CCDF State and Territories Plan Preprint, FFY 2006-2007

Index: ACYF-PI-CC-05-05 | Federal Register Announcement | Plan Preprint | Guidance
Related Items: ACF Regional Administrators | FFY 2004-2005 State Plan | FFY 2002-2003 State Plan | FFY 2000-2001 State Plan

Public reporting burden for this collection of information is estimated to average 162.57 hours per response, including the time for reviewing instructions, gathering and maintaining the data needed, and reviewing the collection of information.

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

(Form ACF 118 Approved OMB Number: 0970-0114 expires 06-30-2008)

Name of Lead Agency:
Address of Lead Agency:
Name and Title of the Lead Agency's Chief Executive Officer:
Phone Number:
Fax Number:
E-Mail Address:
Web Address for Lead Agency (if any):

Name of the State Child Care Contact (CCDF):
Title of State Child Care Contact:
Address:
Phone Number:
Fax Number:
E-Mail Address:
Phone Number for child care subsidy program information (for the public) (if any):
Web Address for child care subsidy program information (for the public) (if any):

The Lead Agency estimates that the following amounts will be available for child care services and related activities during the 1-year period: October 1, 2005 through September 30, 2006. (§98.13(a))

CCDF: $
Federal TANF Transfer to CCDF: $
Direct Federal TANF Spending on Child Care: $
State CCDF Maintenance of Effort Funds: $
State Matching Funds: $
Total Funds Available:  $

The Lead Agency estimates that the following amount (and percentage) of Federal CCDF and State Matching Funds will be used to administer the program (not to exceed 5 percent): $       ( %). (658E(c)(3), §§98.13(a), 98.52)

For child care services funded under §98.50 (e.g., certificates, vouchers, grants/contracts for slots based on individual eligibility), does the Lead Agency itself: (§98.11)

• Determine individual eligibility of non-TANF families?

• Determine individual eligibility of TANF families?
  

• Assist parents in locating child care? 
  

• Make payments to providers and/or parents? 
  

Is any entity named in response to section 1.6 a non-governmental entity?  (658D(b), §§98.10(a), 98.11(a))

[  ]   Yes, and the following entities named in 1.6 are non-governmental:
[  ]   No.

Will the Lead Agency use private donated funds to meet a part of the matching requirement of the CCDF pursuant to §98.53(e)(2) and (f)?

  [  ]   Yes, The name and type of entity designated to receive private donated funds is:

   Name:
   Address:
   Contact:
   Type: 

  [  ]   No.

During this plan period, will State expenditures for Pre­-K programs be used to meet any of the CCDF maintenance of effort (MOE) requirement?

(   )  The State assures that its level of effort in full day/full year child care services has not been reduced, pursuant to §98.53(h)(1).

(      %) Estimated percentage of the MOE requirement that will be met with pre-K expenditures. (It may not exceed 20%.)

If the State uses Pre-K expenditures to meet more than 10% of the MOE requirement, the following describes how the State will coordinate its Pre-K and child care services to expand the availability of child care (§98.53(h)(4)):

During this plan period, will State expenditures for Pre-K programs be used to meet any of the CCDF Matching Fund requirement? (§98.53(h))

How does the Lead Agency define improper payments?

Has your State developed strategies to prevent, measure, identify, reduce and/or collect improper payments? (§98.60(i), §98.65, §98.67)

Has your State developed strategies to identify errors in the determination of client eligibility?

Lead Agencies are required to consult with appropriate agencies and coordinate with other Federal, State, local, tribal (if applicable) and private agencies providing child care and early childhood development services (§98.12, §98.14(a),(b), §98.16(d)). Indicate the entities with which the Lead Agency has consulted or coordinated (as defined below), by checking the appropriate box(es) in the following table.

Consultation involves the participation of an appropriate agency in the development of the State Plan. At a minimum, Lead Agencies must consult with representatives of general purpose local governments (noted by the asterisk in the chart below).

Coordination involves the coordination of child care and early childhood development services, including efforts to coordinate across multiple entities, both public and private (for instance, in connection with a State Early Childhood Comprehensive System (SECCS) grant or infant-toddler initiative). At a minimum, Lead Agencies must coordinate with (1) other Federal, State, local, Tribal (if applicable), and/or private agencies responsible for providing child care and early childhood development services, (2) public health (including the agency responsible for immunizations and programs that promote children’s emotional and mental health), (3) employment services / workforce development, (4) public education, and (5) Temporary Assistance for Needy Families (TANF), and (5) any Indian Tribes in the State receiving CCDF funds (noted by the asterisks in the chart below).

