Contractor.

b. The Grievant shall submit a Grievance to the attention of the CEO at the ELC’s office address if the Grievant is not satisfied with the Contractor’s decision. The Service Provider shall submit a copy of its objections to the Contractor’s decision (“Objections”) to the attention of the CEO at the ELC’s office address if the Service Provider is not satisfied with the Contractor’s decision.

c. Within five (5) business days of receipt of the Grievance or the Objections, the CEO or

Page 13

6

their designee shall provide written acknowledgement of the receipt of the Grievance or the Service Provider’s objections to the Contractor’s decision and ensure that the Grievant is provided with a copy of the Early Learning Coalition of Broward County, Inc. Grievance Policy & Procedure unless said policy and procedure appears on the Coalition’s website in which case the Coalition will not be required to provide said policy and procedure to the Grievant. The Grievance or the Objections shall be forwarded to the Grievance Review Committee.

d. The Grievance Review Committee shall contact the Contractor to ensure that the Grievant

has followed the Contractor’s grievance process, if applicable. If a Contractor’s grievance process was not followed or completed by the Grievant, the ELC staff shall refer the Grievant to Section I of the procedure portion of the ELC’s Grievance Policy and Procedure. If the Contractors grievance process was followed and completed by the Grievant, ELC staff shall contact the Contractor to obtain all available supplemental and documentary information regarding the Grievance for immediate review and consideration.

e. Within five (5) business days after receiving confirmation that the Grievant followed the

Contractor’s grievance process, the Grievance Committee or its designated representative shall contact the Grievant and Service Provider in order to ensure that all documentation, information and/or data regarding the Grievance and if applicable, the Objections has been provided to the ELC and the Contractor. ELC staff shall maintain a log regarding dates of contact and attempted contact with the Grievant and the Service Provider.

f. If a resolution of the Grievance is reached with the Grievant, Service Provider and the

Contractor, a report sufficiently detailing the Grievance and its resolution shall be created and maintained by the ELC.

g. If a resolution is not reached with the Grievant, Service Provider and Contractor prior to

the Grievance Committee hearing, the Grievance or if applicable, the Objections as well as any related documentation, information and data shall be compiled by ELC staff and forwarded to each member of the Grievance Review Committee.

h. ELC staff shall schedule a hearing date before the Grievance Review Committee. ELC

staff shall use its best efforts to schedule the Grievance Review Committee hearing at a mutually convenient time and date for the Grievant, the Service Provider and the Grievance Review Committee members. The hearing shall take place no less than fifteen (15) business days and no more than forty five (45) business days from the filing of the Grievance by the Grievant. The process shall be as follows:

i. After scheduling and notification, the Grievant and Service Provider must be present

at hearing in order to be heard on the issues related to the complaint. The hearing shall be recorded and minutes shall be taken.

ii. If the Grievant and Service Provider agrees with the decision of the Grievance Review

Committee, the Grievant and the Service Provider shall sign and date the decision set forth in the Grievance Review Committee report. The Grievant and Service Provider shall be advised of the right to appeal to the Grievance Committee’s decision to the

Page 14

7

CEO.

iii. The decision of the Grievance Review Committee shall be reduced to writing and presented to the Grievant and Service Provider within five (5) business days from the date of the hearing.

iv. The Grievant or Service Provider shall have five (5) business days from the date of

receipt of the Grievance Review Committee’s decision regarding the Grievance or if applicable, the Objections to notify the ELC that the Grievant or the Service Provider desires to appeal the recommendation of the Grievance Review Committee.

i. Within five (5) business days from receipt of the Grievant’s or Service Provider’s notice

of appeal of the decision of the Grievance Review Committee to the CEO, said committee shall present the CEO with all hearing documentation, minutes and any available transcript from Grievance Review Committee hearing. Grievant will be entitled to have a court reporter present at the hearing, if requested by Grievant and said requested court reporter will be at the Grievant’s expense.

j. Within ten (10) business days from receipt of the Grievant’s or Service Provider’s notice

of appeal of the decision of the Grievance Review Committee to the CEO, the CEO shall review the materials from the Grievance Committee hearing and prepare a final written decision accepting, rejecting or amending any portion of the Grievance Review Committee final determination. In the case of the CEO’s temporary absence, the Grievant and Service Provider will be notified of the delay of the CEO’s decision.

k. The decision of the CEO shall be the final determination regarding the Grievance. The

written decision of the CEO shall be forwarded to the Grievant and Service Provider within five (5) business days of the CEO’s final determination. The CEO’s final determination as well as the Grievance Committee’s report will be recorded and maintained by the ELC subsequent to the conclusion of the grievance process as stated herein.

III. Service Provider Grievance Process (Contract between ELC and Service Provider)

a. A Grievance by a Client or another Service Provider against a Service Provider shall be as follows:

i. The specific act(s) or omission(s) that is the basis of the Grievance: and

ii. The date of occurrence of the act(s) or omission(s) that form the basis of the

Grievance; and

iii. A detailed explanation of how the Grievant was adversely affected by the act, omission or decision. If known, the Grievant will provide specific legislation, policy, procedure, statute, etc. that was violated by the Service Provider: and

iv. The name, address, and telephone number of an individual who can act on

behalf of the Grievant if the Grievant is an entity or if the Client has a designated representative; and

Page 15

8

v. Any supporting documentation regarding the Grievance.

b. Grievant shall submit the Grievance to the attention of the CEO at the ELC’s office

address.

c. Within five (5) business days of receipt of the Grievance, the CEO or their designee shall provide written acknowledgement of the receipt of the Grievance and ensure that the Grievant is provided with a copy of the Early Learning Coalition of Broward County, Inc. Grievance Policy & Procedure unless said policy and procedure appears on the Coalition’s website in which case the Coalition will not be required to provider said policy and procedure to the Grievant. The Grievance shall be forwarded to the Grievance Review Committee by ELC staff.

d. Within five (5) business days after receiving notification of the Grievance, the Grievance

Committee or its designated representative shall contact the Grievant in order to obtain all documentation, information and/or data regarding the Grievance. ELC staff shall log dates of contact and attempted contact with the Grievant as well as any witnesses or persons having knowledge as part of its investigation as well as the outcome of the those contacts that were made or attempted as set forth herein. The Grievance Committee or its designated representative shall also contact the Service Provider and inform the Service Provider of the Grievance. The ELC staff shall obtain all documentation, information and/or data regarding the Grievance as well as any information regarding any contact (phone, email, or otherwise) with the Grievant regarding the Grievance and if applicable, the Service Provider’s response to the Grievant regarding the Grievance from the Service Provider.

i. If a resolution is reached with the Grievant and Service Provider prior to the Grievance

Committee hearing, a report sufficiently detailing the Grievance and its resolution shall be created and maintained by the ELC.

ii. If a resolution is not reached with the Grievant and Service Provider prior to the

Grievance Committee hearing, the Grievance and any related or associated documentation, information and data shall be compiled by ELC staff and provided to each member of the Grievance Review Committee.

iii. ELC staff shall schedule a hearing date before the Grievance Review Committee. ELC staff shall use it best efforts to schedule the Grievance Review Committee hearing at

a mutually convenient date and time for the Grievant, Service Provider and the Grievance Review Committee. The hearing shall take place no less than fifteen (15) business days and no more than forty (45) business days from the filing of the Grievance by the Grievant. The process shall be as follows:

1) After scheduling, the Grievant and Service Provider must be present at the

hearing in order to be heard on the issues related to the complaint. The hearing shall be recorded and minutes shall be taken.

2) If the Grievant and Service Provider agrees with the decision of the

Grievance Review Committee, a report sufficiently detailing the Grievance

Page 16

9

and its resolution shall be created and maintained by the ELC. 3) The final determination of the Grievance Review Committee shall be

reduced to writing and presented to the Grievant and Service Provider within five (5) business days from the date of the hearing. The Grievant and Service Provider shall be advised of the right to an appeal to the decision of the Grievance Review Committee to the CEO.

4) The Grievant or Service Provider shall have five (5) business days from the

date of receipt of the Grievance Review Committee’s decision to notify the ELC that the Grievant or Service Provider desires to appeal the decision of the Grievance Review Committee to the CEO.

e. Within five (5) business days from receipt of the Grievant’s or Service Provider’s notice

of appeal of the decision of the Grievance Review Committee to the CEO, said committee shall present the CEO with all hearing documentation, minutes and any available transcript from the Grievance Review Committee hearing.

f. Within ten (10) business days from receipt of the Grievant’s or Service Provider’s notice

of appeal of the decision of the Grievance Review Committee to the CEO, the CEO shall review the materials from the Grievance Committee hearing and prepare a final written decision accepting, rejecting or amending any portion of the Grievance Review Committee final determination. In the case of the CEO’s temporary absence, the Grievant and Service Provider will be notified of the delay of the CEO’s decision.

g. The decision of the CEO shall be the final determination regarding the Grievance. The

final determination shall be forwarded to the Grievant and Service Provider within five (5) days of the CEO’s final determination. The CEO’s final determination as well as the Grievance Committee’s report will be recorded and maintained by the ELC subsequent to the conclusion of the grievance process as stated herein.

