HomeMy WebLinkAbout20030388 RESOLUTION
RE: APPROVE CHILD CARE DEVELOPMENT AGREEMENT FOR SERVICES AND
AUTHORIZE CHAIR TO SIGN - UNITED WAY OF WELD COUNTY, INC.
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with a Child Care Development Agreement
for Services between the County of Weld, State of Colorado, by and through the Board of
County Commissioners of Weld County, on behalf of the Department of Social Services, and
United Way of Weld County, Inc., commencing July 1, 2002, and ending June 30, 2003, with
further terms and conditions being as stated in said agreement, and
WHEREAS, after review, the Board deems it advisable to approve said agreement, a
copy of which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of
Weld County, Colorado, ex-officio Board of Social Services, that the Child Care Development
Agreement for Services between the County of Weld, State of Colorado, by and through the
Board of County Commissioners of Weld County, on behalf of the Department of Social
Services, and United Way of Weld County, Inc., be, and hereby is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized
to sign said agreement.
The above and foregoing Resolution was, on motion duly made and seconded, adopted
by the following vote on the 10th day of February, A.D., 2003, nunc pro tunc July 1, 2002.
BOARD OF COUNTY COMMISSIONERS
WEL UNTY, COLOTO
ATTEST: 1 /k I. Gk� C
"'auf �„" .. �� vid E. Long, C it
Weld County Clerk to t•r B -
ryo... tr11
F,y, bert D. sden, Pro-Tem
BY: ..I%! . ,�
Deputy Clerk to the n c>,
M. J. G le
APPf₹OV AS TO EXCUSED
� �����., (( William H. Jerke_
ounty Attorney\ J a.t.t Ll//I .-.A\
Glenn Vaad
Date of signature: 3///
2003-0388
(Yl s�<02e-�,� SS0030
1
a
DEPARTMENT OF SOCIAL SERVICES
PO BOX A
GREELEY,CO 80632
'B IWESSITE:www.co.weld.co.us
Administration and Public Assistance(970)352-1551
III
C Child Support(970)352-6933
COLORADO MEMORANDUM
TO: David E. Long, Chair Date: February 4, 2003
Board of County Commissioners
FR: Judy A. Griego, Director, Social Services ,P Agreement tit �` C' U (J
RE: Child Care Development for Se tt ices Between llWeld
County Department of Social Services and United Way of Weld
County, Inc.
Enclosed for Board approval is a Child Care Development Agreement for Services
between the Weld County Department of Social Services and United Way of Weld
County, Inc. The Agreement was discussed and reviewed at the Board's Work Session
held on February 3, 2003.
Previously, the Department received approval from the Colorado Department of Human
Services for a Child Care Quality Expansion Grant for SFY 2002-2003. The Department
submitted the grant on behalf of United Way and Aims Community College.
Subsequently, the Department entered into an Agreement with the Colorado Department
of Human Services. In turn, the Department is entering into this Agreement with United
Way to allow the Department to release Child Care Quality Expansion Grant funds to
United Way.
The major provisions of the grant request are:
1. The term of the grant would be July 1, 2002 through June 30, 2003.
2. The Department would reimburse funds totaling $40,018. The source of funds is
the Child Care and Development Fund. United Way agrees to provide the cash
and in-kind support for the grant funds directly or through its subcontractor, Aims
Community College.
3. United Way would seek to improve the quality of child care available to children
and families in Weld County, to increase the number of new child care home
providers in rural Weld County and to retain current child care providers.
If you have any questions, please telephone me at extension 6510.
2003-0388
Contract No. PY03-CCDI
CHILD CARE DEVELOPMENT AGREEMENT FOR SERVICES
BETWEEN THE WELD COUNTY DEPARTMENT OF SOCIAL SERVICES AND
UNITED WAY OF WELD COUNTY, INC.
(x) Purchase of Child Care Development Services Agreement
( ) Purchase of Child Care Services Agreement
( ) Purchase of Child Care Training Agreement
Was this Agreement competitively procured?
( )Yes Date Procured / /
(x)No (Attach Waiver of Competitive Procurement)
This Agreement, made and entered into the day of 2002,by and between
the Board of County Commissioners, on behalf of the Weld County Department of Social
Services,hereinafter referred to as "Social Services,"and United Way of Weld County, Inc.,
hereinafter referred to as the"Contractor."
WHEREAS, the Colorado Department of Human Services, Division of Child Care,
hereinafter referred to as the State, is authorized by the federal government as the Lead Agency to
administer the Child Care and Development Fund, hereinafter referred to as the CCDF:
WHEREAS, a priority goal for the State under the CCDF is to improve the availability of
early childhood care and education services and before and after school child care services in
Colorado;
WHEREAS, Social Services has been selected in accordance with the requirements of the
Colorado Procurement Code,pursuant to a Department of Human Services-approved Request for
Applications process;
WHEREAS, the State and Social Services hereto concur that Social Services is the
appropriate party to use and disburse certain funds for improving the quality and/or availability of
affordable early childhood care and education services and before and after school child care
programs through the CCDF locally;
WHEREAS,the Contractor submitted an application to Social Services that meets the
requirements set by the State regarding its approved request for application process; and
WHEREAS,the Contractor possesses necessary knowledge and experience to provide
child care and educational services in Weld County;
NOW THEREFORE,in consideration of the premises,the parties hereto covenant and
agree as follows:
1. Terms
This Agreement shall become effective on July 1, 2002, upon proper execution of this
Agreement and shall expire June 30, 2003. The preparation, submission, and acceptance
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Contract No. PY03-CCDI
of a Final Financial Report and Final Program Report shall be undertaken by the
Contractor by July 31, 2003.
2. Scope of Services
A. Services shall be provided by the Contractor in compliance with Exhibit A,a
copy of which is attached and incorporated by reference. The Contractor shall
provide the services specified in Exhibit A (Contractor's original proposal).
B. In accordance with Exhibit A,the Contractor shall comply with the following
requirements for programs and services:
I) The Contractor shall use grant funds to increase the availability,
affordability, and quality of child care services for low-income families
affected by welfare reform work requirements or families involved in
training/work preparation in order to position the State and Social
Services to meet the work requirements under welfare reform.
2) The Contractor shall perform child care quality and availability
improvement activities, in accordance with the Contractor's approved
work plan and budget in Exhibit A.
3) The Contractor shall use grant funds only for those activities that result
in the creation of new child care options and/or enhancing and expanding
current child care options.
4) The Contractor shall coordinate grant activities with low-income and
childcare assistance programs serving low-income families and families
who are newly working or involved in work training/preparation and
with other programs providing a range of child care and early childhood
education services in the geographic area(s)providing grant-funded
services.
5) The Contractor shall operate the grant within the confines of the federal
child care rules and regulations in Exhibit B, as these regulations currently
exist or as they may be amended during the term of this Agreement.
6) The Contractor shall not use funds to supplant or replace funds currently
being used,planned,or committed, for child care activities. Grant funds
shall not be used to replace existing program revenues.
7) The Contractor shall use a lawful,appropriate sub-contractor selection
process that is in keeping with the Contractor's approved procurement
and contracting procedures.
8) The Contractor shall negotiate specific agreements on new slots
development when contracting with subcontractors.
a. These agreements shall, at a minimum, address the continuing
availability of newly developed and enhanced child care options
created by the grant to low-income and public assistance
families.
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Contract No. PY03-CCDI
b. The Contractor shall demonstrate that more children and families
will receive quality services as a direct result of this grant
funding.
