CCDF State and Territories Plan Preprint |
| Index: ACYF-PI-CC-01-03 | Guidance | Plan Preprint | ACF Regional Administrators for State Plan | (Collection available in Word and PDF) |
| Related Items: ACF Regional Administrators | FY 2000-2001 State Plan |
Guidance for Submitting the Plan Preprint Pages |
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Completing the |
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):
Some States 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. Section 1.5 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 3.3.3 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 so indicate. The following sections may require Lead Agencies to note the existence of local variations:
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The notation need not specify the details of each local variation unless the 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. An acceptable approach would be: "Counties must submit their priorities to the State Lead Agency office for approval." Responses that only indicate that counties set their own priorities may not be acceptable if it is not clear that the Lead Agency maintains its required "overall responsibility."
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1.1 & 1.2 |
Lead Agency Information: Identify the Lead Agency and Lead Agency's Chief Executive Officer as designated by the State Chief Executive Officer. 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 day-to-day responsibilities and knowledge of the 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. Responses to questions 1.1 and 1.2 serve as the Lead Agency's official and formal notification to ACF of any changes in the administration and location of the Lead Agency and contact for the State child care (CCDF) program.
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1.3 & 1.4 |
The purpose of questions 1.3 and 1.4 is to provide the public with an indication of the amount of funds available for child care and related activities. 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 10/1/01--9/30/02 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 CCDF amount is the total of the Discretionary, Mandatory, and Matching Funds of the CCDF. On separate lines, Lead Agencies indicate the funds expected to be transferred from the Federal Temporary Assistance to Needy Families Program and the anticipated Direct Federal Temporary Assistance to Needy Families spending on child care (if known). Lines are also provided for the estimate of State (i.e., non-Federal) funds available to meet the maintenance of effort (MOE) requirement and share of the Matching Fund of the CCDF. 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.
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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 and percentage of the total CCDF that will be used to administer all services and activities under the CCDF. Show only the amount of 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.
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| 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:
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| 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, the appropriate answer is "Yes". If other entities such as contracted child care providers perform any of the functions listed, the answer should be "No". If the Lead Agency answers "NO" to any of the four questions, please identify the entity that performs the task. When more than one entity performs the same task, indicate all entities. For example, when 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.
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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 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 an example such as this one. To facilitate comparisons across States, Lead Agencies are encouraged to indicate the type of entity performing the task by using one of the following identifiers:
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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 that agency may be counted for match purposes. The Lead Agency may designate itself as that entity.
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1.9.2 |
Some examples of State efforts to ensure that pre-K programs meet the needs of working parents include:
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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 include:
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2.1 |
The regulations at §98.12 (a)-(c) stipulate that the Lead Agency shall coordinate the provision of services with other Federal, State, and local child care and early childhood development programs, including such programs for the benefit of Indian children. This includes consultation with representatives of local government during the development of the plan and coordination with any Indian Tribes in the State receiving CCDF funds. The regulations at §98.14(a)(1)(A)-(D) specify that the Lead Agency must also coordinate with the State/tribal agency responsible for:
This section now requires a description of the consultation and coordination the Lead Agency used in developing this Plan and the "results" or outcomes of the coordination.
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2.2 |
Lead Agencies are reminded that at least one hearing must be held to allow the public the opportunity to comment on the provision of child care services under the Plan. At least 20 days of statewide public notice must be provided in advance of the hearing. The hearing shall be held before the Plan is submitted to ACF but no earlier than nine months before the effective date of the Plan, i.e., no earlier than January 1, 2001. The content of the proposed Plan shall be made available to the public in advance of the hearing.
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2.3 |
This section requests that the Lead Agency describe activities, including planned activities, to encourage public-private partnerships in meeting child care needs. Consistent with 98.14(a)(2), Lead Agencies are required to discuss the results or expected results of these activities.
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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 every provider is simply required to sign a "contract" in order to be paid through your certificate program.
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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, however, indicate the services that are not available and identify the area where the services are not offered.
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3.2 |
The regulations 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." Plans will not be approved unless a local market survey has been completed within the allowable time period (10/1/99 - 9/30/01). Lead Agencies are required to provide the month and year of their local market rate survey, a copy of their payment rates for all categories of care, and the effective date of those rates. If the Lead Agency provides tiered reimbursements, i.e., pays more for higher quality care, or has payment rates that vary for children with special needs, non-standard hour care, or other types of care, a copy of those payment rates should be included as well. The explanation of how rates ensure equal access should include a description of how the rates correspond to market charges as evidenced by the survey. For example, the explanation might include: "Rates for center-based and regulated family child care are set at the 75th percentile of market charges as demonstrated by our local market survey. Rates for unregulated providers are set at 50% of family child care home rates as a sufficient number of unregulated providers could not be identified and surveyed. Additionally, unregulated providers are not currently required to undertake the same high level of ongoing training 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." Where the State's payment rates do not show the same categories of care described in 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 include only centers, family homes, and in-home care: "Centers are facilities caring for groups of children in a non-residential setting. A family child care home is a licensed provider in a private residence caring for up to 12 unrelated children depending on the ages of the children and availability of an assistant. An in-home provider cares for the children of only one family in that family's home. The State does not distinguish between group and family child care homes, therefore rates for only three categories are shown."