                                                                                                                  * Required.

For each box checked above, (a) identify the agency providing the service and (b) describe the consultation and coordination efforts, if any. Descriptions must be provided for any consultation or coordination required by statute or regulation.

State Plan for Early Childhood Program Coordination. Good Start, Grow Smart encourages States to develop a plan for coordination across early childhood programs. Indicate which of the following best describes the current status of the State's efforts in this area.

[  ] Planning.  Indicate whether steps are under way to develop a plan.  If so, describe the time frames for completion and/or implementation, the steps anticipated, and how the plan is expected to support early language, literacy, pre-reading and early math concepts. 

[  ] Developing.  A plan is being drafted. The draft is included as Attachment ___.

[  ] Developed.  A plan has been written but has not yet been implemented. The plan is included as Attachment ___.

[  ] Implementing.  Implementing. A plan has been written and is now in the process of being implemented. The plan is included as Attachment ___.

[  ] Other (describe):

Describe the progress made by the State planning for coordination across early childhood programs since the date of submission of the 2004-2005 State Plan.

Indicate whether there is an entity that is responsible for ensuring that such coordination occurs. Indicate the four or more early childhood programs and/or funding streams that are coordinated and describe the nature of the coordination.

Describe the results or expected results of this coordination. Discuss how these results relate to the development and implementation of the State's early learning guidelines, plans for professional development, and outcomes for children.

Describe how the State's plan supports or will support continued coordination among the programs. Are changes anticipated in the plan?

(1)

if the Lead Agency is also providing child care services through grants and contracts, estimate the mix of §98.50 services available through certificates versus grants/contracts, and explain how it ensures that parents offered child care services are given the option of receiving a child care certificate. (98.30(a) & (b)) This may be expressed in terms of dollars, number of slots, or percentages of services.

In addition to offering certificates, does the Lead Agency also have grants or contracts for child care slots?

The Lead Agency must allow for in-home care but may limit its use. Does the Lead Agency limit the use of in-home care in any way?

Are all of the child care services described in 3.1.1 above (including certificates) offered throughout the State? (658E(a), §98.16(g)(3))

If the Lead Agency does not use the SMI from the most current year, indicate the year used: 

If applicable, the date on which the eligibility limits detailed in column (b) became or will become effective:

How does the Lead Agency define “income” for the purposes of eligibility? Is any income deducted or excluded from total family income, for instance, work or medical expenses; child support paid to, or received from, other households; Supplemental Security Income (SSI) payments? Is the income of all family members included, or is the income of certain family members living in the household excluded? Please describe and/or include information as Attachment _____. (§§98.16(g)(5), 98.20(b))

Has the Lead Agency established additional eligibility conditions or priority rules, for example, income limits that vary in different parts of the State, special eligibility for families receiving TANF, or eligibility that differs for families that include a child with special needs? (658E(c)(3)(B), §98.16(g)(5), §98.20(b))

[  ]   Yes, and the additional eligibility criteria are: (Terms must be defined in Appendix 2)

[  ]   No.

Has the Lead Agency elected to waive, on a case-by-case basis, the fee and income eligibility requirements for cases in which children receive, or need to receive, protective services, as defined in Appendix 2? (658E(c)(3)(B), 658P(3)(C)(ii), §98.20(a)(3)(ii)(A))
[  ]   Yes, and the additional eligibility criteria are: (Terms must be defined in Appendix 2)
[  ]   No.
[  ]   Not applicable. CCDF-funded child care is not provided in cases in which children receive, or need to receive, protective services.

Does the Lead Agency allow CCDF-funded child care for children above age 13 but below age 19 who are physically and/or mentally incapable of self-care? (Physical and mental incapacity must then be defined in Appendix 2.) (658E(c)(3)(B), 658P(3), §98.20(a)(1)(ii))

[  ]   Yes, and the upper age is _____.
[  ]   No.

