Child Care Bureau: Laws, Policies, Program Instructions, and Allocations

CCDF State and Territories Plan Preprint

Related Items: ACF Regional Administrators | FY 2002-2003 Plan Preprint and Program Instruction | FY 2000 Final Allocations and Earmarks for States / Territories | FY 2001 Final Allocations and Earmarks

Guidance for Submitting the Plan Preprint Pages
Examples in this guidance	The examples used in this guidance are illustrative only. They are not intended to prescribe approaches or limit Lead Agency flexibility.
Completing the Plan when other entities are involved	Section 658D(b)(1)(A) of the Act requires the Lead Agency to "administer, directly, or through other governmental or non-governmental agencies" the funds received. The regulations at 45 CFR 98.11 further provide that, in addition to retaining "overall responsibility" for the administration of the program, the Lead Agency must also (among other things): promulgate all rules and regulations governing the overall administration of the program, ensure compliance with the approved Plan and all Federal requirements, oversee the expenditure of funds by subgrantees and contractors, ensure that any State, local or non-governmental agencies through which the State administers the program - including agencies and contractors that determine individual eligibility - operate according to the rules established for the CCDF. Some Lead Agencies permit other non-CCDF administrative entities, for example, county governments or multi-area entities, to set additional eligibility criteria, establish sliding fee scales, or select the quality activities to be undertaken, within broad parameters established by the Lead Agency. And, Section 1.7 of the Plan asks the Lead Agency how the Lead Agency maintains overall control when other non-CCDF administrative entities are involved . Two sections in the Plan (section 3.3.2 on eligibility criteria and section 3.5.2 on sliding fee scales) specifically ask about the application of policy across the entire State. It is in these two areas that local variations most often exist. However, there may be other areas where local variations exist, but are not specifically addressed by the section. Where local variations exist, the Lead Agency should indicate such. The following sections may require the notation of the existence of local variations: 3.4 -- Priorities for Children 3.5.3 - Fee waiver policy 3.6 -- Certificate Payment System Part 4 - Processes with Parents Part 5 - Quality Activities/Services The notation need not specify the nature of the local variation unless the
Completing the Plan	Lead Agency chooses to provide such detail. For example, in response to section 3.4, the Lead Agency could list the State-level priorities, but note that local counties have the flexibility to change the order of the priorities. It would not be necessary to list the priorities in each county. Another acceptable approach might be: "Counties must submit their priorities to the State Lead Agency office for approval." Responses that only state that counties set their own priorities may not be acceptable if it is not clear that the Lead Agency maintains its required "overall responsibility."
1.1 & 1.2	Lead Agency Information: Identify the Lead Agency as designated by the chief executive officer of the State. ACF will send grant awards, grant adjustments, plan approvals and disallowance notifications to the address shown here. State Child Care (CCDF) Contact Information: Identify the contact with responsibilities/knowledge of the day-to-day operations of the State's CCDF-funded child care program. Typically, the Lead Agency information will identify a State Cabinet-level incumbent, while the State Child Care (CCDF) Contact Information will identify the State child care program administrator. These questions serve as the Lead Agency's official and formal notification to ACF of changes in the administration and location of the Lead Agency and contact for the State child care (CCDF) program.
1.3 & 1.4	The purpose of questions 1.3 and 1.4 is to provide the public with an indication of the amounts available for child care and related activities through the CCDF. The amounts provided in response to these questions are informational only and will not be subject to compliance actions, nor will ACF distribute funds based on these estimates. Estimates are for the 1-year period 10/1/99 -- 9/30/00 even though the Plan covers a 2-year period. Quarterly requests for funds and information on the actual use of funds must be provided to ACF on other designated financial management forms (e.g., ACF-696) and reports. For purposes of this question, the Federal amount is the total of the Discretionary, Mandatory, and Matching Funds of the CCDF. Include funds transferred from Temporary Assistance for Needy Families (TANF) to the CCDF in the Federal amount, if known, and annotate the amount transferred. In the State amount show the total of State (i.e., non-Federal) expenditures used to meet the maintenance of effort (MOE) requirement and your share of the Matching Fund of the CCDF, if any. States have the option to include other State-only funds that exceed the amounts required to meet the MOE and Match provisions, if they choose.