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3.3.1 |
Eligibility for CCDF services is limited to families with income at or 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). Column (b) is completed only if the Lead Agency uses an income level lower than 85% of SMI to limit eligibility. 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. However, in calculating the proportion of potentially eligible children served by States for the new child care component of the Temporary Assistance to Needy Families high performance bonus, ACF will use the SMI information provided by the Bureau of Census for the Fiscal Year corresponding to the performance year. For that reason, Lead Agencies are encouraged to use the most recent fiscal year information provided by the Bureau of Census in completing column (a). The Bureau of the Census publishes estimates of SMI on its web site at: www.census.gov/hhes/income/4person.html . SMI estimates for FY 2002 (starting October 1, 2001) are also expected to be published in the Federal Register in March 2001 for use in the LIHEAP program. When published, the estimates will be available at: www.access.gpo.gov . This section no longer requires that Lead Agencies provide dollar amounts associated with "very low income" for purposes of the priorities under 98.44. "Very low income" is now included as a term to be defined by Lead Agencies in Appendix 2 of the Plan.
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3.3.2 |
CCDF regulations provide that Lead Agencies are to include in their Plans any additional eligibility criteria, priority rules and definitions that have been established. This section requires that Lead Agencies describe and/or attach information about how income is defined for CCDF eligibility purposes.
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3.3.3 |
If there are different/multiple income levels (e.g., 3.3.1 column "b") in use in the State, explain the variations here and include a copy of the income levels as an attachment. For example, a Lead Agency may have entrance and exit eligibility thresholds that differ, allow local counties to set eligibility levels, or have eligibility that differs for families that include a child with special needs.
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3.3.4 |
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.
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3.3.5 & 3.3.6 |
The upper age limit may not be over age 19 (e.g., not 19 years, 1 month or "up to age 20").
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3.3.8 |
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."
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3.4.1 |
The Lead Agency must give priority for child care services to children:
However, neither the statute nor the regulations prescribes how to "give priority". Therefore, while the list of priorities 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.
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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; whether, e.g., it varies by number of children in care or the cost of care.
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3.5.3 |
The 2000 HHS Poverty Guideline published in the Federal Register on February 15, 2000 is $14,150 for a family of three. For other family sizes apply $2,900 per person, except in Alaska and Hawaii. For Alaska, the 2000 HHS Poverty Guideline for a family of 3 is $17,690 (apply $3,630/person for other family sizes). For Hawaii, the 2000 HHS Poverty Guideline for a family of 3 is $16,720 (apply $3,340/person for other family sizes). The 2001 HHS Poverty Guidelines should be published in February 2001. They will be available from the Federal Register at www.access.gpo.gov. The Lead Agency is not required to use the 2001 HHS Poverty Guidelines, but must indicate the poverty level it is using if it elects to waive the required fee.
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3.5.4 |
Allowing providers to charge parent fees in addition to those included under the sliding fee scale may have serious implications for the affordability of child care in low-income families. Lead Agencies are asked whether they prohibit providers from charging families fees in addition to the co-payment described in 3.5.1 and 3.5.2.
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3.5.4 |
The preamble to the regulations suggests that co-payments 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 co-payments must meet. The explanation, at a minimum, should indicate the percent of family income that typically would be used to meet its co-payment. Lead Agencies are reminded that co-pays may not vary based on a family's eligibility status or circumstances.
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3.6.1 |
The Lead Agency is encouraged to provide a copy of the certificate in addition to its description.
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3.6.3 |
The explanation should include an estimate of the mix of §98.50 services available through certificates versus grants/contracts. This may be expressed in terms of dollars, number of slots, or percentages of services.
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4.1 |
A description of the eligibility process for families should be provided. Include any variations in eligibility process based on eligibility category as well as information about how parents who receive Temporary Assistance to Needy Families benefits are informed about the exception to individual penalties as described in 4.4. The description should also address the length of the CCDF eligibility determination period including any extension to the eligibility period in support of collaborative arrangements between child care and Head Start or pre-K programs. 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 period 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 pre-K programs, the CCDF eligibility period coincides with the school year (e.g., 9 months)." 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.
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4.2 |
It is not necessary that the Lead Agency maintain the records of substantiated parent complaints. That function may be undertaken by another State agency. Regardless of who maintains the records, the Lead Agency must provide the required detailed description about how the information is made available to the public on request. The description should include the contact for obtaining information about parental complaints.
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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."
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4.4 |
The regulations do not establish any criteria or standard against which the requested Temporary Assistance to Needy Families definitions are to be judged. This information is requested as a means of providing information to the public. ACF recognizes that the Temporary Assistance to Needy Families definitions 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, merely 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 fulfill the public information purpose of this question. 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.