IV. Grievance against ELC Staff

A Grievance by a Client, government entity, or a person that is not an employee of the ELC, a Vendor, Contractor, Service Provider, or Subcontractor, against an ELC Staff member shall follow the grievance process as set forth in Section IV of the ELC’s Grievance Policy and Procedure as follows:

a. Grievant shall be verbally advised of the ELC’s grievance policy and procedures and

provided with contact information for the ELC.

b. Grievant shall file a Grievance with the ELC and said Grievance shall include the following:

i. The specific act(s) or omission(s) that is the basis of the Grievance; and

ii. The date of occurrence of the act(s) or omission(s) that form the basis of the Grievance; and

Page 17

10

iii. A detailed explanation of how the Grievant was adversely affected by the act,

omission or decision. If known, the Grievant will provide specific legislation, policy, procedure, statute, etc. that was violated by the ELC staff member; and

iv. The name, address, and telephone number of an individual who can act on

behalf of the Grievant if the Grievant is an entity or if a Client has a designated representative; and

v. Any supporting documentation regarding the Grievance

c. Grievant shall submit the Grievance to the attention of the CEO at the ELC’s office

address.

d. Within five (5) business days of receipt of the Grievance, the ELC’s CEO shall provide written acknowledgement of the receipt of the Grievance to the Grievant and inform the Grievant that the Grievance will be reviewed by the ELC. The ELC will handle and/or investigate the Grievance against the ELC staff member in accordance with the ELC’s employee manual as well as in accordance with those applicable policies and procedures of the ELC, which includes, but is not limited to the ELC personnel policies and the ELC’s Professional Code of Conduct. In the event there is an unallowable conflict between applicable law (federal and Florida) and the ELC’s employee manual and its applicable policies and procedures regarding the handling, investigation and resolution of the Grievance as it pertains to an ELC staff member, the applicable law will prevail.

e. Once an investigation of the Grievance has been completed, the ELC’s CEO shall inform

the Chair and General Counsel of the results of said Grievance and if applicable, any findings and actions taken by the CEO and/or ELC staff. The CEO will also inform the appropriate Board committee or, if applicable, the Board of any adverse impact or effect on the ELC and/or its Client(s) as a result of the actions or omissions of the ELC staff member that was the subject of the Grievance, which would include, but not be limited to any inquiry or notice received by the ELC from a third party agency or authority concerning the Grievance and/or ELC staff member. The CEO shall keep the Chair and General Counsel informed, as needed, of any and all circumstances that could form the basis of a claim, investigation, proceeding, charges, lawsuit or other action against the ELC as well as any correspondences or notices threatening action against the ELC as a result of the acts or omissions of the ELC staff member that was the subject of the Grievance. Any information or reporting provided to a Board committee, or if applicable, to the Board of the Grievance as it pertains to an ELC staff member shall not be in violation of any applicable federal and/or Florida law, or in violation of the ELC’s policies and procedures.

f. The CEO, if allowed pursuant to applicable federal and/or Florida law, will inform the

Grievant of the results of the ELC’s investigation of the Grievance against the ELC staff member. In no event will an ELC staff member that is the subject of a Grievance be a member of the Grievance Review Committee.

V. Grievance against a Member or the Chief Executive Officer

Page 18

11

A Grievance by a Client, a person, or a government entity that is not contracted with the ELC or a Contractor against a Member or the Chief Executive Officer shall be done as follows:

a. The Grievance must be sent by the Grievant to the attention of the Chief Executive Officer

with a copy to the General Counsel. In the event the Grievance is concerning the Chief Executive Officer, the Grievance will be sent to the Board Chair with a copy to the General Counsel. In the event the Grievance concerns both the Chief Executive Officer and the Board Chair, and then said Grievance must be directed to the General Counsel. The Grievant shall be verbally advised of the ELC’s grievance policy and procedures and provided with written contact information for the appropriate person to accept said Grievance from the Grievant on behalf of the ELC.

b. Within five (5) business days of written receipt of the Grievance, ELC staff shall provide

a written acknowledgement of the receipt of Grievance to the Grievant and shall ensure that the Grievant is provided with a copy of the Early Learning Coalition of Broward County, Inc. Grievance Policy & Procedure unless said policy and procedure appears on the Coalition’s website in which case the Coalition shall not be required to provider said policy and procedure to the Grievant.

c. Within five (5) business days of written receipt of the Grievance, the Chief Executive

Officer shall notify the Member in writing of said Grievance and provide a copy of said Grievance to the Member. If the Grievance concerns the Chief Executive Officer, the Chair of the Board shall notify the Chief Executive Officer in writing of said Grievance and provide a copy of said Grievance to the Chief Executive Officer. In the event the Grievance concerns the Chief Executive Officer and the Chair, the General Counsel shall notify the Chair and the Chief Executive Officer in writing of said Grievance and will provide a copy of said Grievance to the Chief Executive Officer and Chair of the Board. The Member or the Chief Executive Officer that is the subject of the Grievance may choose to provider a written reply or response regarding said Grievance to the person who accepted the Grievance on behalf of the ELC. In the event the Grievance concerns the Chief Executive Officer and the Chair of the Board, a written reply or response to the Grievance shall be directed to the General Counsel and to the Chair of the Governance Committee.

d. The Chair and the Chief Executive Officer shall use their best efforts to handle, inquire,

investigate and if possible resolve the Grievance with the Grievant prior to the convening of the Governance Committee. If either the Chair or Chief Executive Officer is the subject of the complaint or grievance, the matter shall be referred to the party (Chief Executive Officer or Chair of the Board) who is not the subject of the Grievance and said party shall use their best efforts to handle, inquire, investigate and, if possible, resolve the Grievance with the Grievant prior to the convening of the Governance Committee. Within thirty (30) business days of written receipt of said Grievance, the Governance Committee shall convene a meeting to hear said Grievance if said Grievance has not been resolved with the Grievant prior to convening of the Governance Committee. In the event the Chief Executive Officer and/or the Chair are the subject of the Grievance, the Grievance will be heard by the Governance Committee.

e. The Governance Committee may in its sole discretion, refer the Grievance to a state agency

Page 19

12

or entity having authority to review, investigate, handle and/or render a decision regarding the Grievance such as the Florida’s Commission on Ethics or the office of the inspector general for a state agency or local agency, as applicable. The Governance Committee’s decision regarding referral may be made any time prior or at the time of the scheduled meeting regarding the Grievance. In the event that the allegations or violations set forth in a Grievance is of such an urgency or severity that certain actions should or must be taken by the Board and/or the Executive Committee, as applicable, while the Grievance is being reviewed by a governmental agency or entity as set forth herein, the Governance Committee may hear and consider the Grievance at the time of, or subsequent to the referral of the Grievance as set forth herein. The Governance Committee may make a recommendation to the Executive Committee and/or to the Board, as applicable, to take certain actions concerning the Grievance while the Grievance is pending with governmental agency or entity having authority to review and make a determination regarding the matters set forth within the Grievance.

f. In the event an agency decides not to accept the referral or does not render a final

determination regarding the Grievance, the Governance Committee will hold a hearing on the Grievance at the Grievant’s request in order to make a recommendation to the Executive Committee and/or the Board, as applicable.

g. The Grievant and the Member or Chief Executive Officer who is the subject of the Grievance

must be present at the Governance Committee meeting in order to be heard on the issues related to the Grievance. The Chief Executive Officer, if said person is not the subject of the Grievance, shall present to the Governance Committee the results of any inquiry or investigation of the Grievance. The Grievant will also be required to present any evidence in form of documentation and/or witnesses to support the allegations stated within the Grievance. In the event the Chief Executive Officer or the Chair is the subject of the Grievance, the results of any inquiry investigation shall be presented by General Counsel. Notwithstanding the foregoing, in no event shall the time to hear a Grievance before the Governance Committee be more than sixty (60) calendar days from the date of receipt of the Grievance by the ELC. The Grievant and the Member or Chief Executive Officer will be informed of the final recommendation of the Governance Committee no later than thirty (30) calendar days from the date of the hearing of the Grievance before the Governance Committee. The Governance Committee’s final recommendation shall be in the form of a written report to be presented to the Board.

h. Notwithstanding the foregoing, in no event shall the time to hear and/or report on a

Grievance before the Board exceed more than ninety (90) calendar days from the date of receipt of the Grievance by the ELC.