	Territories may indicate "NA" in the State amount line or indicate any Territory-only funds used for the CCDF. In question 1.4 estimate the amount (or percentage) of the total CCDF that will be used to administer all services and activities under the CCDF. Show only the amount of the Federal funds and required State CCDF expenditures (i.e., do not include the cost of administering other State programs). The Lead Agency is reminded that not more than 5% of the total CCDF (which includes the State's share of the Matching fund) may be used for administration. The regulations at 45 CFR 98.52 discuss what constitutes an administrative cost.
1.5	Examples of how the Lead Agency can demonstrate that it maintains overall control when services and activities are provided through other agencies include: A discussion of how frequently and in what manner the Lead Agency monitors the other agencies. Whether other agencies must certify that Lead Agency guidelines are followed. What benchmarks, performance indicators, or standards are applied to the other agency. Where administration has devolved to localities, whether those localities/agencies must submit plans to the Lead Agency or otherwise seek Lead Agency approval. A discussion of the contract process, including an indication of how often a contract is opened to new competition. Requirements specified in interagency agreements, memoranda of understanding, state statute, etc.
1.6	This question addresses only the child care services that are provided under §98.50, i.e., those services for which individual eligibility must be determined. When local offices of the Lead Agency perform the task, answer "Yes". If the Lead Agency answers "NO" to any of the 4 questions, please identify the entity that performs the task. When more than 1 entity performs the same task indicate all entities. For example, where a Child Care Resource and Referral provides payments in one part of the State and the Temporary Assistance to Needy Families agency performs this function in another part of the State, identify both. It is only necessary to identify the highest level of the other entity involved. For example, if the Lead Agency has an interagency agreement with the County Temporary Assistance to Needy Families agencies to determine eligibility, but the County Temporary Assistance to Needy Families agencies have the authority to further contract those services through a competitive bid process, it is only necessary to indicate "County Temporary Assistance to Needy Families agencies". It would be helpful if the Lead Agency would explain that further contracting may occur in this example. In order to facilitate comparisons across States it would be helpful, but not mandatory, if the Lead Agency would indicate the type of entity performing the task by using one of the following identifiers: The State/County Temporary Assistance to Needy Families agency A non-Temporary Assistance to Needy Families State/County agency. Examples, State Employment Services, Food Stamp agency a non-governmental community/area multiservice agency. Examples; United Way, County Council of Churches. Child Care Resource & Referral Service School/school district Other - if the agency does not fall into one of the above types, please describe. Use of these identifiers is optional.
1.8.1	The regulations provide for the designation of only one entity in the State to receive donated funds and, only donations received by the agency named here may be counted for match purposes. The Lead Agency may designate itself as that entity. The Lead Agency is reminded that donors may specifically designate an area where their donation is to be spent, as discussed at 63 FR 39965. This ability to specifically designate the area for use of donations obviates the need to designate multiple local agencies to receive donated funds.
1.9.2	Some examples of State efforts to ensure that pre-K programs meet the needs of working parents : Making pre-K programs full day. Making pre-K programs full year. Delivering pre-K through entities other than the school system.

1.9.3	Examples of how the Lead Agency can coordinate its pre-K and child care services to expand the availability of child care: The distribution of pre-K funding in the State takes into account the local availability of child care. School-based transportation is made available to child care programs. Child care programs and schools collaborate to make better use of school facilities, especially in the summer or when schools are not used.
2.2	The regulations at §98.14(a)(1)(A)-(D) specify that the Lead Agency must also coordinate with the State/tribal agency responsible for: Public health Employment Services Public Education Temporary Assistance to Needy Families Pursuant to §98.4(a)(2), the section now asks only for the "results" of the coordination - not "how" the agencies coordinate, as it did in the last biennial Plan.
3.1.1	This question addresses contracts or grants to child care programs or providers for the direct purchase of a specified number of slots. Do not check "Yes" if you only require every provider to sign a "contract" in order to be paid through your certificate program.
3.1.3	The Lead Agency is not required to offer services statewide. Nor must the same services be offered statewide. If all services are not offered statewide, indicate which services are not available and identify the area where the services are not offered.