9) The Contractor's quality and availability program(s)will be monitored
and evaluated based on performance measures submitted as part of the
grant application.
10) The Contractor shall start funding activities within 30 days of receiving a
signed contract.
11) The Contractor shall consult with the Department of Human
Services/Division of Child Care Licensing Specialist to ensure that all
grant-funded programs meet applicable licensing requirements.
12) The use of grant dollars for direct child care staff(provider) salaries and
fringe benefits during start-up and/or expansion of capacity is only
allowable if directly related to creating new or expanded child care
services.
13) In administering the grant program and funds, the Contractor shall
prioritize:
a. Meeting the needs of low-income parents and families having
children with special needs who are eligible for child care under
federal child care regulations;
b. Making effective use of community resources; and
c. Providing high quality programs, which create an environment
that enhances the age-appropriate, education, social, cultural,
emotional and recreational development of children.
14) The Contractor shall provide public awareness and outreach to low-
income and newly working families so they are aware of and can access
grant-funded services.
15) The Contractor shall submit any requests to use grant funds for the
purchase of computers and administrative software in writing for
approval by the State. The State will only consider such requests for
programs serving 50 or more children and demonstrating a direct
relationship between the expenditure and increased child care capacity
and/or quality.
16) Grant funds shall not be used for direct subsidies/scholarships for
childcare or for general administrative support services which are not
directly related to this quality and capacity expansion grant.
17) At a minimum, the Contractor shall provide a local match of 10%of the
total project budget or that percentage of local match the Contractor
committed to in the approved grant application—whichever is higher.
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Contract No. PY03-CCDI
a. The Contractor acknowledges it has confirmed the availability of
the local match prior to the effective date of the Agreement.
b. The Contractor ensures that the local match will be met during
the term of this Agreement.
18) The Contractor shall cooperate with Social Services, State and/or federal
monitoring of the Contractor's program and costs.
19) The Contractor shall ensure parents have unlimited access to their
children in care and to the provider caring for their children during
normal operating hours whenever their children are in care.
20) The Contractor shall not use funds for the following activities:
• to purchase or improve land,
• to purchase vans,trucks, or automobiles,
• to purchase, construct or permanently improve any building
or facility.
21) The Contractor shall not engage in activities intended to extend or
replace regular academic programs or for tuition(in grades 1-12) or for
related expenses for academic programs.
22) The Contractor shall demonstrate in the final program report that more
children received quality child care services as a result of this funding.
23) If providing Out-of-School Time Programs, the Contractor shall ensure
that these services are available Monday-Friday, including school
holidays and vacation periods other than legal public holidays to children
attending early childhood development programs,kindergarten or
elementary and secondary school classes during such times of the day
and on such days that the regular instructional services are not in session.
C. The Contractor shall receive from Social Services certain funds and disburse
such funds pursuant to the Budget,pages 14-15 of Exhibit A.
D. The Contractor shall confer with the Director of Social Services,or the Director's
designee,as deemed appropriate by Social Services or at the request of the
Contractor,to allow for open discussions of progress,problem(s)encountered,
and problem(s)solutions.
E. The Contractor shall operate the Program(s) within the express confines of the
federal child care rules and regulations in Exhibit B governing the use of these
funds. The Contractor acknowledges by its signature on this Agreement that
these rules and regulations will be explained to and/or incorporated into all sub-
contractor and/or other lower tier participant agreements or contracts as
appropriate. The Contractor and all sub-contractors shall operate the Program(s)
in accord with any new federal and/or State Rules and Regulations applicable to
this Agreement which may hereafter be promulgated by the State and/or federal
government during the term of this Agreement, upon notification by the Social
Services, as deemed appropriate by the State in consultation with the Contractor.
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Contract No. PY03-CCDI
F. The Contractor and all sub-contractors shall publicly acknowledge and include an
acknowledgment in publications and/or written materials developed and
disseminated through funding available under this Agreement that funding was
provided by Social Services and the Colorado Department of Human Services,
Division of Child Care,as the lead agency in Colorado for administering CCDF
Funds available through the U.S.Department of Health and Human Services.
3. Payment Schedule
A. Payment shall be made on the basis of Exhibit A,a copy of which is attached and
incorporated by reference.
This Agreement Budget shall establish the maximum reimbursement,which will
be paid from Social Services funds during the duration of this Agreement.
B. The Contractor will submit an itemized monthly billing to Social Services for all
costs incurred pursuant to Exhibit A of this Agreement in accordance with
criteria established by Social Services. The Contractor shall submit all itemized
monthly billings to Social Services not later than the fifteenth(15)day of the
month following the month the cost was incurred. Billings must be signed by the
Contractor.
Failure to submit monthly billings in accordance with the terms of this
Agreement shall result in the Contractor's forfeiture of all rights to be reimbursed
for such expenses.
C. Payments to the Contractor shall be made monthly by Social Services upon
receipt of such itemized billings as required under Exhibit A.
D. Reimbursement of costs incurred pursuant to this Agreement is expressly
contingent upon the availability of Weld County funds to Social Services.
E. Social Services shall not be billed for, and reimbursement shall not be made for
time involved in activities outside of those defined in Exhibit A. Work
performed prior to the execution of this Agreement shall not be reimbursed or
considered part of this Agreement.
6. Assurances
The Contractor shall abide by all assurances as set for in the attached Exhibit C,which is
attached hereto and incorporated herein by reference.
7. Compliance with Applicable Laws
At all times during the performance of this Agreement,the Contractor shall strictly
adhere to all applicable federal and state laws, orders, and all applicable standards,
regulations,interpretations or guidelines issued pursuant thereto. This includes the
protection of the confidentiality of all applicant/recipient records,papers, documents,
tapes and any other materials that have been or may hereafter be established which
related to this Contract. The Contractor acknowledges that the following laws are
included:
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Contract No. PY03-CCDI
• Age Discrimination Act of 1975,42 U.S.C. Sections 6101 et.seq.
and its implementing regulations,45 C.F.R. Part 91;
• Age Discrimination in Employment Act of 1967, 29 U.S.C.
621-634;
• Americans with Disabilities Act of 1990(ADA)42 U.S.C. 12101
et. sea.;
• The Drug Free Workplace Act of 1988,41 U.S.C. 701 et. seq.;
• Equal Pay Act of 1963, 29 U.S.C.206(d);
• Immigration Report and Control Act of 1986, 8 U.S.C. 132b;
• Pro-Children Act of 1994,20 U.S.C. 6081 et. seq.;
• Section 504 of the Rehabilitation Act of 1973,29 U.S.C. 794,as
amended and implementing regulation 45 C.F.R. Part 84;
• Titles VI&VII of the Civil Rights Act of 1964,42 U.S.C. 2000d
&e;
• Title IX of the Education Amendments of 1972,20 U.S.C. 181
et.seq.;
• Section 24-34-302, et. seq.,Colorado Revised Statutes 1993,as
amended;
• The"Uniform Administrative Requirements for Grants and
Cooperative Agreements to the State and Local Governments
(Common Rule," at 49 Code of Federal Regulations, Part 18;
• Office of Management and Budget Circulars A-87, A-21 or A-122,
and A-102 or A-110, whichever is applicable.
• The Hatch Act(5 USC 1501-1508)and Public Law 94-454 Section
4728. These statutes state that federal funds cannot be used for
partisan political purposes of any kind by and person or
organization involved in the administrations of federally-assisted
programs.