VI. Grievance against a Contractor

A Grievance by a Client, a Vendor, a Subcontractor or a Service Provider against a Contractor shall be done as follows:

a. The Grievance must be sent by the Grievant to the attention of the ELC.

Page 20

13

b. After notice from a Grievant of a Grievance, ELC staff shall verbally advise the Grievant of the ELC’s Grievance Policy and Procedures and provide the Grievant with written contact information for the Contractor. The Grievant, as part of the information provided to the Grievant by ELC staff, will be directed to follow the Contractor’s grievance process prior to accessing the grievance process for the ELC.

c. Grievant shall be offered the opportunity to return to the ELC if a resolution or response

is not obtained from the Contractor. The ELC will provide the Grievant the written contact information for the ELC.

d. ELC staff shall record the Grievance and provide the Grievant with a copy of the ELC’s

Grievance Policy & Procedures. e. A Grievance must first be presented to the Contractor by the Grievant in accordance with

grievance process established by the Contractor. f. Within five (5) business days of receipt of the Grievance, ELC staff shall follow-up with

the Contractor as to the status of the Grievance.

g. The Contractor shall respond to a Grievance filed by a Grievant in accordance with its grievance process, but in no event within a time frame that exceeds seven (7) calendar days of receipt of the Grievance. The Contractor will maintain a record of the Grievance and file a monthly report regarding the Contractor’s handling of the Grievances until its resolution with the ELC.

h. The Grievant must follow and complete the Contractor’s grievance appeal process. The

ELC will intervene if the Grievance cannot be resolved between the Grievant and the Contractor through the Contractor’s grievance process. In the event the Grievant cannot reach a resolution with the Contractor, the Grievant shall follow the grievance process as set forth in Section VII of the procedure portion of the Grievance Policy and Procedure.

VII. Contractor Grievance Appeal Process

In the event the Grievant cannot reach a resolution with Contractor in accordance with the Contractor’s grievance process, the Grievant shall be offered an opportunity to appeal the decision of the Contractor to the ELC.

a. A Grievant appealing a Contractor’s decision must submit written notice of the appeal

of the Grievance within ten (10) calendar days of the Contractor’s decision. Written notice shall include: i. The specific act(s) or omission(s) that is the basis of the Grievance; and

ii. The date of occurrence of the act(s) or omission(s) that form the basis of the Grievance; and

iii. A detailed explanation of how the Grievant was adversely affected by the act, omission or decision. If known, the Grievant will provide specific legislation, policy, procedure, statute, etc. that was violated by the Contractor; and

Page 21

14

iv. The name, address, and telephone number of an individual who can act on behalf of the Grievant if the Grievant is an entity or if the Client has a designated representative; and

v. Any supporting documentation regarding the Grievance; and vi. A copy of the final decision and recommendation of the Contractor.

b. Grievant shall submit a Grievance to the attention of the CEO at the ELC’s office address. c. Within five (5) business days of receipt of the Grievance, the CEO or their designee shall

provide written acknowledgement of the receipt of the Grievance and ensure that the Grievant is provided with a copy of the Early Learning Coalition of Broward County, Inc. Grievance Policy & Procedure unless said policy and procedure appears on the Coalition’s website in which case the Coalition will not be required to provide said policy and procedure to the Grievant. The Grievance shall also be forwarded to the Grievance Review Committee by ELC staff.

d. The Grievance Review Committee or their designated representative, shall contact the

Contractor to ensure that the Grievant has followed and completed the Contractor’s grievance process. If a Contractor’s grievance process was not followed and completed by the Grievant, ELC staff shall refer the Grievant to Section VI of the procedure portion of the ELC’s Grievance Policy and Procedure. If the Contractor’s grievance process was followed and completed by the Grievant, ELC staff shall contact the Contractor to obtain all available supplemental and documentary information for immediate review.

e. Within five (5) business days after receiving notification of the Grievance and

confirmation that the Grievant followed and completed the Contractor’s grievance process, the Grievance Committee or its designated representative shall contact the Grievant, in order to ensure that all documentation, information and/or data regarding the Grievance has been provided to the ELC and the Contractor. ELC staff shall maintain a log all dates of contact and attempted contact with the Grievant.

f. If a resolution is reached with the Grievant and Contractor prior to the Grievance


g. If a resolution is not reached with the Grievant and Contractor prior to the Grievance

Committee hearing, the Grievance and any related documentation, information and data shall be compiled by ELC staff and provided to each member of the Grievance Review Committee.

h. ELC staff shall schedule a hearing date before the Grievance Review Committee. ELC

staff shall use it best efforts to schedule the Grievance Review Committee hearing at a mutually convenient date and time for the Grievant, the Contractor and the Grievance Review Committee members. The hearing shall take place no less than fifteen (15) business days and no more than forty (45) business days from the filing of the Grievance by the Grievant. The process shall be as follows:

i. After scheduling, the Grievant and Contractor must be present at the hearing in

Page 22

15

order to be heard on the issues related to the complaint. The hearing shall be recorded and minutes shall be taken.

ii. If the Grievant and Contractor agrees with the determination of the Grievance

Review Committee, the Grievant and the Contractor shall sign and date the decision as set forth in the Grievance Review Committee report. In the event the Grievant or Contractor does not agree with the decision of the Grievance Review Committee, the Grievant and Contractor shall be advised of the right to appeal the decision of the Grievance Committee to the CEO.

iii. The final determination of the Grievance Review Committee shall be reduced to

writing in the form of a report and presented to the Grievant and Contractor within five (5) business days from the date of the hearing.

iv. The Grievant and the Contractor shall have five (5) business days from the date

of receipt of the Grievance Review Committee’s decision to notify the ELC that the Grievant or the Contractor desires to appeal the decision of the Grievance Review Committee to the CEO.

i. Within five (5) business days from receipt of the Grievant’s or Contractor’s notice of

appeal of the decision of the Grievance Review Committee to the CEO, said committee shall present the CEO with all hearing documentation, minutes and any available transcripts from the Grievance Review Committee hearing.

j. Within ten (10) business days from receipt of the Grievant’s or Contractor’s notice of

appeal of the decision of the Grievance Review Committee to the CEO, the CEO shall review the materials from the Grievance Committee hearing and prepare a written final decision accepting, rejecting or amending any portion of the Grievance Review Committee decision. In the case of the CEO’s temporary absence, the Grievant and the Contractor will be notified of the delay of the CEO’s decision.

k. The decision of the CEO shall be the final authority regarding the Grievance for purposes

of appeal and shall be forwarded to the Grievant and Contractor within five (5) days of the CEO’s final determination. The CEO’s final determination as well as the Grievance Committee’s report will be recorded and maintained by the ELC subsequent to the conclusion of the grievance process as stated herein.

In the event a Grievance is filed by a Contractor against another Contractor, the Grievance will be heard as follows:

l. Grievant shall file a Grievance with the ELC and said Grievance shall include the

following:

i. The specific act(s) or omission(s) that is the basis of the Grievance; and ii. The date of occurrence of the act(s) or omission(s) that form the basis of the

Grievance; and iii. A detailed explanation of how the Grievant was adversely affected by the

act, omission or decision. If known, the Grievant will provide specific

Page 23

16

legislation, policy, procedure, statute, etc. that was violated by the Contractor; and

iv. The name, address, and telephone number of an individual who can act on behalf of the Grievant; and

v. Any supporting documentation regarding the Grievance

m. Grievant shall submit the Grievance to the attention of the CEO at the ELC’s office address.

n. Within five (5) business days of receipt of the Grievance, the CEO or their designee and

the ELC Contract Manager for the Contactor, shall provide written acknowledgement of the receipt of the Grievance and ensure that the Grievant is provided with a copy of the Early Learning Coalition of Broward County, Inc. Grievance Policy & Procedure unless said policy and procedure appears on the Coalition’s website in which case the Coalition will not be required to provide said policy and procedure to the Grievant. The Grievance shall be forwarded to the Grievance Review Committee by ELC staff.

o. Within five (5) business days after receiving notification of the Grievance, the Grievance

Committee or its designated representative shall contact the Grievant in order to obtain all documentation, information and/or data regarding the Grievance. ELC staff shall log dates of contact and attempted contact with the Grievant, as well as any witnesses or persons having knowledge as part of its investigation, as well as the outcome of the those contacts that were made or attempted as set forth herein. The Grievance Committee or its designated representative shall also contact the Contractor and inform the Contractor of the Grievance. The ELC staff shall obtain all documentation, information and/or data regarding the Grievance as well as any information regarding any contact (phone, email, or otherwise) with the Grievant regarding the Grievance.

p. If a resolution is reached with the Grievant and Contractor prior to the Grievance


q. If a resolution is not reached with the Grievant and Contractor prior to the Grievance