3.2	The regulations now provide that the local market survey must have been conducted "no earlier than two years prior to the effective date of the currently approved Plan". Hence, surveys conducted prior to 10/97 are not acceptable. Any explanation of how rates ensure equal access should address how the rates correspond to the charges in the market as evidenced by the survey. For example, part of an explanation might state: "Rates for center-based care are generally set at the 75^th percentile of the market charges. Rates for unregulated family home providers are set at 50% of the regulated rate as a sufficient number of unregulated providers could not be surveyed. Additionally, unregulated providers are not currently required to undertake the same high level of ongoing training courses as are the regulated providers. Rates for unregulated providers were set at a lower amount in the past and we experienced no reluctance to provide care at that rate."
3.2	Where the State's payment rates do not show the same categories of care required by the parental choice requirement at 98.30(e)(1) (i.e., centers, group homes, family, and in-home care) include a definition of the categories that the State uses. For example; if the State's rates show only centers, group homes and in-home care: "Centers are 2 or more licensed providers caring for up to 20 children depending on age in a non-residential setting. A group home is one licensed or registered provider caring for up to 7 unrelated children depending on age in a private residence. An in-home provider cares for the children of only 1 family in that family's home. The State does not distinguish between group home and family day care home, therefore rates for only 3 categories are shown."
3.3.1	Eligibility for CCDF services is limited to families with income below 85% of the State Median Income (SMI) for a family of the same size. Whether or not the Lead Agency offers services to families with income up to 85% of SMI, this upper eligibility level must be recorded in column (a). The Act also requires States to give priority to families with "very low income," which must be shown in column (b). (See also section 3.4.1.) While there may not be a practical need to make such a distinction - because the Lead Agency can serve all families below 85% of SMI, for example - the Act, nevertheless requires the Lead Agency to give priority to families it defines as "low income." Therefore, the Lead Agency must complete both columns (a) and (b) and the amounts in column in column (b) must be lower, even if only by $1. Column (c) is completed only if the Lead Agency uses an income level lower than 85% of SMI to limit eligibility. The amounts in column (c) must be higher than the amounts in column (b), for the reason given above. Neither the statute nor the regulations specify a source or basis for State Median Income (SMI), and the Lead agency has flexibility in determining its SMI. The Bureau of the Census publishes estimates of SMI on its web site at: www.census.gov/hhes/income/4person.html. The CCB web site has made available SMI estimates for FY2001.
3.3.2	If there are different/multiple income levels (e.g., column "c" in the table at 3.3.1) in use in the State, explain here and attach them. For example, a Lead Agency may have a higher income "exit" threshold for children with disabilities statewide or local counties are allowed to set different eligibility levels.
3.3.3	Waiving fees for children receiving (or in need of) protective services may only be done on a case-by-case basis. There is no provision for automatically waiving fees in every protective service case.
3.3.4 & 3.3.5	The upper age limit may not be over age 19 (e.g., not 19 years, 1 month or "up to age 20").
3.3.7	The Lead Agency is reminded that respite care is allowable for only brief, occasional periods, in excess of the normal "less than 24 hours period". (See discussion at 63 FR39948.)
3.4.1	The Lead Agency must give priority for child care services to children: with special needs (as defined in Appendix 2). of families with very low incomes (as defined in the table at section 3.3.1) However, neither the statute nor the regulations prescribes how to "give priority". Therefore, while the list of priority for services must include special needs and very low income children, they need not appear first on the list. For example, priority can be achieved by setting aside specific funds or slots for special needs or very low income children. "Special needs" in this context may be broadly defined. It is not limited to children with physical or mental disabilities (see 63 FR 39961).
3.5.1 & 3.5.2	The attachment must include an explanation -- for example, an excerpt from an eligibility worker's manual -- of how the sliding fee scale works.
3.5.3 3.5.3	The 1998 HHS Poverty Guidelines (the latest guidelines available when this PI was prepared) is $13,650 (for other family sizes apply $2,800 per person) for a family of 3 -- except in Alaska and Hawaii -- For Alaska, the 1998 HHS Poverty Guideline for a family of 3 is $17,070 (apply $3,500/person for other family sizes). For Hawaii, the 1998 HHS Poverty Guideline for a family of 3 is $15,700 (apply $3,220/person for other family sizes). The 1999 HHS Poverty Guidelines should be published in February, 1999. When published they will be available through the DHHS web site at: http://aspe.os.hhs.gov/poverty/99poverty.htm and from the Federal Register at : www.access.gpo.gov The Lead Agency is not required to use the 1998 HHS Poverty Guidelines, but must indicate the poverty level it is using if it elects to waive the required fee.
