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ACF
Administration For Children And Families |
Administration on Children, Youth and Families |
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| 1. Log No. ACYF-PI-CC-97-02 | 2. Issuance Date: May 13, 1997 | |
| 3. Originating Office: Child Care Bureau | ||
| 4. Key Word: Child Care and Development Fund Plan, States and Territories Plan, Preprint | ||
To
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State and Territorial Lead Agencies administering child care programs
under the Child Care and Development Block Grant Act of 1990 as amended,
and other interested parties.
Purpose
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This Program Instruction (PI):
- conveys a new Plan preprint for services under the Child Care and Development Fund (CCDF)
- provides guidance for completing and submitting the Plan.
Background
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Recent amendments to the Child Care Development Block Grant Act and
title IV-A of the Social Security Act necessitate a new Plan for CCDF
services and activities. We based this new Plan on the Child Care
Development Block Grant Plan used in the past, but we:
- deleted sections no longer required by the statutes
- simplified the remaining sections and their overall format
- reorganized the overall structure of the Plan to give a better sense of an integrated child care system
- reduced the reporting burden by including by reference State licensing information publicly available on the World Wide Web
- removed sections that our experience indicates need not be monitored through the Plan.
References
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Section 418 of the Social Security Act; The Child Care and Development
Block Grant Act of 1990 as amended. 45 CFR Parts 98 and 99.
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This PI is effective when issued. Plans must be submitted for ACF
review by July 1, 1997. Plans, when approved by the ACF Regional Administrator,
are effective no earlier than October 1, 1997.
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To assist Lead Agencies in completing the Plan, the preprint is available
in word-processing format (WordPerfect®, version 5.1) from format
their ACF Regional Office.
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This Plan is based on the Child Care Development Block Grant Act,
as amended, and those regulations which we believe have not been impacted
by the recent amendments to the Act. This Plan does not reflect
regulatory policies that ACF may propose as a result of the amendments.
When final regulations incorporating the amendments to the Act are
published some plan pages will be modified and need to be resubmitted
to ACF.
Completion of most of the Plan is self-explanatory. When necessary, we have provided additional guidance or instructions in the attachment. However, States should be guided by the amended Act when completing those sections which are not addressed in the current regulations (or where the current regulations are clearly superseded by the amended Act).
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This Plan must reflect the integration of child care services envisioned
by the Personal Responsibility and Work Opportunity Reconciliation
Act of 1996. The Plan is subject to a statewide hearing pursuant to
section 658D(b)(1)(C) of the Child Care Development Block Grant Act.
The hearing for this Plan must have been held after August 22, 1996
(the date the amendments to the Child Care Development Block Grant
Act became law).
Lead Agencies are advised that the public hearing is not held for the purposes of "approving" the Plan as it will be submitted to ACF, but rather to solicit public comment and input into the services which will be provided through the CCDF. The Plan that is submitted to ACF, however, must reflect the program that will be conducted and must include the changes that result from the input received during the public hearing, if any. The Lead Agency is advised to retain a copy of the draft plan that it made available for public comment.
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Substantive changes to the CCDF program, after the Plan is approved
by ACF, must be reflected by amending the Plan per 45 CFR 98.16(b).
The attached Plan includes a simplified "Amendments Log"
page which replaces the form FSA-4596. Changes to the program do not
require advance ACF approval.
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Submit copies of the Plan as follows:
| 1 copy to the ACF Regional Administrator (see attached list) |
2 copies to the Child Care Bureau HHS Building - Rm. 320F 200 Independence Ave. S.W. Washington, D.C. 20201 |
The Plan may be submitted electronically. Contact your ACF Regional Contact for details.
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All inquiries should be directed to the ACF Regional Administrator.
/s/
Joan Lombardi
Associate Commissioner Child Care Bureau
| Part 1: 1.1 & 1.2 |
The purpose of questions 1.1 and 1.2 is to provide
the public with an indication of the amount of funds available
for child care and related activities through the CCDF. The amounts
provided in response to these question are informational only
and will not be subject to compliance actions, nor will
ACF distribute funds based on these estimates.
In question 1.1 the Lead Agency estimates the total amounts that will be available for CCDF child care services and related activities in the State (include CCDF funds used for administration (also shown in 1.2) and the quality activities (also shown in Part 5). 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 which exceed the amounts required to meet the MOE and Match provisions, if they choose. Territories may indicate "NA" in the State amount line. (Program Instruction ACYF-PI-CC-96-17, dated 10/30/96, discusses the MOE requirement and the Matching Fund.) In question 1.2 the Lead Agency estimates 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. ACYF-PI-CC-96-17 also discusses administrative costs in the CCDF. Estimates are for the 1-year period 10/1/97 -- 9/30/98 even though the Plan covers a 2-year period. Collecting this information in the Plan replaces the need to collect it in a separate application at this time. Amounts shown in response to 1.1 and 1.2 are informational. Pursuant to section 658K(a)(1) of the Act, quarterly requests for funds and information on the actual use of funds must be provided to ACF on other designated financial management forms and reports. |
| Part 2 2.1 |
Describe only those consultations held since the last Plan. |
| 2.2 | The Lead Agency must describe how it coordinates
the delivery of services with other Federal, State, tribal and
local child care, early childhood development programs, and before-
and after- school care services.