Committee hearing, the Grievance and any related or associated documentation, information and data shall be compiled by ELC staff and provided to each member of the Grievance Review Committee.

r. ELC staff shall schedule a hearing date before the Grievance Review Committee. ELC staff

shall use it best efforts to schedule the Grievance Review Committee hearing at a mutually convenient date and time for the Grievant, Contractor and the Grievance Review Committee. The hearing shall take place no less than fifteen (15) business days and no more than forty (45) business days from the filing of the Grievance by the Grievant.

i. After scheduling, the Grievant and Contractor must be present at the

hearing in order to be heard on the issues related to the complaint. The hearing shall be recorded and minutes shall be taken

ii. If the Grievant and Contractor agrees with the decision of the Grievance

Page 24

17

Review Committee, a report sufficiently detailing the Grievance and its resolution shall be created and maintained by the ELC.

iii. The final determination of the Grievance Review Committee shall be

reduced to writing and presented to the Grievant and Contractor within five (5) business days from the date of the hearing. The Grievant and Contractor shall be advised of the right to an appeal to the decision of the Grievance Review Committee to the CEO.

iv. The Grievant or Contractor shall have five (5) business days from the date

of receipt of the Grievance Review Committee’s decision to notify the ELC that the Grievant or Service Provider desires to appeal the decision of the Grievance Review Committee to the CEO.

s. Within five (5) business days from receipt of the Grievant’s or Contractor’s notice of appeal

of the decision of the Grievance Review Committee to the CEO, said committee shall present the CEO with all hearing documentation, minutes and any available transcript from the Grievance Review Committee hearing.

t. Within ten (10) business days from receipt of the Grievant’s or Contractor’s notice of appeal

of the decision of the Grievance Review Committee to the CEO, the CEO shall review the materials from the Grievance Committee hearing and prepare a final written decision accepting, rejecting or amending any portion of the Grievance Review Committee final recommendation. In the case of the CEO’s temporary absence, the Grievant and Contractor will be notified of the delay of the CEO’s decision.

u. Except as stated herein, the decision of the CEO shall be the final authority regarding the

Grievance for purposes of appeal and shall be forwarded to the Grievant and Contractor within five (5) days of the CEO’s final determination. The CEO’s final decision as well as the Grievance Committee’s report will be recorded and maintained by the ELC subsequent to the conclusion of the grievance process as stated herein.

v. In the event the CEO, after consultation with the Chair and General Counsel, feels the

Grievance is of such urgency, severity and/or impact that the Grievance should be heard and decided by the Board, the CEO will schedule the Grievance to be heard as an agenda item at the next scheduled Board meeting within five (5) business days of receipt of the final decision of the Grievance Committee. If the matter is of such urgency, severity and/or impact that the Grievance cannot wait until the next scheduled Board meeting, the CEO will immediately advise the Chair and the General Counsel in order to determine whether or not a special meeting of the Governance Committee and/or Board should be called to hear the Grievance pursuant to the ELC bylaws.

w. The Grievant and the Contractor must be present at the Board, or if applicable, the

Governance Committee meeting in order to be heard on the issues related to the Grievance. The Chief Executive Officer shall present to the Board, or if applicable, the Governance Committee the results of any inquiry or investigation of the Grievance and present a recommendation to the Board, or if applicable, the Governance Committee as it pertains to resolution of the Grievance. The Grievant will also be required to present any evidence in

Page 25

18

form of documentation and/or witness testimony to support the allegations stated within the Grievance. The Contractor may also present evidence in form of documentation and/or witnesses testimony to refute the allegations stated within the Grievance.

VIII. Grievance against the ELC by a Contractor, Service Provider, Vendor or Subcontractor

Except as provided in Section IX and X of the ELC’s Grievance Policy and Procedure, a Grievance filed by a Contractor, a Service Provider, a Vendor, a Subcontractor or the employees of any of the aforementioned entities against the ELC shall be in accordance with the dispute resolution provision of the contract between any of the aforementioned entities and the ELC. For purposes of this Section VIII of this policy and procedure, ELC shall include ELC staff, the CEO and a Member. A Service Provider or a Subcontractor that does not have a direct contract with the ELC for work and/or services under which the Grievance would arise will only be allowed to file a Grievance against the ELC if said Grievance is allowed under Section IX and Section X of the ELC’s Grievance Policy and Procedure. An entity (including its employees) that has a contract with the ELC, but is not a Contractor, Service Provider, Vendor or Subcontractor and desires to file a Grievance against the ELC will be limited to the dispute resolution provision of the contract between the entity and the ELC unless said entity would be allowed to file a Grievance under Section IX and Section X of the ELC’s Grievance Policy and Procedure. If there is a conflict between a dispute resolution provision contained in the Office of Early Learning (“OEL”) form contract between the ELC and the aforementioned entities and this policy and procedure, the dispute resolution provision within the OEL form contract will control; however, if the dispute resolution provision of the OEL form contract is silent on an area or procedure that is covered by this policy and procedure, the ELC’s Grievance Policy and Procedure shall be controlling for that area in which the OEL contract is silent. Notwithstanding the foregoing, in no event will this policy and procedure be interpreted to allow for any privity of contract where none exists, creation of third party beneficiary rights, or waiver of any legal rights and/or protections under a contract with the aforementioned entities, including, but not limited to sovereign immunity, that the ELC currently has or would have under said contract or pursuant to applicable law.

IX. Grievance Against The ELC By An Entity Or Person Regarding An ELC Procurement

A Grievance by a person or an entity regarding a procurement of the ELC shall be done in accordance with the applicable dispute resolution provisions of the advertised or released procurement, applicable federal and Florida statutes and codes, and, if applicable, the most current grant agreement between the ELC and Office of Early Learning. In the event there is unallowable conflict between applicable federal or state statues and codes and the dispute resolution provisions of the advertised or released procurement, applicable federal or state statute and codes will prevail.

X. Grievant Charged With Fraud, Misapplication Or Overpayment Of Funds

In the event a Grievant has been accused of fraud, misapplication or overpayment of funds, the Client shall follow the ELC’s Anti-Fraud Policy and Procedure, if applicable.

Page 26

19

XI. Grievance Against The ELC As An Entity (Decisions Or Actions Of The Board)

A Grievance by a Client, a person, or an entity against ELC that does not meet the requirements or parameters as set forth under Sections I through IX of the ELC’s Grievance Policy and Procedure shall be addressed as follows: a. After notice of a Grievance by a Grievant, ELC staff shall verbally advise the Grievant of

the ELC’s grievance process and provided the Grievant with written contact information for the ELC.

b. The Grievant shall submit a Grievance to the attention of the Chief Executive Officer with a copy to the General Counsel at the ELC’s office address.

c. Within five (5) business days after receiving notification of the Grievance from the

Grievant, the CEO or their designee shall assign the Grievance to the appropriate ELC staff member. A copy of the Grievance and all supporting documentation shall be provided to the assigned staff person for review. The ELC staff person will review of all documents related to the Grievance and contact all appropriate parties in an attempt to resolve the Grievance. The Grievance Committee shall also review the Grievance and confirm that the Grievance does not fall under any of the other sections of the ELC’s Grievance Policy and Procedure. A Grievant whose Grievance meets the requirements or parameters of Sections I through X of the ELC’s Grievance Policy and Procedure will not be allowed to file and/or have heard by the ELC the same Grievance under this Section XI. In the event the Grievance should be heard under another section of the ELC’s Grievance Policy and Procedure, the ELC staff member and if necessary, the Grievance Committee will inform the Grievant and direct the Grievant to the appropriate section of the ELC’s Grievance Policy and Procedure.

d. The ELC staff member assigned to the Grievance shall contact the Grievant within five (5)

business days from receipt of Grievance and shall ensure the Grievant is provided with a copy of the Early Learning Coalition of Broward County, Inc. Grievance Policy & Procedure. The assigned ELC staff member shall record all contact attempts, dates of contact, and the outcome of the contacts made with the Grievant.

e. If a resolution is reached between the ELC and Grievant, a report sufficiently detailing the

Grievance and its resolution shall be created and maintained by the ELC.

f. If a resolution is not reached within (30) days of receipt of the Grievance from the Grievant, the Grievance and all related documentation shall be submitted by the assigned ELC staff person to the CEO with a copy to the Chair and the General Counsel to be reviewed prior to being placed on the agenda before the appropriate Board Committee and if applicable, the Board for discussion and determination. The Grievance shall be heard as an agenda item by the appropriate Board committee or if applicable, the Board within sixty (60) days from receipt of said Grievance by the ELC. In the event the Grievance must first be heard by a Board committee instead of going directly to the Board, the Grievance shall be heard by the Board within ninety (90) days from the date of receipt of the Grievance by the ELC.