3.5.4	The preamble to the regulations suggests that copayments that are no more than 10% of family income would be "affordable". It should be noted, however, that the regulations do not establish this or any other standard or criteria that copayments must meet. The explanation, at a minimum, should indicate the percent of family income that typically would be used to meet its copayment.
3.6.1	The Lead Agency is encouraged to provide a copy of the certificate in addition to its description.
3.6.3	The explanation should include an estimate of the mix of §98.50 services available (either in dollars, number of slots or percentages of services) through certificates and through grants/contracts, as was previously provided in the application.
4.1	The description should also address the length of the CCDF eligibility determination period. For example: "Generally, eligibility is redetermined every 6 months via a mailed certification. Where the child is receiving child care service in a collaborative arrangement with another program the CCDF eligibility will be the same as the eligibility period or service delivery criteria of the collaborative program. For Head Start/child care collaborative programs the CCDF eligibility period is 2 years, for education programs (pre-K) the CCDF eligibility period coincides with the school year (e.g., 9 months)." (See ACYF-PIQ-99-02, dated 02/08/99) The Lead Agency can forestall audit questions by documenting in its Plan CCDF eligibility periods when different eligibility determination periods apply depending on the nature of the services provided.
4.2	It is not necessary that the Lead Agency maintain the records; that function may be undertaken in another State agency. Regardless of who maintains the records, the Lead Agency must provide the required detailed description. The description should include the contact for obtaining information about parental complaints.
4.3	Examples of procedures include: "All provider contracts include a certification that the provider affords unlimited parental access, and all providers must sign a contract in order to be paid." "This is a requirement of the State licensing and registration process." "The Lead Agency sends periodic reminders to all providers about this."
4.4	The regulations do not establish, nor has ACF suggested, any criteria or standard against which the requested Temporary Assistance to Needy Families definitions may be judged. This question is asked as a means of providing information to the public. ACF recognizes that the Temporary Assistance to Needy Families definitions requested are not the responsibility of the CCDF Lead Agency. Therefore, the question also asks that the Temporary Assistance to Needy Families agency be identified. Attaching a copy of the applicable Temporary Assistance to Needy Families Plan pages is sufficient, however only referring to a State Temporary Assistance to Needy Families document (e.g., "as described in the Temporary Assistance to Needy Families Plan submitted to ACF") would not be acceptable as this would not fulfill the public information purpose of this question. As the Temporary Assistance to Needy Families program has been operating in all States for several years, these definitions should have already been developed. In this section, as is true of many sections of the Plan, approval of the Plan means that the Lead Agency has submitted the required information, not that ACF approves of the definitions provided.
5.1	Estimate the amount (or percentage) of the total CCDF that will be used for activities and services to improve the quality and availability of child care, provide comprehensive consumer education, or increase parental choice.. Show only the amount of the Federal funds - including earmarked amounts -- and required State matching expenditures (i.e., do not include the cost of State MOE services and activities). The Lead Agency is reminded that no less than 4% of the total CCDF (which includes the State's share of the Matching fund) must be used for quality activities.
5.2 - 5.4	The Plan now requests separate descriptions of Lead Agency activities and services to improve the quality of care for infants and toddlers, its resource and referral activities/services, and school-aged activities, as Congress has earmarked funds specifically for these activities. (See Information Memorandum ACYF-IM-CC-99-01, January 22, 1999.) In the descriptions, it would be helpful, but is not mandatory, if in identifying the entity performing the task, the Lead Agency would use one of the indicators listed in the guidance for section 1.6 (above).
5.5 & 5.6	The list provided reflects options many Lead Agencies have selected in the past. It is not intended to be all inclusive nor is it intended to exclude other services or activities that meet the intent of the Act. The Lead Agency may include other services or activities not on the list by indicating "Yes" in the last selection. All activities and services marked "Yes" must be described in 5.6. In the descriptions, it would be helpful, but is not mandatory, if in identifying the entity performing the task, the Lead Agency would use one of the indicators listed in the guidance for section 1.6 (above).