The Contractor also shall comply with any and all laws and regulations prohibiting
discrimination in the specific program(s)which is/are the subject of the Agreement. In
consideration of and for the purpose of obtaining any and all federal and/or state financial
assistance,the Contractor makes the following assurances:
A. The Contractor will not discriminate against any person on the basis of race,
color,national origin, age, sex,religion and handicap, including Acquired
Immune Deficiency Syndrome(AIDS)or AIDS related conditions, in
performance of work under this Agreement.
B. At all times during the performance of this Agreement,no qualified individual
with a disability shall,by reason of such disability,be excluded from
participation in, or denied benefits of the service,programs, or activities
disclosure statement setting forth the relevant details for the State's consideration
and direction. Failure to promptly submit a disclosure statement or to follow the
State's direction in regard to the apparent conflict shall be grounds for
termination of the Agreement.
Further,the Contractor(and subcontractors or subgrantees permitted under the
terms of this Agreement) shall maintain a written code of standards governing the
performance of its employees engaged in the award and administration of
contracts. No employee, officer or agent of the Contractor, subcontractor, or
subgrantee shall participate in the selection, or in the award or administration of a
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Contract No. PY03-CCDI
contract or subcontract supported by Federal funds if a conflict of interest,real or
apparent,would be involved.
Such a conflict would arise when:
1) The employee,officer, or agent;
2) Any member of the employee's immediate family;
3) The employee's partner; or
4) An organization which employs or is about to employ any of the
above,
has a financial or other interest in the firm selected for award. The
Contractor's, subcontractor's or subgrantee's officers,employees, or
agents will neither solicit nor accept gratuities, favors,or anything of
monetary value from Contractor's potential contractors,or parties to
sub agreements.
8. Certifications
A. Contractor certifies that, at the time of entering into this Contract, it has
currently in effect all necessary licenses,approvals,insurances,etc.
required to properly provide the services and/or supplies by this contract.
B. Public Law 103-227,Part C—Environment Tobacco Smoke, also known
as the Pro-Children Act of 1994(ACT),requires that smoking not be
permitted in any portion of any indoor facility owned or leased or
contracted for by an entity and used routinely or regularly for the
provision of health, day care, education, or library services to children
under the age of 18,if the services are funded by Federal programs either
directly or through State or local governments by Federal grant, contract,
loan, or loan guarantee. The law does not apply to children's services
provided by private residences, facilities funded solely by Medicare or
Medicaid funds, and portions of facilities used for inpatient drug or
alcohol treatment. Failure to comply with the provision of the law may
result in the imposition of a civil monetary penalty of up to$1,000 per
day and/or the imposition of an administrative compliance order on the
responsible entity. By signing and submitting this application,the
Contractor certifies that it will comply with the requirements of the Act.
The Contractor further agrees that it will require the language of this
certification be included in any subawards which contain provisions for
children's services and that all subgrantees shall certify and perform
accordingly.
9. Monitoring and Evaluation
The Contractor and Social Services agree that monitoring and evaluation of the
Performance of this Agreement shall be conducted by the Contractor and Social
Services. The results of the monitoring and evaluation shall be provided to the
Board of County Commissioners,Weld County, Colorado.
The Contractor shall permit Social Services,and any other duly authorized agent
or governmental agency, to monitor all activities conducted by the Contractor
pursuant to the terms of this Agreement. As the monitoring agency may in its
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Contract No. PY03-CCDI
sole discretion deem necessary or appropriate,such program data, special analyses,onsite
checking, formal audit examinations,or any other reasonable procedures. All such
monitoring shall be performed in a manner that will not unduly interfere with agreement
work.
10. Modification of Agreement
All modification to this Agreement shall be in writing and signed by both parties.
11. Remedies
The Director of Social Services or designee may exercise the following remedial Actions
should s/he find the Contractor substantially failed to satisfy the scope of work found in
this Agreement. Substantial failure to satisfy the scope of work shall be defined to mean
incorrect or improper activities or inaction by the Contractor. The remedial actions are as
follows:
A. Withhold payment to the Contractor until the necessary services or correction in
performance are satisfactorily completed.
B. Deny payment or recover reimbursement for those services or deliverables which
have not been performed and which due to circumstances caused by the
Contractor cannot be performed or if performed would be of no value to Social
Services. Denial of the amount of payment shall be reasonably related to the
amount of work or deliverables lost to Social Services.
C. Incorrect payment to the Contractor due to omission,error, fraud, and/or
defalcation shall be recovered from Contractor by deduction from subsequent
payments under this Agreement or other agreements between Social Services and
the Contractor,or by Social Services as a debt due Social Services or otherwise
as provided by law.
12. Representatives
For the purpose of this Agreement,the individuals identified below are hereby-designated
representatives of the respective parties. Either party may from time to time designate in
writing a new or substitute representative(s):
For Social Services: For the Contractor:
Richard Rowe Sheila Avers
Assistance Payments Manager Director of Children's Programs
13. Notice
All notices required to be given by the parties hereunder shall be given by Certified or
registered mail to the individuals at the addresses set forth below. Either party may from
time to time designate in writing a substitute person(s)or address to which such notices
shall be sent:
To: Social Services To: United Way of Weld County, Inc.
Judy A. Griego,Director Jeannine Truswell, Executive Director
P. O.Box A P.O. Box 1944
Greeley, CO 80632 Greeley, CO 80632
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Contract No. PY03-CCDI
14. Litigation
The Contractor shall promptly notify Social Services in the event that the Contractor
learns of any actual litigation in which it is a party defendant in a case which involved
services provided under this Agreement. The Contractor, within five(5)calendar days
after being served with a summons,complaint, or other pleading which has been filed in
any federal or state court or administrative agency, shall deliver copies of such
document(s)to the Social Services' Director. The term"litigation" includes an
assignment for the benefit of creditors, and filings in bankruptcy,reorganization and/or
foreclosure.
15. Termination
This Agreement may be terminated at any time by either party given thirty(30) days
written notice and is subject to the availability of funding.
16. Entire Agreement
This Agreement together with all attachments hereto, constitutes the entire understanding
between the parties with respect to the subject matter hereof, and may not be changed or
modified except as stated in Paragraph 10 herein.
IN WITNESS WHEREOF,the parties hereto have duly executed the Agreement as of the day,
month, and year first above wrytter -
ATTEST: /,,, r i.i _ ' � BOARD OF COUNTY COMMISSIONERS
eld Coun to.the Doay.., WELD COUNTY, COLORADO
By: r� e< By:
Deputy Clerk �` � � Davi E. Long, hair
(A//U/a)o 3)
APP O D AS TO F •
CON TRACTOR:
C ty omey
B Ili Zi lA l 1 yL
WELD COUNTY DEPARTMENT OF Julia n3e Haefeli, Chair
SOCIAL SERVICES
By: �.
u A. G go, Direc r Jean!). e Truswell, Executive Director
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Contract No. PY03-CCDI
EXHIBIT A
STATEMENT OF WORK
1. Statement of Work
A. It is hereby agreed that the Contractor shall comply with the Statement of Work
and responsibilities. The Contractor shall provide the services specified in the
Contractor's Request for Application,attached hereto as Exhibit A.
The Contractor shall receive state funds and disburse such funds pursuant to the
Budget attached hereto in Exhibit A and,if applicable, any addenda to Exhibit A.
B. Social Services shall provide guidance to the Contractor, as deemed necessary by
the State or at the request of the Contractor, and monitor the Contractor's
compliance and adherence to the terms of the contract.