Page 27

20

GRIEVANCE REVIEW AS PART OF THE ELC’S RISK MANAGEMENT PROGRAM The ELC shall review, assess, evaluate and report on Grievances filed with the ELC as part of the ELC’s risk management program. EXCEPTIONS TO GRIEVANCE POLICY AND PROCEDURE In the event of an unallowable conflict between applicable federal and Florida statutes and administrative codes, the governing/funding agreement between OEL and the Coalition (“Grant Agreement”) and this Grievance Policy and Procedure, the applicable federal and Florida statutes and administrative codes, and/or the Grant Agreement will prevail. In the event there is a unallowable conflict between this Grievance Policy and Procedure and another ELC policy and procedure not specifically excepted herein, the Grievance Policy and Procedure shall control unless both policy and procedures conflict with applicable federal and Florida statutes and administrative codes, the governing/funding agreement between OEL and the Coalition in which case the applicable federal and Florida statutes and administrative codes, the governing/funding agreement between OEL and the Coalition. Notwithstanding the foregoing, any delay or postponement of the hearing and/or review process or procedure for a Grievance as set forth in this policy and procedure that is due, in whole or in part, to OEL’s actions, omissions and/or interpretations of Florida Statutes, Florida Administrative Code, and/or a governing/funding agreement between OEL and the Coalition shall relieve the Coalition any liability or fault as it concerns the commencement or continuation of a Grievance on behalf of a Grievant. This policy and procedure will not be applicable to any labor and employment related complaint, grievance or claim filed by an ELC staff member, job applicant, job candidate or other eligible person(s) against the ELC. In the event a Complaint or Grievance filed by a Grievant concerns an action or omissions that is presently, or that may subsequently meet the criteria for a whistleblower claim or action, said Grievance or Complaint shall be referred by the ELC to the proper parties to handle said claim or action as set forth under the ELC’s Whistleblower Policy and Procedure. MAINTENANCE OF GRIEVANCES AND ASSOCIATED DOCUMENTS BY THE ELC The ELC will store and maintain Grievances, Objections, and final determinations of the Grievance Review Committee, CEO, the Governance Committee and/or the Board in accordance with the ELC’s applicable records maintenance policy and procedure. Records of Grievances will be made available to the public in accordance with the ELC’s public records policy and procedure.

Page 28

1

Attachment II.A

ELC Policy Name: Minimum Children to Be Served by Care Level Policy and Procedure ELC Policy No.: Approval Date: Pending Board Approval Rev. Date(s): COA Standards: N/A

Purpose of Policy: To give a clear written course of action for ensuring that children served reflect the age groups as outlined in Florida Statute. Statement of Policy: It is the responsibility of the Early Learning Coalition of Broward County, Inc. (“ELC”) to ensure that all children served are within the age specified age groups in accordance with applicable Florida Statutes and Florida Administrative Codes, as well as in accordance with the guidance and protocol of the appropriate governing state agency for the ELC.

Board Chair’s Signature:___________________________ Date Signed: ____________________

Page 29

2

Attachment II.A


Definition(s)






that is reported to the ELC.


7. Enhanced Field System (“EFS”) - A data management system used by the Office of Early

Learning, the ELC and Contractor(s) to manage the Early Care and Education program.




general counsel services to the ELC. 11. Grievant shall mean a person or an entity that has filed a Grievance with the ELC or a

Contractor in accordance with the ELC’S Grievance policy and procedure. 12. Grievance shall mean the filing of an official written complaint with the ELC or a Contractor

by a Grievant in accordance with the ELC’S Grievance Policy and Procedure in which the Grievant seeks an official resolution and/or response regarding the complaint from the ELC or the Contractor.

Page 30

3

Attachment II.A


documentation and reporting of a Grievance within the ELC. 14. Member(s) shall have the same meaning as it does in the ELC bylaws.

15. School Readiness (“SR”) Programs - The Florida SR Program offers financial assistance to low-

income families for early education and care so they can become financially self-sufficient and their young children can be successful in school in the future. The SR program has three specific eligibility requirements:






17. Service Provider shall mean an eligible public school, private school, licensed or licensed-exempt

child care entity that has an agreement with the ELC and/or a Contractor to provide Voluntary Pre-Kindergarten (“VPK”) or School Readiness (“SR”) program services directly to children in Broward County in accordance with Florida Statutes. For purposes of this policy and procedure, the term “Service Provider” shall have the same meaning as the term “Provider” in any statewide agreement(s) for VPK and SR created by the Office of Early Learning (“OEL”), or any other governing state agency for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services.

18. Single Point of Entry (“SPE”) shall mean the process established in accordance with Florida

Statutes that allows parents to access Child Care Resource and Referral (“CCR&R”) services and to apply for SR and VPK Programs through the family portal. The SPE is the access point for the unified waiting list. If funding is not available, children eligible for the SR program will be placed on the uniform waiting list.

19. Single Statewide Information System – The single statewide information system is a statewide

integrated technology system to provide critical information to early learning ELCs, parents, partners and providers. The anticipated benefits of the single statewide information system include, but may not be limited to, the following – (1) streamlined administrative processes for attendance tracking, eligibility processing and provider payments, (2) data sharing opportunities for educators, parents, providers and state agencies and (3) easy online access to child care resources and referral information for early learning programs. The single statewide information system is made up of multiple component units including the core module (currently Enhanced Field System), Family Portal and Provider Portal.

Page 31

4

Attachment II.A

20. Subcontractor shall mean those persons or entities that have a contract with the the ELC or a Contractor and is retained to perform a portion or all of the SR and/or VPK program related services on behalf of the Contractor or ELC under those original contracts. For purposes of this definition, "SP and/or VPK program related work" shall mean services that would not fall under the definition of a “Vendor" such as instructional, client engagement, monitoring, reporting. This definition shall also excluded those person or entities that deliver or perform professional services. For purposes of this definition, “professional services shall mean accounting, finance, audit, legal or licensed healthcare related services.

21. Waiting List (Uniform Waiting List) shall mean the list of children whose families are deemed

potentially eligible for financial assistance for child care services in the county and are waiting for said care.

22. Vendor shall means a dealer, distributor, merchant or seller who provides the goods and services

within business operations; provides similar goods or services to many different purchasers; operates in a competitive environment; provides goods or services that are ancillary to the operation of the federal program; and is not subject to compliance requirements of the federal program. For purposes of this policy and procedure, the term “Consultant” shall have the same meaning as the term “Vendor”.

23. Voluntary Pre-kindergarten Education Program (“VPK”) - A free educational program that

prepares 4-year-olds for success in kindergarten and beyond. Children must live in Florida and be four (4) years old on or before September 1st of the current year to be eligible. The program helps children build a strong foundation using educational materials that fit their developmental needs. Private child care centers (including family child care homes), public schools, and specialized instructional service providers may offer VPK. Parent may choose from one of the following programs:




MINIMUM NUMBER OF CHILDREN TO BE SERVED BY CARE LEVEL

The ELC will submit to OEL the minimum number of children that will be served by the ELC in accordance with the care level along with the submission of the SR Plan by printing the corresponding report from the Single Statewide Information System.

Page 32

Attachment II.C

1

ELC Policy Name: Waiting List Implementation Policy and Procedure ELC Policy No.: Approval Date: Pending Board Approval, 2/13/15 Rev. Date(s): COA Standards: N/A

Purpose of Policy: To give a clear written course of action for the preliminary screening for eligibility to determine whether or not a family is potentially eligible for services.

Statement of Policy: The Early Learning Coalition of Broward County, Inc. (“ELC”) and/or the Contractor will conduct a preliminary screening of families enrolled in the Family Portal to determine whether or not a family is potentially eligible for services. This screening will minimally look at the family’s statement of income, family size, and type of service required. Eligible children will be placed on the waiting list by the child’s legal name, age, probable eligibility priority and funding group, and type of service requested. Children will be prioritized according to their date of application and their eligibility priority. The ELC or its’ Contractor will validate each name on the waiting list every six (6) months with updated information. If a family does not validate, or if upon validation a purpose of care no longer exists, they become ineligible and are removed from the waiting list. An unborn child is not eligible to be placed on the waiting list. This policy is developed in accordance with Florida Statutes and Florida Administrative Codes, as well as, in accordance with the guidance and protocol of the appropriate governing state agency for the ELC.

Board Chair’s Signature: _____________________________ Date Signed: ___2/13/2015________

Page 33

Attachment II.C

2


Definition(s) 1. Board shall have the same meaning as it does in the ELC bylaws.




5. Complaint shall mean notice of an adverse or unsatisfactory matter, process, result, or condition that is reported to the ELC.


7. Enhanced Field System (“EFS”) - A data management system used by the Office of Early Learning, the ELC and Contractor(s) to manage the Early Care and Education program.