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5.1 |
Since Congress has earmarked funds for specific quality and access activities, the Plan requests separate descriptions of Lead Agency activities and services to improve the quality of care for infants and toddlers as well as its resource and referral services and school-aged activities. (See Information Memorandum ACYF-IM-CC-99-01, January 22, 1999.) In identifying the entity performing a specific task, Lead Agencies are encouraged to use one of the indicators listed in the guidance for section 1.6 (above).
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5.2 |
Estimate the amount and 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, and/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 services and activities paid for with State MOE funds). The Lead Agency is reminded that no less than 4% of the total CCDF (which includes the State's share of the Matching fund and earmarked funds) must be used for quality activities. (While the earmarked funds are included in calculating the "not less than 4% expenditure requirement," they do not count toward meeting the 4% expenditure requirement.)
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5.3 - 5.5 |
The list provided reflects options many Lead Agencies have selected in the past. It is not intended to be 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 5.4. In identifying the entity performing a specific task, Lead Agencies are encouraged to use one of the indicators listed in the guidance for section 1.6 (above).
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Part 6
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NOTE: Part 6 is completed by the 50 States and the District of Columbia only. Territories complete Part 7.
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 (6.1.1, 6.2.1, 6.3.1 and 6.4.1) is designed to show if all care in the stated category is licensed. As indicated, if all care is licensed, the Lead Agency answers "Yes" to the first question, responds to the second question related to changes in licensing requirements, and skips the third question. If any care in the stated category is not licensed, the Lead Agency must complete the health and safety requirements that apply only to that unlicensed care (6.1.3, 6.2.3, 6.3.3, and/or 6.4.3). 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 6.1.3 the health and safety requirements that apply to school-based centers. |
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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. Example: A caregiver caring for fewer than three 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.
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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.
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| 6.6 |
Under the statute and regulations that govern CCDF, each Lead Agency is required to certify the procedures that are in effect to ensure that providers serving children whose care is subsidized through CCDF comply with applicable health and safety standards. The new questions in this section are intended to assist ACF in tracking its performance measures under the Government Performance and Results Act of 1993. Lead Agencies are to indicate whether or not they conduct routine unannounced visits on child care providers, perform background checks on providers (or their family members), and/or require that providers report serious injuries that occur while a child is in care. In addition, Lead Agencies are asked to describe other methods used to ensure that health and safety requirements are enforced. This might include information about the percent of providers inspected annually, the number of inspections conducted annually, the length of time between inspections, etc. For purposes of this section, "routine" unannounced visits are those that are conducted as a matter of policy, not for purposes of licensing or formal complaint investigation. "Serious injuries" are defined as injuries to a child in care that require medical treatment by a doctor, nurse, dentist, or other medical professional.
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Part 7
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Only Puerto Rico, the Virgin Islands, Guam, the Commonwealth of the Northern Mariana Islands and American Samoa complete Part 7.
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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 its policy regarding relative providers. If relative providers are subject to different requirements than licensed providers, please describe the requirements that apply to relatives.
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7.6 |
Under the statute and regulations that govern CCDF, each Lead Agency is required to certify the procedures that are in effect to ensure that providers serving children whose care is subsidized through CCDF comply with applicable health and safety standards. The new questions in this section are intended to assist ACF in tracking its performance measures under the Government Performance and Results Act of 1993. Lead Agencies are to indicate whether or not they conduct routine unannounced visits, perform background checks on providers (or their family members), and/or require that providers report serious injuries that occur while a child is in care. In addition, Lead Agencies are asked to describe other methods used to ensure that health and safety requirements are enforced. This might include information about the percent of providers inspected annually, the number of inspections conducted annually, the length of time between inspections, etc. For purposes of this section, "routine" unannounced inspections are those that are conducted as a matter of policy, not for purposes of licensing or complaint investigation. "Serious injuries" are defined as injuries to a child in care that require medical treatment by a doctor, nurse, dentist, or other medical professional.
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Appendix 1 - |
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. Even if the Lead Agency has changed, these certifications apply to the successor agency.
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Appendix 2 - |
The Lead Agency must complete the required definitions in Appendix 2, and include any special terms that are used.
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"in loco |
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 adequate.
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"Protective Services" |
A Lead Agency that chooses to provide respite care to children in protective services (as indicated in questions 3.3.7 & 3.3.8) 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.
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"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.
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"Very low income" |
As indicated in section 3.3.1, the Act governing the CCDF requires States to give priority to families with "very low income." While there may not be a practical need to make such a distinction, for example, because the Lead Agency is able to serve all families below 85% of the SMI, a definition of "very low income" is required. |
| Index: ACYF-PI-CC-01-03 | Guidance | Plan Preprint | ACF Regional Administrators for State Plan (Collection available in Word and PDF) |
| Related Items: ACF Regional Administrators | FY 2000-2001 State Plan |