C. The parties agree that services to be provided under this contract, excepting
preparation, submission and acceptance of a Final Financial Report and a Final
Program Report, shall be completed no later than July 31, 2003. Any funds
unliquidated by the Contractor shall revert back to Social Services.
Attached to Exhibit A shall be the information delineated in the Contractor's
Request for Application; the following is included:
1) Application Summary Form
2) Section A—Need for the Project Expected Impacts/Benefits
3) Section B—Program Description,Administrative Capacity and
Accountability
4) Section C—Coordination,Collaboration and Local Match
5) Section D—Plan for Continuation
6) Section E—Line Item Budget Narrative
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••, . rrA
COLORADO DIVISION OF CHILD CARL PAP S
GRANT APP1JCArION=PART
•
Page l oft
F� -t.<o-,!Ri.Ci'''"1' ` '"��'> py oy. r�'�{'t vF}- 1,�.. $s+?[tom..i�r C !�.- a1a. �."}.�w✓ _
H C-yak ,, ]h sPze ^, g ₹
Legal Name of Organization:
(please give full departmental name): Weld County Department of Social Services
Address: P. 0 Box A
City/State/Zip: Greeley, Colorado 80632
Contact Person: Judy Griego
Phone Number: 970 352-1551, x 6510 Fax Number: 970 353-5215
E-Mail Address: griegoja@co.weld.co .tuountRequested: $40,018
Federal Employer Identification Number(FEIN): 4, o
Funds will be used for ®��
B F
(check all that apply)
olOf
aZ�
New child care facility startup _ Minor renovation to meet licensing teats
Expansion of existing facility X Equipment/supplies CO `�4, O�
r
X Training X Consumer Education '14t
X Resource and referral X Provider retention F
X Provider/staff training X Costs to meet licensing requirements
Staff/operating: Detail how you plan to
continue staff costs after grant ends in your
response to Section D -Continuation X Expanding quality of care in target community(ies)
•
CHECK ALL THAT APPLY TO THE PROPOSED PROJECT
X Early childhood program Children of teen parents
_ School-age(Out of School)program Children of homeless families
X Children with special needs X- Infants/Toddlers
Public school site Colorado Pre-school Program
Migrant and seasonal workers Children in Chapter 1 local school districts
X Private-for-profit center Family resource center/school
X Evening/weekend care X- Full-week care
Wrap-around child care(part-day) - Other(specify):
Area of high crime or poverty
I certify that the information provided in this application is, to the best of my knowledge, complete and
accurate. If the award is made, the applicant commits to project implementation in keeping with the
proposal content and budget and to adhere to all assurances, certifications, terms, conditions, and other
requirements contained in this application and in the RFA.
Authorized name and signature:
Glenn Vaad, Chair 48-“4-61 1
Weld County Board
of (/J/
Commissioners 02/13/2002
Print Name Signature Date
•
EntBIT A
•
United Way of Weld County PAGE 2 OF 15
•
9149M Sweet
P.O.Box 1944
Greeley,CB 90832
97970/353-43001 United`` ay
971/353-4739 Fax of Weld County
8OW411-9929
uwwc@tnitedway-weld.org
www.uritedway-wetdorg
February 12, 2002 •
Scott Raun, Grant Specialist
Colorado Division of Child Care
1575 Sherman, 1st Floor
Denver, CO 80203-1714
Dear Mr. Raun:
On behalf of United Way of Weld County and Aims Community College we are
again pleased to be submitting through the Weld County Department of Social
Services this Child Care Expansion proposal. We have partnered for the past
two years in this grant effort and have experienced some very positive
relationships from the partnership as well as productive use of grant funds.
The attached proposal is specifically targeted at raising the quality of child care in
child care homes and centers, retaining center staff and home providers, and
increasing quality training opportunities for child care staff.
United Way of Weld County and Aims Community College are again committing
both cash and in-kind support to this project far exceeding the requirements..
Aims Community College will also provide substantial commitment of in-kind
support. The project coordinators, Judy Kron and Kathy Hamblin will continue to
direct the efforts of this project at no cost to the project.
We are optimistic about the benefits of this proposal to Weld County children and
families, and child care professionals. Please give the proposal your careful
consideration.
_ wctxra
Je nnine Truswell, Executive Director Kathy Ha lin,
U ited Way of Weld County Program Manager
Family and Life Education
Supporting over Aims Community College
75 programs and
directly providing:
Bright Beginnings
Child Care Resource
and Referral
NEtp1INE
Family Support Network
School Volunteer Project
Volunteer Resource Center
Weld County Child Files Word/CCR&R/Gsast}/E �,{
Abuse Coalition o g �farch fr.t.y.t/n9,,^��- ( Z/��'�//(/ ai'.
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EXHIBIT A
PAGE 3 OF 15
•
Section A: Need For the Project and Expected Impacted/Benefits
Areas to be served and qaps: Weld County has 165,000 people (EDAP, 1999), of whom
28% (46,200) are children under the age of 18, according to Kids Count in CO, 1997/98. Weld
County has a higher poverty rate and lower median household income than other front range
counties (1998 census). Our unemployment rate for 2000 was 3.23 and our per capita income
is $37,659 compared to $43, 402 for Colorado. Weld County continues to be one of the largest
and poorest counties in the state. The Colorado Children's Campaign report for Weld county
states that there are 7,392 children needing care, with only 3,972 licensed slots available.
Child Care Resource and Referral (CCR&R) located at United Way of Weld County works with
317 of the 389 licensed child care centers and home providers throughout the county. In 2001,
CCR&R received 866 unduplicated calls from parents seeking assistance in locating child
care. Return calls can add up to 30% to the total figure. Our child care homes total 237,
dropping 40 from 2001. Our child care centers and before/after school programs increased
from 38 in 2000, to 42 in 2001. Our recruiting goal is 40. Currently, 23 potential providers are
going through licensing or have been licensed. Of those, 10 are going through the mentoring
program. Fortunately, recruiting for infant care slots has lessened the crisis in our area. Last
year, there were no infant slots available in child care homes. To date, we average
approximately 30 infant vacancies throughout the County. Of the 12 rural areas in the County,
only Mead and Pierce have no vacancies at all, while Ft. Lupton, Erie, Hudson/Keenesburg,
and Ault/Pierce/Nunn, Windsor, and Eaton average approximately 10 vacancies each. Last
year six rural areas had no vacancies at all.
Clearly, the gaps are widening to access home child care —which is the most affordable
care for low income families. Greeley/Evans School District Six received a substantial grant to
increase before & after school programs, accounting for the increase in programs. Our
EXHIBIT A
PAGE 4 OF 15
collaborating agencies (Aims Community College and United Way of Weld County) remain
•committed to recruiting new home providers to fill the ever widening gap and to improve the
quality of care offered in centers and homes. We will alter our recruiting strategies for next year
in order to begin to bridge the widening gap of attrition in child care homes. We are more
committed than ever to raising the quality of child care in the county through measurable
programs. We believe this will assist to retain child care providers in centers and in homes.
These gaps in the availability and access to quality licensed child care providers
throughout our County and particularly in the rural areas must be addressed. In order to
do so, we propose to increase the availability of affordable child care for low income working
families in several ways:
• Continue recruiting new child care providers through incentives and training to create over
150 new slots in our targeted areas.
• Continue to retain current child care providers and increase the quality of their child care.
• Create and implement a Professional Development Plan for child care center and family
child care home professionals.
• Improve quality of care in child care homes and centers through assessment training.