9. ELC 2 Contractor - The contractor chosen by the Coalition as a result of its procurement activities to perform Eligibility and Enrollment and Fiscal Administration for the School Readiness, Child Care Executive Partnership, Voluntary Prekindergarten, and Financially Assisted Child Care Programs on behalf of the Coalition.

10. General Counsel shall mean the primary law firm contracted with the ELC to provide legal and general counsel services to the ELC.

11. Grievant shall mean a person or an entity that has filed a Grievance with the ELC or a Contractor in accordance with the ELC’S Grievance policy and procedure.

12. Grievance shall mean the filing of an official written complaint with the ELC or a Contractor by a Grievant in accordance with the ELC’S Grievance Policy and Procedure in which the Grievant seeks an official resolution and/or response regarding the complaint from the ELC or the Contractor.

13. Grievance Form shall mean an internal ELC-approved form utilized by the ELC for the documentation and reporting of a Grievance within the ELC.

Page 34

Attachment II.C

3

14. Member(s) shall have the same meaning as it does in the ELC bylaws.

15. School Readiness Programs - The Florida SR Program offers financial assistance to low-income families for early education and care so they can become financially self-sufficient and their young children can be successful in school in the future. The SR program has three specific eligibility requirements: a. 15.1 Parent(s)/guardian(s) must be working or participating in and educational activity, such

as attending college or trade school at least 20 hours per week or a total of 40 hours per week for a two-parent household.

b. 15.2 Gross Income must be at or below 150 percent of the federal poverty level for family size to enter the program.

c. 15.3 Families must pay a copayment for child care based on income and family size unless waived in accordance with the Child Card Development Fund (“CCDF”) State Plan.

16. Service Agreement - An agreement for service with a Service Provider that defines established criteria for the delivery of an Early Care and Education Program that may include an established rate of payment for a specified unit of service.

17. Service Provider shall mean an eligible public school, private school, licensed or licensed-exempt child care entity that has an agreement with the ELC and/or a Contractor to provide Voluntary Pre-Kindergarten (“VPK”) or School Readiness (“SR”) program services directly to children in Broward County in accordance with Florida Statutes. For purposes of this policy and procedure, the term “Service Provider” shall have the same meaning as the term “Provider” in any statewide agreement(s) for VPK and SR created by the Office of Early Learning (“OEL”), or any other governing state agency for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services.

18. Single Point of Entry (“SPE”) shall mean the process established in accordance with Florida Statutes .that allows parents to access the Child Care Resource and Referral (“CCR&R”) services and to apply for SR and VPK Programs through the family portal. The SPE is the access point for the unified waiting list. If funding is not available, children eligible for the SR program will be placed on the uniform waiting list.

19. Single Statewide Information System – The single statewide information system is a statewide integrated technology system to provide critical information to early learning coalitions, parents, partners and providers. The anticipated benefits of the single statewide information system include, but may not be limited to, the following – (1) streamlined administrative processes for attendance tracking, eligibility processing and provider payments, (2) data sharing opportunities for educators, parents, providers and state agencies and (3) easy online access to child care resources and referral information for early learning programs. The single statewide information system is made up of multiple component units including the Core Module (currently Enhanced Field System), Family Portal and Provider Portal.

20. Subcontractor shall mean those persons or entities that have a contract with the the ELC or a Contractor and is retained to perform a portion or all of the SR and/or VPK program related services on behalf of the Contractor or ELC under those original contracts. For purposes of this definition, "SP and/or VPK program related work" shall mean services that would not fall under the definition of a “Vendor" such as instructional, client engagement, monitoring,

Page 35

Attachment II.C

4

reporting. This definition shall also excluded those person or entities that deliver or perform professional services. For purposes of this definition, “professional services shall mean accounting, finance, audit, legal or licensed healthcare related services.

21. Waiting List (“Uniform Waiting List”) shall mean the list of children whose families are deemed potentially eligible for financial assistance for child care services in the county and are waiting for said care.

22. Vendor shall means a dealer, distributor, merchant or seller who provides the goods and services within business operations; provides similar goods or services to many different purchasers; operates in a competitive environment; provides goods or services that are ancillary to the operation of the federal program; and is not subject to compliance requirements of the federal program. For purposes of this policy and procedure, the term “Consultant” shall have the same meaning as the term “Vendor”.

23. Voluntary Pre-kindergarten Education Program (“VPK”) - A free educational program that prepares 4-year-olds for success in kindergarten and beyond. Children must live in Florida and be four (4) years old on or before September 1st of the current year to be eligible. The program helps children build a strong foundation using educational materials that fit their developmental needs. Private child care centers (including family child care homes), public schools, and specialized instructional service providers may offer VPK. Parent may choose from one of the following programs:

23.1 School-year program – 540 instructional hours. Class size of 20 or fewer students. Instructors must hold a Birth through Five Florida Child Care Professional Credential.



WAIT LIST IMPLEMENTATION PROCEDURES The Contractor shall utilize the Office of Early Learning (“OEL”) approved online system to process VPK and SR electronic applications and manage the waiting list in compliance with applicable Florida Statutes and Florida Administrative Codes.

Additionally the Contractor shall:

1. Ensure all SPE and VPK Registration System hyperlinks on their websites display the address for the Family Portal - familyservices2.floridaearlylearning.com.

2. Provide direct access from the home page of their website for parents to apply for SR and VPK (no more than one mouse click from the home page of their website to get to the family portal).

3. Verify monthly that its contact information on the webpage is accurate.

Page 36

http://familyservices2.floridaearlylearning.com/

Attachment II.C

5

4. Review submitted SR applications within 20 calendar days of receipt and conduct a preliminary screening for eligibility to determine whether or not a family is potentially eligible for services. The preliminary screening shall be at a minimum, the family’s statement of income, family size, and type of service requested. Parents will submit funding application and proof of purpose for care through the Family Portal. Staff will review initial application and transfer information to the EFS database.

5. Placement of eligible children on the waiting list, by the child’s legal name, age, probable eligibility category, and type of service requested.

6. A methodology for prioritizing the waiting list according to eligibility category and wait list date. Current methodology is based on OEL Priorities established in Statute 1002.

7. Removal of a child’s name from the waiting list upon authorization for placement. All potential clients who are offered child care funding that do not utilize their slot will be purged from the waiting list. Children being placed into care will be removed from the wait list as an automated process by EFS.

8. Notify families of revalidation requirements at least 30 calendar days before the 6 month revalidation date and document families who do not revalidate eligibility and change their record status from “Active” to “Inactive” with the appropriate Reason identified

9. Verify and document each parent/guardian and child’s potential eligibility in the “Waiting” status at least once every based on the parent/guardian’s last revalidation date. Notification of such validation must give the parent a specific timeframe for validating the waiting list to provide updated information necessary to remain on the waiting list. Names will be removed from the waiting list for failure to comply with the request for information within the specified time frame or if, upon validation, a purpose for care no longer exists. C hildren who are no longer eligible, based on age, will be terminated from the waiting list.

10. An unborn child is not eligible for the waiting list; school-age children are included on the waiting list when potential state, federal, and local funding becomes available.

11. Actual certification of eligibility will be conducted prior to authorization for placement, which will be based on available funding and capacity. Children removed from the wait list and placed into their eligibility priority will change their record status from “Active” to “Inactive” with the appropriate Reason identified.

SINGLE STATEWIDE INFORMATION SYSTEM, DATA, REPORTING AND SECURITY The Contractor shall use and maintain the single statewide information system that OEL established for managing the SPE process and waiting list, tracking children’s progress, coordinating services among stakeholders, determining child eligibility, reflecting child enrollment in the SR and VPK Programs, tracking child attendance and streamlining provider administrative processes.

The Contractor shall use the most current release of each component of the statewide information system. The Contractor shall fully implement any system changes within 30 days of release, unless OEL specifies a shorter time period. All requirements apply to all data systems for managing early learning program data.

Page 37

Attachment II.C

6

SUBMISSION TO ELC Prior to the institution of any policy, procedure or protocol regarding the utilization or prioritization of Clients on a Waiting List, the Contractor shall submit to the ELC for review and approval its policy, protocols and/or procedures for the screening and management of the Waiting List. The Contractor shall ensure that the Waiting List policy, protocols and procedure that are created by the Contractor and submitted to the ELC complies with applicable Florida statutes, rules and regulations as well as with any guidance from the appropriate governing state agency for the ELC. The Waiting List policy, procedure and protocols must be approved prior to the placement of Clients on the Contractor’s Waiting List.