Child care should be an integral part of a State's self-sufficiency or workforce development efforts. In addition, the quality of child care benefits greatly from close coordination with the public health and education communities. Therefore, the Lead Agency should include in this section a description of its coordination activities with State agencies responsible for public health (including the agency responsible for immunizations), public education, employment services or workforce development, and the agency responsible for (TANF). |
| Part 2 2.3 |
The required hearing must be held before the Plan is submitted to ACF. |
| Part 3 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 the area where the services are not offered. |
| Part 3 3.2 |
The facts must include the State's definition of
"affordable child care arrangements" pursuant to section
407(e)(2)(C) of the Social Security Act, which provides for exceptions
to penalties against individuals in the Temporary Assistance to
Needy Families program. Note that the current regulations at 45
CFR 98.43 are impacted by the amendments to the Act. For example,
the requirement that variations within a category of care may
not vary by more than 10% -- and then only if based on a "methodologically
sound system" -- appear not to apply now. States should be
guided by their understanding of the amended Act which requires
them to provide a summary of the facts relied upon to ensure that
payment rates ensure equal access to comparable care for children
with subsidies.
If the facts upon which the payment rates were established also include a market survey or sample, indicate the date the survey/sample was conducted. |
| Part 3 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 State 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 is shown in column (b) (See also section 3.4). 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 "very low income."
Therefore, States must complete both columns (a) and (b) and the
amounts 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. |
| Part 3 3.5.3 |
The 1997 HHS Poverty Guideline for a family of
3 -- except in Alaska and Hawaii) is $13,330 (for other family
sizes apply $2,720 per person). For Alaska, the 1997 HHS Poverty
Guideline for a family of 3 is $16,670 (apply $3,400 for other
family sizes). For Hawaii, the 1997 HHS Poverty Guideline for
a family of 3 is $15,330 (apply $3,130 for other family sizes).
The Lead Agency need not use the 1997 Guidelines, but must indicate the poverty level it is using if it elects to waive the required fee. If all families must pay a fee indicate "N/A" for the amount. |
| Part 5 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 and required State expenditures (i.e., do not include the cost of State 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. |
| Part 5 | The list provided reflects the options 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 must be described in 5.3. |
| 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 creates a new requirement for the State to provide "a detailed description" of its licensing requirements and "how such requirements are effectively enforced." 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 in lieu of other documentation as accurately reflecting 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 identify 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.
Legal care that is not licensed by the State is not included in the NRCHSCC listing and must, therefore, be described in the appropriate section of Part 6.
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| Part 6 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 the policy it follows regarding relative providers. If relative providers are subject to different requirements than apply to licensed providers, please describe the requirements that do apply. |
| Part 6 6.6 |
As discussed above, ACF accepts NRCHSCC's compilation
as accurately reflecting State licensing requirements. In accepting
this ACF has significantly reduced the reporting burden created
by section 658E(c)(2)(E) of the Act for ACF to require a "detailed
description" of State licensing requirements. In order to
completely fulfill the statutory requirement, however, the Lead
Agency must nevertheless make "a detailed description"
of its licensing requirements available to the public. The Lead
Agency can accomplish this by providing access to the NRCHSCC
listing or by maintaining a hard copy of the State's licensing
requirements.
In either case, do NOT submit its licensing requirements to ACF in response to this section. The Lead Agency, however, must submit a description here of how the licensing requirements are effectively enforced. |
| 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 3 health and safety requirements must be described for all 4 categories of care. The requirements for all care, whether licensed, regulated, or otherwise legal, that is paid for with CCDF funds must be described. |
| Part 7 7.5 |
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 the policy it follows regarding relative providers. If relative providers are subject to different requirements than apply to licensed providers, please describe the requirements that do apply. |
| Appendix 2 | The Lead Agency must complete the required definitions
in Appendix 2, and include any special terms that are used.
The definition of protective services must include foster care and respite care if the Lead Agency proposes to provide CCDF-funded child care in those circumstances. Respite care is available for the parents of children in protective services only for short, temporary periods. A Lead Agency that intends to include respite care in its definition of protective services must explain the circumstances under which respite care is offered. |
| Appendix 3 | The certifications in Appendix 3 must be completed and submitted with the Plan. |