• Improve quality of child care in Weld County by providing assessment, technical
assistance, incentive and follow-up assessment for homes and centers.
Other Types of Funding
Weld County Department of Social Services continues to transfer the maximum amount
of TANF funds to child care activities, focusing on low-income working families, and child
welfare. The child care block grant allocation is not generating sufficient funding for Weld
County to allow us to divert any funds from monthly subsidizes to expand child care services.
Weld County's child care allocation remained the same for FY 2001/2002. Weld County was
unable to increase child care rates in 2001/2002 because of factors noted above. In analyzing
EXHBrr A
PAGE 5 OF 15
child care rates among the ten largest counties, Weld County is comparable or higher than the
average child care rate distribution from DSS.
Section B: Program Description, Administrative Capacity and Accountability
Goals and Objectives: We are targeting two areas to emphasize for this year's
Expansion Grant: Goal 1) improve the quality of child care available to children and families in
Weld County; Goal 2) Increase the number of new child care home providers and retain
current child care home providers. Both goals and their objectives are to be complete by June
30, 2003. In general, all recruited providers will be chosen based on their ability to participate
in quality child care assessments, serve low-income families and meet one of our targeted
areas: rural care, off-hour care, bi-lingual care, infant care, and quality center care.
We are maintaining the action steps and objectives that have been the most successful for us
—the scholarships through Aims and the initial mentee/mentor incentive program.
This year we will expand our collaboration to include the local food programs, Aims' pre-
licensing program, local child care association members and local licensing personnel. We
intend to create a face-to-face orientation for potential new providers with these partners.
Currently, all of the pre-licensing orientation is done through distance learning. Due to the
isolation home care providers experience, it is necessary to offer an interactive orientation to
meet professionals and other potential providers. At these orientations, we will screen and
recruit providers for the initial mentor and incentive program, as well as for quality assessment
homes. Our goal is to better select participants for the mentoring program, resulting in better
retention and a higher quality of initial home care.
This year we are combining our mentor program with quality assessment training. We
will provide 10 home mentors and 10 center teachers to be trained in two of the following: the
Infant/Toddler Environment Rating Scale, Early Childhood Environment Rating Scale, Family
Day Care Rating Scale and School Age Care Environment Rating Scales. These 20 providers
EXHIBIT A
PAGE 6 or 15
will cross-evaluate one other classroom and/or home, develop a plan to increase the quality of
care, and reevaluate to insure the increase has been achieved. goal participants will increase
their quality by .5 to one point on the assessment scale - a significant increase. Technical
assistance will be available to providers to assist with the quality improvement plans if
necessary. In one year, 40 homes and classrooms will show significant increases in their
quality of child care.
Additionally, we will assist 5 home providers to become accredited. We will also require
evaluation meetings for all program participants in order to strengthen professional
development and to regularly assess the viability of each participant's child care program and
to evaluate the progress of each grant goal. At the end of the year, we will acknowledge the
success of the providers with stipends for achieving and maintaining their increase in quality
child care.We will hold a recognition celebration to further promote networking and present the
financial stipend.
To strengthen rural community child care, we will target four rural areas ( Windsor,
Johnstown, Ft. Lupton, and Dacono/Frederick/Firestone) and recruit one mentor per
community. This mentor will be trained to assist current providers to increase their quality of
child care and to recruit new providers for the area. Technical support will be available to each
geographical location on a monthly basis to insure this program is successful.
Though we do not specifically target children with special needs,we do have an active
committee that works with this population in child care settings. The developmental needs of
children will be addressed in the assessment and quality improvement process.
•
ExweR A
• PAGE 7 OF 15
The following charts list goals, objectives, timelines, and accountability.
Goal 1 - Improve the quality of child care available to children and families in Weld
County
Objective 1 - Create and implement a Professional Development Plan (PDP)for child
care center and family child care home professionals.
Activities -.Timing Measurement
Market availability of At pre-registration times Fliers distributed to CCR&R,
scholarships and each quarter (August, . centers and homes, notification
incentives December, March, May) in newsletters and posted at key
locations
Provide academic Throughout grant period Approved PDP for 20
advising to determine a participants
Professional
Development Plan
Enroll students and Throughout grant period Grant funds distributed for
provide tuition, books, tuition, books and conference
conference fees fees
Award stipend to May 2003 Grant funds distributed for
successful PDP students stipends at recognition ceremony •
at recognition ceremony
Objective 2 - Improve quality of child care in homes and centers through assessment
training
Send.individ.uals to July.and August 2002 4 individuals trained and reliable
ITERS, ECERS, FDCRS
and SACERS training
and reliability
Survey potential July and August 2002 Survey results for scheduling
participants to determine classes
training needs
Schedule courses August 2002 Courses entered into quarterly
according to survey schedule of classes
results
Enroll students in August, December, 2002 10 students per class for each of
scheduled ECERS, 4 or more classes (multiple
ITERS, FDCRS, and sections could be offered if •
SACERS courses (1 enrollment warrants)
credit each, 10 clock
hours)
Provide tuition, books, August, December, 2002 Grant funds disseminated to
and incentive for students students
enrolled
Provide stipend for May 2003 Grant funds disseminated to
successful providers at students
recognition ceremony
eolith A
• PAGE 8 OF 15
Objective 3 - Improve quality of child care in Weld county by providing assessment,
technical assistance, incentives and follow-up assessment for homes and centers
Recruit providers for August through 10 home and 10 center providers
quality improvement December 2002
activities.
Assess child care August through Assessment results distributed to
environments (20homes December 2002 home providers and center
and 20 center personnel
classrooms) using the
ITERS, ECERS, FDCRS,
and SACERS as
appropriate
Develop and implement August through Improvement plans in place for
improvement plans December 2002 each participant
based on assessment
results
Provide technical December 2002 through Log hours of technical
assistance to implement March 2003 assistance and evaluation by
quality improvements participants
Reassess center March through May 2003 Assessment results distributed to
classrooms and homes to home providers and center
document improvements personnel
accomplished
Provide stipend for May 2003 Grant funds disseminated to
successful participants at participants raising quality by .5-
recognition ceremony 1 point
Goal 2: Increase the number of new child care home providers and retain current
child care home providers in Weld County.
Objective 1: Continue recruiting new child care providers through incentives and training
to create over 150 new slots in our targeted areas
Activities Timing Measurement
Recruit 25 new child care home Beginning July 75% (19) will be recruited and
providers in 12 months and offer 2002 use the incentive dollars.
them pre-licensing incentives
6 orientations will be given in
Develop a collaborative orientation Beginning July 2002/2003.
process with Aims, UWWC, 2002
licensing personnel, and local food
programs
4 communities will offer
Expand the mentoring program to Beginning July mentoring and support to local
target rural areas 2002 providers.
6 meetings to all program
Offer evaluation meetings to Held in 2002/3 participants
participants
Exwsrr A
• PAGE 9 OF 15
Objective 2:Continue to retain current child care providers and increase the quality of
their child care.
Assist 5 current licensed Begin in July 2002 5 providers become accredited
child care providers to
become accredited
Closing the gaps identified in Section A:
This project will directly impact the gaps identified in Section A, that prevent low-income
families from accessing quality child care. Our project will improve accessibility to child care by
increasing slots and will improve the overall quality of care in over 40 targeted classes and
homes. By focusing on home care because it is more affordable, we are directly impacting
low-income families. We will strengthen the process to recruit home providers in rural areas
and to increase the quality of care available in targeted rural areas. In order to serve low-
income working families better, the DSS is represented on the CCR&R and Special Needs
Committees.