WAITING LIST REQUIREMENTS OF A CONTRACTOR The Contractor’s proposed policy, procedures and/or protocols shall address in detail the following subject areas:

• Identification and description of the SPE for the Contractor • The process of determining what Clients are placed on the Waiting List according to OEL most

current funding agreement between the ELC and OEL (“Grant Agreement”). • The order of the Waiting List as set forth by Florida Statutes. • Maintenance of the Waiting List in accordance with applicable Florida Administrative Codes. • Screening process for Clients on a Waiting List as set forth by applicable Florida Statutes and

Florida Administrative Codes.. • Removal of Clients from the Waiting List in accordance with applicable Florida Statutes and

Florida Administrative Codes. • Formula and/or method utilized by the Contractor in determining the priority order of Clients

to be enrolled from the Waiting List. • Formula and/or placed method for placing Clients into SR programs when funding becomes

available. • Identification of Contractor staff and position titles that responsible for screening and

management of the Waiting List. • List of duties of Contractor staff that are responsible for screening and management of the

Waiting List. • Percentage of the Contractor staff time that is allotted to the screening and management

of the Waiting List. NOTICE OF CHANGES TO CONTRACTOR’S WAITING LIST POLICY, PROTOCOL AND PROCEDURES The Contractor shall notify the ELC in writing prior to instituting any changes to the Contractor’s Waiting List policy, protocols and/or procedures. Any changes made to a Contractor’s Waiting List policy, protocols and/or procedures without the approval of the ELC may result in the default or breach under the Contractor’s contract with ELC as well as penalties imposed by the appropriate

Page 38

Attachment II.C

7

governing state agency in accordance with the applicable Florida statute, rules and regulations. ADOPTION OF THE CONTRACTOR’S WAITING LIST POLICY, PROTOCOLS AND PROCEDURES BY THE ELC The Contractor’s policy, protocols and procedures may be adopted by the ELC as part of the ELC’S Waiting List Policy and Procedure and submitted to the appropriate governing state agency by the ELC.

Page 39

Draft UWL Policy – Requires Approval from BRHPC Executive Committee Revised 2/26/16 1

Broward Regional Health Planning Council Policies and Procedures

TITLE OF POLICY: Unified Waitlist for School Readiness

PURPOSE: The purpose is to establish a policy for the Unified Wait List implementation for prospective families applying for early learning services when funding for slots are not available in adherence with(s. 1002.85(2)(c)2., F.S., and Rule 6M-4.300,F.A.C.).

Policies and Procedures Policy:

(1) BRHPC will utilize a unified wait list, which will be a management tool for filling available child care slots. This wait list will be kept on the OEL Family Portal software. Procedures for its use follow in this guide.

(2) The waiting list procedure shall consist of: (a) A preliminary screening for eligibility to determine whether or not a family is

potentially eligible for services. The preliminary screening shall include, but need not be limited to, the client’s statement of income, family size, children requiring care and their ages, and type of care requested.

(b) Placement of eligible children on the waiting list will include the child’s legal name, age, probable eligibility category, and type of care requested.

(c) Removal of a child’s name from the waiting list upon authorization for placement. (d) Validation of each name on the waiting list every six months by response to letter,

by phone, email or in person. Notification of such validation must give the parent a 30 days to contact the party responsible (BRHPC or 2-1-1 Broward) for validating the waiting list to provide updated information necessary to remain on the waiting list. Names will be removed from the waiting list for failure to comply with the request for information within the specified timeframe including noncompliance by failing to keep a current address and other contact information on file. Additional notes on validation follow the Waitlist Procedures.

(3) An unborn child shall not be eligible for the waiting list. (4) Actual certification of eligibility will be conducted prior to authorization for placement,

which will be based on available funding and capacity. Wait list priority –is based on the following: Section 1002.87 (1), F.S., lists the following nine priorities: Priority 1 – Children younger than age 13 whose parents receive temporary cash assistance and are subject to federal work requirements.

Page 40


Priority 2 – At-risk children younger than age 9. Priority 3 – Economically disadvantaged children until eligible to enter kindergarten. Their older siblings up to the age they are eligible to enter 6th grade may also be served. Priority 4 – Children from birth to kindergarten whose parents are transitioning from the temporary cash assistance work program to employment. Priority 5 – At-risk children who are at least age 9 but younger than 13. Those with siblings in priority groups 1-3 are higher priority than other children ages 9-13 in this priority group. Priority 6 – Economically disadvantaged children younger than 13. Priority in this category is given to children who have a younger sibling in the School Readiness Program under priority 3. Priority 7 – Children younger than 13 whose parents are transitioning from the temporary cash assistance work program to employment. Priority 8 – Children who have special needs and current individual educational plans from age 3 until they are eligible to enter kindergarten. Priority 9 – Children concurrently enrolled in the federal Head Start Program and VPK, regardless of priorities 1-4.

General Procedures:

1. The OEL Family Portal is used for the management of the UWL. As such, parents must enter their child(ren) into the system to be placed on the UWL. This policy and procedure requires placing eligible child(ren) on the wait list by the child’s legal name, age, probable eligibility category and type of service requested.

2. The BRHPC and 2-1-1 Broward Waitlist staff will review each new application to the UWL

within ten (10) days to determine the initial documents, such as income information or adult education enrollment or disability forms, are uploaded and a preliminary review of the application on the Family Portal deems them eligible to remain on the Waiting List.

3. If the family is not eligible to be placed on the waitlist, 2-1-1 Broward will offer CCRR

services, as appropriate. 4. In determining household size, all children in the household are listed, even if the family

is not applying for services for each child 5. Once an application is initially reviewed, the family status on the Family Portal will be

changed from “Submitted” to “Coalition Reviewing”. Once the initial documents, such as income, adult education enrollment or disability forms, are uploaded and a preliminary review of the application on the Family Portal deems them eligible to remain on the Waiting List then the status is changed from “Coalition Reviewing” to “Active”.

Page 41


6. Every six (6) months of the date of their initial entry onto the UWL, parent/guardian will be

provided a 30 day notice to update information in writing by letter or email, so they may remain “Active” on the UWL. If a parent does not update their information within 30 days of the notification, they will be removed from the UWL.

7. The notification gives the parent a specific timeframe to contact BRHPC QA or 2-1-1

Broward Waitlist Staff to provide updated information necessary to remain on the wait list. BRHPC or 2-1-1 Broward Waitlist Staff will remove names from the wait list for failure to comply with the information request within the specified time frame or if, upon validation, a purpose for care no longer exists.

Moving Children into School Readiness Services from the Waitlist

1. The QA Auditor will notify the President & CEO or designee when funding allows for enrollments along with the enrollment goals by Broward ELC’s enrollment and budget.

2. The President & CEO or designee will then notify the Eligibility Manager of the enrollment goals.

3. The Eligibility Manager, in partnership with the QA Auditor and 2-1-1 Broward, will run a Waitlist Report to determine the order in which children will be enrolled.

4. The reports are then sorted by eligibility group, date of waitlist placement, and parent/guardian name.

5. The report is then reviewed to determine which families only have school-age children and which families have school-age children who also has non-school-age siblings on the waitlist and sorted accordingly.

6. Once the reports are sorted, open enrollment letters and/or emails are sent to the number of predetermined families (set by goal of President/CEO or designee).

7. Priority of the enrollments is set by the earliest date of waitlist placement, then by non-school age children and non-school-age children with school-age siblings. Once all non-school-age children and non-school-age children with school-age siblings have been enrolled school age children without younger siblings will be enrolled in accordance with Section 1002.87 (1), F.S, This process will continue until the budget and enrollment goals have been met.

Before a child can be moved into services from the waitlist, BRHPC staff must make two (2) contact attempts, and a child cannot be removed prior to 30 days from the first date of contact. If funds are available, a coalition shall enroll eligible children, including those from its wait list, according to the eligibility priorities in s. 1002.87(1), F.S., (s.1002.87(3), F.S.). 1. During periods of enrollment from the waitlist, families who are selected for enrollment

will be contacted by mail, email, or phone in accordance with the 9 priorities listed earlier in this policy.

2. Notes on the contact attempts should be made on the SPE/UWL Manage Case screen under Contact Client. Be sure to mark Methods of Attempt.

3. Include the details of what was communicated in history notes. For example,” Mailed WL letter” or “Mailed available funding letter”. If the letter is returned, input this information as well with the reason. Follow up with a phone call to the parent.

Page 42


A child should be removed from the waitlist if 1. 2 contact attempts have been made 2. The parent does not respond to any of the contact attempts 3. The family is deemed ineligible for services 4. The child is enrolled (“being served”) To remove a child from the UWL:

1. Using the Family Portal, BRHPC QA or 2-1-1 Broward Waitlist Staff will “terminate” the child from the UWL and then change the status from “Active” to “Inactive”.