Does the Lead Agency allow CCDF-funded child care for children above age 13 but below age 19 who are under court supervision? (658P(3), 658E(c)(3)(B), §98.20(a)(1)(ii)

[  ]   Yes, and the upper age is ____.
[  ]   No.

Does the State choose to provide CCDF-funded child care to children in foster care whose foster care parents are not working, or who are not in education/training activities? (§§98.20(a)(3)(ii), 98.16(f)(7))

[  ]   Yes. (NOTE: This means that for CCDF purposes the State considers these children to be in protective services.)
[  ]   No.

3.3.8

Does the State choose to provide child care to children in protective services? (§§98.16(f)(7), 98.20(a)(3)(ii)(A) & (B))

[  ]   Yes.
[  ]   No.

Describe how the State prioritizes service for the following CCDF-eligible children: (a) children with special needs, (b) children in families with very low incomes, and (c) other. Terms must be defined in Appendix 2. (658E(c)(3)(B))

Describe how CCDF funds will be used to meet the needs of: (a) families receiving Temporary Assistance for Needy Families (TANF), (b) those attempting to transition off TANF through work activities, and (c) those at risk of becoming dependent on TANF. (658E(c)(2)(H), Section 418(b)(2) of the Social Security Act, §§98.50(e), 98.16(g)(4))

Does the Lead Agency maintain a waiting list?
[  ]   Yes.  If yes, for what populations? Is the waiting list maintained at the State level? Are certain populations given priority for services, and if so, which populations? What methods are employed to keep the list current?

[  ]   No.  If no, does the Lead Agency serve all eligible families that apply?

[  ]   Yes.
[  ]   No.

Are there other ways that the Lead Agency addresses situations in which funding is not sufficient to serve all families that are technically eligible under State policies? If so, describe.

A sliding fee scale, which is used to determine each family's contribution to the cost of child care, must vary based on income and the size of the family. A copy of this sliding fee scale for child care services and an explanation of how it works is provided as Attachment ___.

The attached fee scale was or will be effective as of _________________.

Will the Lead Agency use additional factors to determine each family's contribution to the cost of child care? (658E(c)(3)(B), §98.42(b))

[  ]   Yes, and the following describes any additional factors that will be used:

[  ]   No.

Is the sliding fee scale provided in the attachment in response to question 3.5.1 used in all parts of the State? (658E(c)(3)(B))

[  ]   Yes.

[  ]   No, and other scale(s) and their effective date(s) are provided as Attachment ___.

The Lead Agency may waive contributions from families whose incomes are at or below the poverty level for a family of the same size, (§98.42(c)), and the poverty level used by the Lead Agency for a family of 3 is: $_________________.

The Lead Agency must elect ONE of these options:

ALL families with income at or below the poverty level for a family of the same size ARE NOT required to pay a fee.

Does the Lead Agency have a policy that prohibits a child care provider from charging families any unsubsidized portion of the provider's normal fees (in addition to the contributions discussed in 3.5.1)? (§98.43(b)(3))

[  ]   Yes.  Please describe:

[  ]   No.

The following is an explanation of how the copayments required by the Lead Agency's sliding fee scale(s) are affordable: (§98.43(b)(3))

The following describes the process for a family to apply for and receive child care services (658D(b)(1)(A), 658E(c)(2)(D) & (3)(B), §§98.16(k), 98.30(a) through (e)). If the process varies for families based on eligibility category, for instance, TANF versus non-TANF, please describe. The description should include:

• How parents are informed of the availability of child care services and about child care options

• Where/how applications are made

• Who makes the eligibility determination

• How parents who receive TANF benefits are informed about the exception to individual penalties as described in 4.4

• Length of eligibility period including variations that relate to the services provided, e.g., through collaborations with Head Start or pre-kindergarten programs

• Any steps the State has taken to reduce barriers to initial and continuing eligibility for child care subsidies
  
  

The following is a detailed description of how the State maintains a record of substantiated parental complaints and how it makes the information regarding such parental complaints available to the public on request. (658E(c)(2)(C), §98.32))

The following is a detailed description of the procedures in effect in the State for affording parents unlimited access to their children whenever their children are in the care of a provider who receives CCDF funds. (658E(c)(2)(B), §98.31))

The regulations at §98.33(b) require the Lead Agency to inform parents who receive TANF benefits about the exception to the individual penalties associated with the work requirement for any single custodial parent who has a demonstrated inability to obtain needed child care for a child under 6 years of age.