Professional development for child care center providers will raise the quality of care in
existing facilities improving outcomes for children and the retention of qualified staff. Previous
tracking of grant tuition recipients indicates a high level of retention (92%) of trained individuals
in early childhood education.
The public relations campaign will continue, even though we are not seeking grant
dollars for its maintenance. Education to the community at large about choosing quality child
care will continue to target Spanish speaking members. Brochures and flyers will continue to
be distributed in areas and to businesses that will help low-income parents.
Measurable Outcomes: (see table) The County will know this program is successful by the
number of CCAP and low-income families being served through the grant participants
(homes/centers). Through quarterly reports, the County will monitor the improved quality
EXHIBIT A
PAGE 10 OF 15
through the assessment rating scales. Specific evaluation criteria is referred to in the above
table.
Outcome Measurement and Timeframes: (see table)
Other Community Resources and Services: United Way of Weld County (UWWC) will
continue to provide funding to the Incentive Program and will pick up the costs of re-printing
the brochure. Business contracts will provide incentive dollars to recruit child care providers.
CORRA also provides money towards these efforts. A significant source of funding that
directly impacts low-income families and other working families is our FSN Business Child
Care Program. Five county businesses are contributing to their employees' child care through
this program. Aims Community College has two Infant Toddler Quality Expansion grants, an
Infant Toddler Quality Improvement grant from the state, Title V, and Head Start Partnership
federal grants.These enable Aims to link training opportunities to child care providers.
How providers are selected: Providers will be selected based on their willingness and ability
to address targeted areas listed above. Only licensed providers will be selected.
Outreach Activities and Benefits for Low Income Families: Our programs benefit low
income and working parents by increasing the number of child care homes available
throughout the county. All program participants will be required to enroll CCAP and low-
income families in their child care. Our target areas historically recruit for shift care and off-
hour care, which aids many low-income families. Additional training and intensive assessment
for child care providers will allow us to quantify the raise in quality to programs for all children
served, including low income families. Weld County Department of Social Services
participates in committees that develop programs that further a low-income family's ability to
have a voice in determining what access to child care they require in order to continue to be
productive employees. We will continue to interpret and translate information into Spanish
about choosing quality child care and available financial subsidies. Because we are requiring
ExHisrr A
• PAGE 11 OF 15
all program participants to enroll CCAP and low-income families, we are confident that
outreach activities will be effective.
County DSS plans for monitoring the protect:
DSS will have representation in developing our mentoring goals and in evaluating the
success of the quality assessments. Additionally, DSS will invite the other partners to
participate in recruiting and training activities as appropriate to meet the project goals. A
monthly review of the progress of the project will occur, along with quarterly reports.
Progress of Children: By design, the quality assessment goal of this project will increase
successful outcomes for children. Participants will report anecdotally about the progress of
children in their care. When quality child care increases by .5 to 1 point on assessments, that
is a significant benefit to children.
Building Capacity:
This project, through its recruitment component, will create at least 150 additional child
care slots. Over 50% of these slots will serve low-income families.
Building Quality:
This project, through it's professional development and the assessment activities will
impact over 400 children by raising the quality of their care by .5 to 1 point on the assessment
scale. Additionally, the 20 students receiving scholarships will utilize their education in the
classroom and impact quality through that avenue. Over 30 children will benefit from the
homes that become accredited. A larger number of children stand to benefit from our
campaign on choosing quality child care. Since every parent who calls CCR&R for child care
information receives our checklist on choosing quality child care, we are potentially impacting a
minimum of 1,000 children a year.
9
Emma A
PAGE 12 OF 15
Section C: Coordination, Collaboration and Local Match
Due to the extensive collaboration currently in place, we know we are not nor will in the
future duplicate existing services.
Local Participants: The CCR&R committee is made up of representatives of the leaders in
the child care industry in the county. This project was collaboratively conceived through
committee participation. The Weld Family Child Care Association and the Country Child Care
Professional Association, the Weld Association for the Education of Young Children, and
Family Connects will also be utilized to build capacity and quality. This year we intend to
include several other CCR&R members in our collaboration through the Orientation. In
addition to our other grant partners, we will partner with local food programs and licensing
personnel to offer regular face-to-face interactive orientations to potential new providers. This
maximizes the use of resources for all the goals of this project.
Local child care resources: The CCR&R program at United Way of Weld County will
continue its efforts to reach over 1000 families to educate them about quality child care and
potential financial subsidies available. The FSN program of United Way of Weld County will
also continue its efforts to recruit local businesses to contribute to their employees' child care
expenses. The pre-licensing training through Aims Community College is a resource available
to new providers.
Local Matching Resources:
Matching funds for this project are provided through United Way of Weld County,
Colorado Office of Resource and Referral Agencies, Aims Community College and Kodak,
R.R. Donnelley, and other grants. Our in-kind and cash match exceeds the required level and
includes the majority of staffing costs, space at Aims, and United Way of Weld County,
coordination, bookkeeping and office materials.
•
EXHIBIT A
PAGE 13 of 15
History of Successful Collaborations
Weld County has a distinguished history of collaboration. The Weld County Child Abuse
Coalition has been in existence since 1989. The CCR&R committee has been functioning for
over six years and recently, we have combined forces of over 5 entities to provide one
newsletter to the child care provider community. The Child Care Task Force Committee was
established to determine child care needs in the county. Since the research has been
completed (2000), presentations to the major partners and community groups have been
provided. The Task Force continues to meet on a regular basis to evaluate the progress of
Committee recommendations. Another community initiative that emphasizes the importance of
children three and under is Promises for Children, a county cooperative to educate our
community on the needs of young children.
Section D: Plan for Continuation after Grant Ends
United Way of Weld County(UWWC) is committed to continuing the mentoring and
provider recruitment programs. Last year, UWWC funded the majority of recruited providers
and their incentives. Through business grants from RR Donnelley and Kodak, we will continue
to expand the child care slots in the community. Increased business participation in
subsidizing child care will also allow UWWC to fund quality child care programs. CORRA
funding continues to be available.
Aims Community College is equally committed to support of child care providers
professional development. The College is consistently seeking grant sources to continue and
expand student scholarships.
The partners will continue to seek grant sources to enable these programs to continue.
Participation on the CCR&R committee insures a community support for continuation of grant
goals. Any staff costs will be absorbed through budgetary planning.
-
ExIrsrr A
PAGE 14 OF 15
Section E: Budget
Child Care quality Expansion Project FY 2002— Line Item Budget
Fundin Period: 7/01/02 to 6/30/03
BUDGET FOR DIRECT COSTS OF CHUM CARE LICENSING PROGRAMS
Item State Cost Local Match Total Cost
1. Personnel Salaries
United Way of Weld County:
Technical Support for Rural mentors (4 hours $2,640
per 4 areas for 11 months $ 2,640 $ 5,280
Coordination of recruiting, trra training mentees&
mentors, developing and running the $5,400 $ 5,400 $10,800
collaborative Orientations and facilitating the
monthly evaluation meetings (30 a month x 12
months @$15.00 an hour),
AIMS Community College:
Coordination time -@$15/hr, technical
Assistance for improvement plans (each
Participant could get 4 hours of technical $5,376 $ 5,376
Assistance for 30 participants) and grant
Management @ 10 hours per month for 12
Months.