When to Redetermine a Child on the Waitlist Children are redetermined for the waitlist at intervals no longer than 6 months. Every month, waitlist update letters or emails are mailed by the BRHPC QA or 2-1-1 Waitlist Staff to be redetermined in the following month. . If the BRHPC QA or 2-1-1 Waitlist Staff does not receive a response from the family by given due date. If no response comes from the family prior to the deadline the child should be removed from the waitlist. Records will be kept of the families that were contacted each month to re-verify UWL information. Each family will receive requests for redetermination at minimum every six months.

Page 43

1

Attachment II.B

ELC Policy Name: Single Point of Entry Policy and Procedure ELC Policy No.: Approval Date: Pending Board Approval, 2/13/15 Rev. Date(s): 2015 COA Standards: N/A

Purpose of Policy: To give a clear written course of action for the timely and accurate management (implementation) of the statewide data information program to include a Single Point of Entry ( “ Family Portal”) which allows a parent to enroll a child in the SR or VPK Education Program.

Statement of Policy: The Early Learning Coalition of Broward County, Inc. (“ELC”) and/or the ELC’S Contractor will use the Family Portal to enroll families in the School Readiness and VPK programs. All SR families who fall in Priority 3, 4, 5, 6, 7, 8 and 9 and VPK families will use the Family Portal to enroll their children. At-Risk School Readiness families in Priorities 1 and 2 with a valid referral will not go through the Family Portal, but will be automatically enrolled for services, in accordance with applicable Florida Statutes and Florida Administrative Codes as well as in accordance with the guidance and protocol of the appropriate governing state agency for the ELC.

Board Chair’s Signature: _____________________________ Date Signed:__2/13/2015________

Page 44

2

Attachment II.B.


Definition(s)





5. Complaint shall mean notice of an adverse or unsatisfactory matter, process, result, or condition that is reported to the ELC.


7. Enhanced Field System (“EFS”) - A data management system used by the Office of Early Learning, the ELC and Contractor(s) to manage the Early Care and Education program.




general counsel services to the ELC.

11. Grievant shall mean a person or an entity that has filed a Grievance with the ELC or a Contractor in accordance with the ELC’S Grievance policy and procedure.

12. Grievance shall mean the filing of an official written complaint with the ELC or a Contractor

by a Grievant in accordance with the ELC’S Grievance Policy and Procedure in which the Grievant seeks an official resolution and/or response regarding the complaint from the ELC or

Page 45

3

Attachment II.B.

the Contractor.

11. Grievance Form shall mean an internal ELC-approved form utilized by the ELC for the documentation and reporting of a Grievance within the ELC.

12. Member(s) shall have the same meaning as it does in the ELC bylaws.

13. School Readiness (“SR”) Programs - The Florida SR Program offers financial assistance to low-income families for early education and care so they can become financially self-sufficient and their young children can be successful in school in the future. The SR program has three specific eligibility requirements:






15. Service Provider shall mean an eligible public school, private school, licensed or licensed-exempt child care entity that has an agreement with the ELC and/or a Contractor to provide Voluntary Pre-Kindergarten (“VPK”) or School Readiness (“SR”) program services directly to children in Broward County in accordance with Florida Statutes. For purposes of this policy and procedure, the term “Service Provider” shall have the same meaning as the term “Provider” in any statewide agreement(s) for VPK and SR created by the Office of Early Learning (“OEL”), or any other governing state agency for the ELC, any applicable federal or Florida statutes, or within any contract or agreement with a third party concerning VPK or SR services.

16. Single Point of Entry (“SPE”) shall mean the process established under in accordance with

Florida Statutes that allows parents to access Child Care Resource and Referral (“CCR&R”) services and to apply for SR and VPK Programs through the family portal. The SPE is the access point for the unified waiting list. If funding is not available, children eligible for the SR program will be placed on the uniform waiting list.

17. Single Statewide Information System – The single statewide information system is a

statewide integrated technology system to provide critical information to ELCs, parents, partners and providers. The anticipated benefits of the single statewide information system include, but may not be limited to, the following – (1) streamlined administrative processes for attendance tracking, eligibility processing and provider payments, (2) data sharing opportunities for educators, parents, providers and state agencies and (3) easy online access to child care resources and referral information for early learning programs. The single statewide information system is made up of multiple component units including the core module

Page 46

4

Attachment II.B.

(currently Enhanced Field System), Family Portal and Provider Portal. 18. Subcontractor shall mean those persons or entities that have a contract with the ELC or a

Contractor and is retained to perform a portion or all of the SR and/or VPK program related services on behalf of the Contractor or ELC under those original contracts. For purposes of this definition, "SP and/or VPK program related work" shall mean services that would not fall under the definition of a “Vendor" such as instructional, client engagement, monitoring, reporting. This definition shall also excluded those person or entities that deliver or perform professional services. For purposes of this definition, “professional services shall mean accounting, finance, audit, legal or licensed healthcare related services.

19. Waiting List (Uniform Waiting List) shall mean the list of children whose families are

deemed potentially eligible for financial assistance for child care services in the county and are waiting for said care.

20. Vendor shall means a dealer, distributor, merchant or seller who provides the goods and

services within business operations; provides similar goods or services to many different purchasers; operates in a competitive environment; provides goods or services that are ancillary to the operation of the federal program; and is not subject to compliance requirements of the federal program. For purposes of this policy and procedure, the term “Consultant” shall have the same meaning as the term “Vendor”.

21. Voluntary Pre-kindergarten Education Program (“VPK”) - A free educational program

that prepares 4-year-olds for success in kindergarten and beyond. Children must live in Florida and be four (4) years old on or before September 1st of the current year to be eligible. The program helps children build a strong foundation using educational materials that fit their developmental needs. Private child care centers (including family child care homes), public schools, and specialized instructional service providers may offer VPK. Parent may choose from one of the following programs:




SINGLE POINT OF ENTRY .IMPLEMENTATION PROCEDURE The ELC’s contractor shall:

1. Ensure all SPE and VPK Registration System hyperlinks on their websites display the address for the Family Portal - familyservices2.floridaearlylearning.com.

2. Provide direct access from the home page of their website for parents to apply for SR and VPK (no more than one mouse click from the home page of their website to get to the family portal).

Page 47

http://familyservices2.floridaearlylearning.com/

5

Attachment II.B.

3. Verify monthly that its contact information on the webpage is accurate.

4. Review submitted SR applications within 20 calendar days of receipt.

5. Verify and document each parent/guardian and child’s potential eligibility in the “Waiting” status at least once every 6 months based on the parent/guardian’s last revalidation date.

6. Notify families of revalidation requirements at least 30 calendar days before the revalidation date and document families who do not revalidate eligibility and change their record status from “Waiting” to “Terminated.”

SINGLE STATEWIDE INFORMATION SYSTEM, DATA, REPORTING AND SECURITY The ELC’s contractor shall use and maintain the single statewide information system that OEL established for managing the SPE process and waiting list, tracking children’s progress, coordinating services among stakeholders, determining child eligibility, reflecting child enrollment in the SR and VPK Programs, tracking child attendance and streamlining provider administrative processes. The Contractor shall use the most current release of each component of the statewide information system. The Contractor shall fully implement any system changes within 30 days of release, unless OEL specifies a shorter time period. All requirements apply to all data systems for managing early learning program data. SUBMISSION TO ELC Prior to the institution of any policy, procedure or protocol regarding the utilization or prioritization of Clients on a Waiting List, the Contractor shall submit to the ELC for review and approval its policy, protocols and/or procedures for the screening and management of the Waiting List. The Contractor shall ensure that the Waiting List policy, protocols and procedure that are created by the Contractor and submitted to the ELC complies with applicable Florida statutes, rules and regulations as well as with any guidance from the appropriate governing state agency for the ELC. The Waiting List policy, procedure and protocols must be approved prior to the placement of Clients on the Contractor’s Waiting List.

NOTICE OF CHANGES TO CONTRACTOR’S WAITING LIST POLICY, PROTOCOL AND PROCEDURES The Contractor shall notify the ELC in writing prior to instituting any changes to the Contractor’s Waiting List policy, protocols and/or procedures. Any changes made to a Contractor’s Waiting List policy, protocols and/or procedures without the approval of the ELC may result in the default or breach under the Contractor’s contract with ELC, as well as penalties imposed by the appropriate governing state agency in accordance with the applicable Florida statute, rules and regulations.

Page 48

6

Attachment II.B.

ADOPTION OF THE CONTRACTOR’S WAITING LIST POLICY, PROTOCOLS AND PROCEDURES BY THE ELC

The Contractor’s policy, protocols and procedures may be adopted by the ELC as part of the ELC’S Waiting List Policy and Procedure and submitted to the appropriate governing state agency by the ELC.

Page 49

Documents

ELC Policy Name: School Readiness Funds Management ... BOARD PACKAGE 1 - Policies … · 1 . ELC Policy Name: School Readiness Funds Management/Disenrollment Policy and Procedure