Part 6 6.1 - 6.4	NOTE: Part 6 is completed by the 50 States and the District of Columbia only. Territories complete Part 7. Section 658E(c)(2)(E) of the Child Care Development Block Grant Act requires the Lead Agency to provide "a detailed description" of its licensing requirements. The National Resource Center for Health and Safety in Child Care (NRCHSCC) provides a comprehensive, current, on-line listing of the licensing and regulatory requirements for child care in the 50 States and the District of Columbia. The listing, which is maintained by the University of Colorado Health Sciences Center School of Nursing, is readily available to the public on the World Wide Web at: http://nrc.uchsc.edu ACF accepts the NRCHSCC compilation as fulfilling the statutory requirement. Nevertheless, the Lead Agency should verify that the NRCHSCC listing accurately reflects the State requirements. If the NRCHSCC listing is inaccurate contact them at 800.598.5437 or E-mail: Natl.child.res.ctr.@UCHSC.edu The first question in each section of Part 6 is designed to show if all care in the stated category is licensed. If all care is licensed, then the second question is not answered. If any care in the stated category is not licensed, then the Lead Agency must complete the health and safety requirements that apply only to that unlicensed care. Example: All center-based care in the State is licensed except that provided in school-based programs. The Lead Agency checks "NO" in the response to 6.1.1 and describes in 6.1.2 the health and safety requirements that apply to school-based centers. Legal care that is not licensed by the State is not included in the NRCHSCC listing and must be described in the appropriate section of Part 6.
Part 6	Example: A caregiver caring for fewer than 3 unrelated children is registered by the Lead Agency, but is not licensed. Because such caregivers are not licensed they are not included in the State NRCHSCC listing. The health and safety requirements for these providers must be described.
6.5	The Lead Agency has the option to exempt only those relatives specifically mentioned in the Act from its health and safety requirements -- the Lead Agency is not required to exempt them. The Lead Agency should indicate its policy regarding relative providers. If relative providers are subject to different requirements from licensed providers, please describe the requirements that apply to relatives.
6.6	A description of how licensing requirements are effectively enforced might include the percent of providers inspected annually; the number of inspections conducted annually, the length of time between inspections, etc.
Part 7 7.1 - 7.4	Only Puerto Rico, the Virgin Islands, Guam, the Commonwealth of the Northern Mariana Islands and American Samoa complete Part 7. Because the Territories are not included in NRCHSCC compilation, the health and safety requirements must be described for all 4 categories of care. The health and safety requirements for all care, whether licensed, regulated, or otherwise legal, that is paid for with CCDF funds must be described.
7.5	Lead Agency has the option to exempt only those relatives specifically mentioned in the Act from its health and safety requirements -- the Lead Agency is not required to exempt them. The Lead Agency should indicate its policy regarding relative providers. If relative providers are subject to different requirements than licensed providers, please describe the requirements that apply to relatives.
7.6	A description of how licensing requirements are effectively enforced might include the percent of providers inspected annually; the number of inspections conducted annually, the length of time between inspections, etc.
Appendix 2 - Definitions:	The Lead Agency must complete the required definitions in Appendix 2, and include any special terms that are used.
Protective Services	A Lead Agency that chooses to provide respite care to children in protective services (as indicated in questions 3.3.6 & 3.3.7) must explain the circumstances under which respite care is offered. As explained in the preamble at 63 FR 39949, respite care can only be used in cases where a child receives or needs to receive protective services. Because the use of respite child care may differ from how it is used/defined for other purposes, such as child welfare, the definition should address who makes the determination that a child "needs to receive" protective services.
Special Needs	The Lead Agency should distinguish between "special needs" for purposes of payment rates (i.e., children with disabilities) if applicable, and "special needs" for purposes of prioritizing services.
"in loco parentis"	Please identify who may serve "in the parent's place" for purposes of the CCDF. For example: "any blood relative with custody (whether or not court ordered) or any person with court-ordered custody". A definition such as "a person acting in the parent's place" is not sufficiently descriptive.
A note about additional certifications	Note that the Plan does not include the additional certifications listed at 45 CFR 98.13(b)(2)-(6), i.e., lobbying, drug-free workplace, debarment, nondiscrimination and smoking prohibitions. These certifications were obtained in the 1997 Plan and need not be collected again. The Lead Agency is reminded that even if it has changed these certifications apply to the successor agency.

CCDF State and Territories Plan Preprint

Guidance for Submitting the Plan Preprint Pages