($15x4x30=$1800+$15x10x12=$1800, total
$3600)
Additional grant management @ 10
hours/month x $15/hour x 12 months
10x$15212=$3600 - $ 3,600 $ 3,600
2. Fringe Benefits:
Aims Community College:
$3,600 x 12% _ $432 $ 432 -_
432
13 848 11 640 3. Travel 25 488
United Way of Weld County:
Mileage —2,200 miles @ .30 $ 330
AIMS Community College: $ 330 $ 660
Mileage for students to assess centers and
Homes
70 - 70
4. Supplies 400 330 730
United Way of Weld County:
General office supplies $ 300
Postage $ 300 $ 600
Printing (posters, brochures, and ads) • $ 300 $ 300 $ 000
AIMS Community College: —' $ 3,000 $ 3,000
Textbooks for 40 courses @ $50 per book
Books -20 students need textbook $ 2,000 ---- $ 2,000
@$14/book
Marketing scholarship availability (printing $ 280 --- $ 280
and $ 100
Postage)
$ 2,980 3 600 g 85 p
ExNIBff A
PAGE 15 OF 15
5. Equipment
6. Other (specify)
United Way of Weld County
Incentive Program — Stipend for 10 recruits $ 3,000 $ 3,000 $ 6,000
(300 each —the rest are cash matches)
Incentive for 10 mentors @ $ 155 per mentor $ 1,550
Rural Mentor Program --.4 rural mentors $ 1,550 $ 3,100
Training incentive (4x $300) $ 1,200
Stipends for 4 rural mentors to set up $ 1,200
Mentoring program in their community $ 4,000
(4x $1000) $ 4,000
Accrediting Homes — Pay 5 licensed home
Providers to become accredited ($500 x 5) $ 2,500
Aims Community College: — $ 2,500
Academic Advising (In-kind) — $ 500
Tuition for 20 students,6 credits (2 courses) $ 500
Per student @ $29 per cr. (20x6x$29=$3480 $ 3,480
Conference fees for 10 students @$50 each $ 500 $ 3,480
(10x$50=$500) - $ 500
Stipend for 20 students @ $50 $ 1,000
Recognition Ceremony- refreshments'and $ 1,000
Speaker $ 300
Train individuals each for ITERS, ECERS, $ 300
FDCRS and SACERS ($50 training costs/
Person }&hours training time @$15/hr. for 4
People ($50x4+8x$15x4=$680) $ 680
Develop and administer survey instrument (in- — $ 680
Kind) `" $ 250 $ 250
Schedule courses (in-kind)
Enroll students (in-kind) — $ 100 $ 250
$ 250 $ 2 Tuition -20 students will enroll in a 1-credit 50
course @$29/credit (20x$29=$580) $ 580
Incentive -up to $150 to participants who " $ 580
improve rating scale results ($150x20=$3000) $ 3.000
La a)
$21,790 1A81(1 MISS"
SubTotal-Child Care Prog. $39,018
21 220 §.§142L3
COUNTY ADMINISTRATIVE COSTS
Bud et Cate oriel
Personnel/Admin.
$ 1,000 $ 1,000
Grand Total 40 018 21 220 61 238
•
Federal Register:July 24, 1998(Volume 63,Number 142)Rules and Regulations Exhibit B
Pages 39981-39998 Page 1 of 19
List of Subjects 98.33 Consumer education.
98.34 Parental rights and responsibilities.
45 Cr'R Part 98
[[Page 39982]]
Child care,Grant program--social programs,Parental choice,
Reporting and record keeping requirements. Subpart E--Program Operations(Child Care Services)—Lead Agency
and
45 CER Part 99 - Provider Requirements
Administrative practice and procedure,Child care,Grant program— 98.40 Compliance with applicable State and local regulatory
social programs. requirements.
98.41 Health and safety requirements.
(Catalog of Federal Domestic Assistance Programs: 93.575, Child 98.42 Sliding fee scales.
Care and Development Block Grant; 93.596, Child Care Mandatory 98.43 Equal access.
and Matching Funds) 98.44 Priority for child care services.
98.45 List of providers.
Dated:March 16, 1998. 98.46 Nondiscrimination in admissions on the basis of religion.
Olivia A.Golden, 98.47 Nondiscrimination in employment on the basis of religion.
Assistant Secretary for Children and Families.
Subpart F--Use of Child Care and Development Funds
Approved:June 10, 1998.
Donna E.Shalala, 98.50 Child care services.
Secretary,Department of Health and Human Services. 98.51 Activities to improve the quality of child care.
98.52 Administrative costs.
For the reasons set forth in the preamble,Parts 98 and 99 of 98.53 Matching Fund requirements.
Subtitle A of Title 45 of the Code of Federal Regulations are amended 98.54 Restrictions on the use of funds.
as follows: 98.55 Cost allocation.
1.Part 98 is revised as follows:
Subpart G--Financial Management
PART 98—CHILD CARE AND DEVELOPMENT FUND
98.60 Availability of funds.
Subpart A--Goals,Purposes and Definitions 98.61 Allotments from the discretionary fund.
98.62 Allotments from the mandatory fund.
Sec. 98.63 Allotments from the matching fund.
98.1 Goals and purposes. 98.64 Reallotment and redistribution of funds.
98.2 Definitions. 98.65 Audits and financial reporting
98.3 Effect on State law. 98.66 Disallowance procedures.
98.67 Fiscal requirements.
•
Subpart B—General Application Procedures
Subpart H--Program Reporting Requirements
98.10 Lead Agency responsibilities.
98.11 Administration under contracts and agreements. 98.70 Reporting requirements.
98.12 Coordination and consultation. 98.71 Content of reports.
98.13 Applying for funds.
98.14 Plan process. Subpart I--Indian Tribes
98.15 Assurances and certifications.
98.16 Plan provisions. 98.80 General procedures and requirements.
98.17 Period covered by plan. 98.81 Application and Plan procedures.
98.18 Approval and disapproval of plans and plan amendments. 98.82 Coordination.
98.83 Requirements for tribal programs.
Subpart C--Eligibility for Services 98.84 Construction and renovation of child care facilities.
98.20 A child's eligibility for child care services. Subpart J--Monitoring,Non-Compliance and Complaints
Subpart D--Program Operations (Child Care Services)--Parental 98.90 Monitoring.
Rights 98.91 Non-compliance.
and Responsibilities 98.92 Penalties and sanctions.
98.93 Complaints.
98.30 Parental choice.
98.31 Parental access. Authority:42 U.S.C.618,9858.
98.32 Parental complaints.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-2 I]
•
Federal Register:July 24,1998(Volume 63,Number 142)Rules and Regulations Exhibit B
Pages 39981-39998 Page 2 of 19
•
Subpart A—Goals,Purposes and Definitions Assistant Secretary means the Assistant Secretary for Children and
Families,Department of Health and Human Services;
Sec.98.1 Goals and purposes. Caregiver means an individual who provides child care services
directly to an eligible child on a person-to-person basis;
(a)The goals of the CCDF are to: Categories of care means center-based child care,group home child
(1)Allow each State maximum flexibility in developing child care care,family child care and in-home care;
programs and policies that best suit the needs of children and parents Center-based child care provider means a provider licensed or
within the State; otherwise authorized to provide child care services for fewer than 24
(2)Promote parental choice to empower working parents to make hours per day per child in a non-residential setting, unless care in
their own decisions on the child care that best suits their family's excess of 24 hours is due to the nature of the parent(s)'work;
needs; Child care certificate means a certificate (that may be a check, or
(3)Encourage States to provide consumer education information to other disbursement) that is issued by a grantee directly to a parent
help parents make informed choices about child care; who may use such certificate only as payment for child care services
(4)Assist States to provide child care to parents trying to or as a deposit for child care services if such a deposit is required of
achieve independence from public assistance;and other children being cared for by the provider,pursuant to Sec.98.30.