In fulfilling this requirement, the following criteria or definitions are applied by the TANF agency to determine whether the parent has a demonstrated inability to obtain needed child care:

NOTE: The TANF agency, not the Child Care Lead Agency, is responsible for establishing the following criteria or definitions. These criteria or definitions are offered in this Plan as a matter of public record. The TANF agency that established these criteria or definitions is: __________________________________________.

• "appropriate child care":

• "reasonable distance":

• "unsuitability of informal child care":

• "affordable child care arrangements":

The Child Care and Development Fund provides earmarks for infant and toddler care and school-age care and resource and referral services as well as the special earmark for quality activities. The following describes the activities; identifies the entities providing the activities; and describes the expected results of the activities. For the infant and toddler earmark, the State must note in its description of the activities what is the maximum age of a child who may be served with such earmarked funds.

Infants and toddlers:

Resource and referral services:

School-age child care:

The law requires that not less than 4% of the CCDF be set aside for quality activities. (658E(c)(3)(B), 658G, §§98.13(a), 98.16(h), 98.51) The Lead Agency estimates that the following amount and percentage will be used for the quality activities (not including earmarked funds):

$ _____________________ (   %)

Check either "Yes" or "No" for each activity listed to indicate the activities the Lead Agency will undertake to improve the availability and quality of child care (include activities funded through the 4% quality set-aside as well as the special earmark for quality activities). (658D(b)(1)(D), 658E(c)(3)(B), §§98.13(a), 98.16(h))

Describe each activity that is checked "Yes" above, identify the entity(ies) providing the activity, and describe the expected results of the activity.

Is any entity identified in sections 5.1.1 or 5.1.4 a non-governmental entity?

[  ]   Yes, the following entities named in this part are non-governmental:

   Name:

   Type:

[  ]   No.

Describe the progress made by the State in developing voluntary guidelines for early learning since the date of submission of the 2004-2005 State Plan.

If developed, are the guidelines aligned with K-12 content standards?

  [  ]   Yes.  If yes, describe.
  [  ]   No. 

Please attach a copy of the guidelines. If the guidelines are available on the web, provide the appropriate Web site address: 

Domains of Voluntary Guidelines for Early Learning. Do the guidelines address language, literacy, pre-reading, and early math concepts?

[  ]   Yes.
[  ]   No.

Do the guidelines address domains not specifically included in Good Start, Grow Smart, such as social/emotional, cognitive, physical, health, creative arts, or other domains?

[  ]   Yes.  If yes, describe.
[  ]   No.

Have guidelines been developed for children in age groups not specifically included in Good Start, Grow Smart (children other than those aged three to five)?

[  ]   Yes.  If yes, describe.
[  ]   No.

Describe the progress made by the State in a plan for professional development since the date of submission of the 2004-2005 State Plan.

For each Yes response, reference the page(s) in the plan and briefly describe the Lead Agency’s efforts.

For each No response, indicate whether the Lead Agency intends to incorporate these components.

Describe how the plan addresses early language, literacy, pre-reading, and early math concepts development.

Are program or provider-level incentives offered to encourage provider training and education?

What are the expected outcomes of the State’s professional development plan and efforts to improve the skills of child care providers? As applicable, how does (or will) the State assess the effectiveness of its plan and efforts? If so, how does (or will) the State use assessment to help shape its professional development plan and training/education for child care providers?

6.1.1      

Are all center-based providers paid with CCDF funds subject to licensing under State law that is indicated in the NRCHSCC's compilation?

[  ]   Yes.  Answer 6.1.2, skip 6.1.3, and go to 6.2.

[  ]   No. Describe which center-based providers are exempt from licensing under State law and answer 6.1.2 and 6.1.3.

Have center licensing requirements as relates to staff-child ratios, group size, or staff training been modified since approval of the last State Plan? (§98.41(a)(2)&(3))

[  ]   Yes, and the changes are as follows: 

[  ]   No.

For center-based care that is NOT licensed, and therefore not reflected in NRCHSCC's compilation, the following health and safety requirements apply to child care services provided under the CCDF for:

• The prevention and control of infectious disease (including age-appropriate immunizations)
  
  
• Building and physical premises safety 
  
  
• Health and safety training

Are all group home providers paid with CCDF funds subject to licensing under State law that is indicated in the NRCHSCC's compilation? If:

[  ]   Yes.  Answer 6.2.2, skip 6.2.3, and go to 6.3.

[  ]   No.  Describe which group home providers are exempt from licensing under State law and answer 6.2.2 and 6.2.3.

Have group home licensing requirements that relate to staff-child ratios, group size, or staff training been modified since the approval of the last State Plan? (§98.41(a)(2) & (3))

[  ]   Yes, and the changes are as follows:

[  ]   No.

For group home care that is NOT licensed, and therefore not reflected in NRCHSCC's compilation, the following health and safety requirements apply to child care services provided under the CCDF for:

• The prevention and control of infectious disease (including age-appropriate immunizations)

• Building and physical premises safety 

• Health and safety training
  

Are all family child care providers paid with CCDF funds subject to licensing under State law that is indicated in the NRCHSCC's compilation? If:

[  ]   Yes.  Answer 6.3.2, skip 6.3.3, and go to 6.4.

[  ]   No. Describe which family child care providers are exempt from licensing under State law and answer 6.3.2 and 6.3.3.

Have family child care provider requirements that relate to staff-child ratios, group size, or staff training been modified since the approval of the last State Plan? (§98.41(a)(2) & (3))

[  ]   Yes, and the changes are as follows: 

[  ]   No. 

For family care that is NOT licensed, and therefore not reflected in NRCHSCC's compilation, the following health and safety requirements apply to child care services provided under the CCDF for:

• The prevention and control of infectious disease (including age-appropriate immunizations)

• Building and physical premises safety 

• Health and safety training

Are all in-home child care providers paid with CCDF funds subject to licensing under the State law reflected in the NRCHSCC's compilation referenced above?

[  ]   Yes.  Answer 6.4.2, skip 6.4.3, and go to 6.5.

[  ]   No. Describe which in-home child care providers are exempt from licensing under State law and answer 6.4.2 and 6.4.3.

Have in-home health and safety requirements that relate to staff-child ratios, group size, or training been modified since the approval of the last State Plan? (§98.41(a)(2) & (3))

[  ]   Yes, and the changes are as follows: 

[  ]   No. 

For in-home care that is NOT licensed, and therefore not reflected in NRCHSCC's compilation, the following health and safety requirements apply to child care services provided under the CCDF for:

• The prevention and control of infectious disease (including age-appropriate immunizations)

• Building and physical premises safety 

• Health and safety training
  
  

Each Lead Agency is required to certify that procedures are in effect to ensure that child care providers of services for which assistance is provided comply with all applicable health and safety requirements. (658E(c)(2)(E), §§98.40(a)(2), 98.41(d)) The following is a description of how health and safety requirements are effectively enforced:

• Are child care providers subject to routine unannounced visits (i.e., not specifically for the purpose of complaint investigation or issuance/renewal of a license)?

• Are child care providers subject to routine unannounced visits (i.e., not specifically for the purpose of complaint investigation or issuance/renewal of a license)?
  

• Does the State require that child care providers report serious injuries that occur while a child is in care? ( Serious injuries are defined as injuries requiring medical treatment by a doctor, nurse, dentist, or other medical professional.)
  

The State assures that children receiving services under the CCDF are age-appropriately immunized, and that the health and safety provisions regarding immunizations incorporate (by reference or otherwise) the latest recommendations for childhood immunizations of the State public health agency. (§98.41(a)(1))

The State exempts the following children from immunization (check all that apply):

Each Lead Agency is required to certify that procedures are in effect to ensure that child care providers of services for which assistance is provided comply with all applicable health and safety requirements. (658E(c)(2)(E), §§98.40(a)(2), 98.41(d)) The following is a description of how Territorial health and safety requirements are effectively enforced:

Are child care providers subject to routine unannounced visits (i.e., not specifically for the purpose of complaint investigation or issuance/renewal of a license)?

Index: ACYF-PI-CC-05-05 | Federal Register Announcement | Plan Preprint | Guidance
Related Items: ACF Regional Administrators | FFY 2004-2005 State Plan | FFY 2002-2003 State Plan | FFY 2000-2001 State Plan