(5)Assist States in implementing the health,safety,licensing, Nothing in this part shall preclude the use of such certificate for
and registration standards established in State regulations. sectarian child care services if freely chosen by the parent. For the
(b)The purpose of the CCDF is to increase the availability, purposes of this part, a child care certificate is assistance to the
affordability,and quality of child care services.The program offers parent,not assistance to the provider,
Federal funding to States,Territories,Indian Tribes,and tribal Child Care and Development Fund (CCDF) means the child care
organizations in order to: programs conducted under the provisions of the Child Care and
(1)Provide low-income families with the financial resources to Development Block Grant Act, as amended. The Fund consists of
find and afford quality child care for their children; Discretionary Funds authorized under section 658B of the amended
(2)Enhance the quality and increase the supply of child care for Act, and Mandatory and Matching Funds appropriated under section
all families,including those who receive no direct assistance under 418 of the Social Security Act;
the CCDF; Child care provider that receives assistance means a child care
(3)Provide parents with a broad range of options in addressing provider that receives Federal funds under the CCDF pursuant to
their child care needs; grants, contracts, or loans, but does not include a child care provider
(4)Strengthen the role of the family; to whom Federal funds under the CCDF are directed only through the
(5)Improve the quality of,and coordination among,child care operation of a certificate program;
programs and early childhood development programs;and Child care services,for the purposes of Sec. 98.50,means the care
(6)Increase the availability of early childhood development and given to an eligible child by an eligible child care provider;
before-and after-school care services. Construction means the erection of a facility that does not currently
(c)The purpose of these regulations is to provide the basis for exist;
administration of the Fund.These regulations provide that Lead The Department means the Department of Health and Human
Agencies: Services;
(1)Maximize parental choice through the use of certificates and
through grants and contracts; [[Page 39983]]
(2)Include in their programs a broad range of child care providers,
including center-based care, family child care, in-home care, care Discretionary funds means the funds authorized under section
provided by relatives and sectarian child care providers; 658B of the Child Care and Development Block Grant Act. The
(3)Provide quality child care that meets applicable requirements; Discretionary funds were formerly referred to as the Child Care and
(4)Coordinate planning and delivery of services at all levels; Development Block Grant;
(5)Design flexible programs that provide for the changing needs of Eligible child means an individual who meets the requirements of
recipient families; Sec.98.20;
(6)Administer the CCDF responsibly to ensure that statutory Eligible child care provider means:
requirements are met and that adequate information regarding the use (1) A center-based child care provider, a group home child care
of public funds is provided;and - provider,a family child care provider,an in-home child care provider,
(7)Design programs that provide uninterrupted service to families or other provider of child care services for compensation that--
and providers,to the extent statutorily possible. (i) Is licensed, regulated, or registered under applicable State or
local law as described in Sec.98.40;and
Sec.98.2 Definitions. (ii) Satisfies State and local requirements, including those referred
to in Sec.98.41 applicable to the child care services it provides;or
For the purpose of this part and part 99: (2) A child care provider who is 18 years of age or older who
The Act refers to the Child Care and Development Block Grant Act provides child care services only to eligible children who are, by
of 1990, section 5082 of the Omnibus Budget Reconciliation Act of marriage, blood relationship, or court decree, the grandchild, great
1990,Pub. L. 101-508,as amended and codified at 42 U.S.C.9858 et grandchild, sibling (if such provider lives in separate residence),
seq. niece, or nephew of such provider, and complies with any applicable
ACF means the Administration for Children and Families; requirements that govern child care provided by the relative involved;
Application is a request for funding that includes the information Facility means real property or modular unit appropriate for use by
required at Sec.98.13; a grantee to carry out a child care program;
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Family child care provider means one individual who provides Real property means land, including land improvements,structures
child care services for fewer than 24 hours per day per child, as the and appurtenances thereto, excluding movable machinery and
sole caregiver, in a private residence other than the child's residence, equipment
unless care in excess of 24 hours is due to the nature of the parent(s)' Secretary means the Secretary of the Department of Health and
work; Human Services;
Group home child care provider means two or more individuals Sectarian organization or sectarian child care provider means
who provide child care services for fewer than 24 hours per day per religious organizations or religious providers generally. The terms
child, in a private residence other than the child's residence, unless embrace any organization or provider that engages in religious
care in excess of 24 hours is due to the nature of the parent(s)'work; conduct or activity or that seeks to maintain a religious identity in
Indian Tribe means any Indian Tribe, band, nation, or other some or all of its functions. There is no requirement that a sectarian
organized group or community, including any Alaska Native village organization or provider be managed by clergy or have any particular
or regional or village corporation as defined in or established degree of religious management,control,or content;
pursuant to the Alaska Native Claims Settlement Act(43 U.S.C. Sec. Sectarian purposes and activities means any religious purpose or
1601 et seq.) that is recognized as eligible for the special programs activity,including but not limited to religious worship or instruction;
and services provided by the United States to Indians because of their Services for which assistance is provided means all child care
status as Indians; services funded under the CCDF,either as assistance directly to child
In-home child care provider means an individual who provides care providers through grants, contracts, or loans, or indirectly as
child care services in the child's own home; assistance to parents through child care certificates;
Lead Agency means the State,territorial or tribal entity designated Sliding fee scale means a system of cost sharing by a family based
• under Secs. 98.10 and 98.16(a)to which a grant is awarded and that is on income and size of the family,in accordance with Sec.98.42;
accountable for the use of the funds provided.The Lead Agency is the State means any of the States,the District of Columbia,the
entire legal entity even if only a particular component of the entity is Commonwealth of Puerto Rico, the Virgin Islands of the United
designated in the grant award document. States, Guam, American Samoa, the Commonwealth of the Northern
Licensing or regulatory requirements means requirements Mariana Islands,and includes Tribes unless otherwise specified;
necessary for a provider to legally provide child care services in a Tribal mandatory funds means the child care funds set aside at
State or locality,including registration requirements established under section 418(a)(4) of the Social Security Act. The funds consist of
State,local or tribal law; between one and two percent of the aggregate Mandatory and
Liquidation period means the applicable time period during which Matching child care funds reserved by the Secretary in each fiscal
a fiscal year's grant shall be liquidated pursuant to the requirements at year for payments to Indian Tribes and tribal organizations;
Sec.98.60.; Tribal organization means the recognized governing body of any
Major renovation means: (1) structural changes to the foundation, Indian Tribe, or any legally established organization of Indians,
roof, floor, exterior or load-bearing walls of a facility, or the including a consortium, which is controlled, sanctioned, or chartered
extension of a facility to increase its floor area; or (2) extensive by such governing body or which is democratically elected by the
alteration of a facility such as to significantly change its function and adult members of the Indian community to be served by such
purpose, even if such renovation does not include any structural organization and which includes the maximum participation of
change; Indians in all phases of its activities:Provided,that in any case where
Mandatory funds means the general entitlement child care funds a contract is let or grant is made to an organization to perform
described at section 418(a)(1)of the Social Security Act; services benefiting more than one Indian Tribe, the approval of each
Matching funds means the remainder of the general entitlement such Indian Tribe shall be a prerequisite to the letting or making of
child care funds that are described at section 418(a)(2) of the Social such contract or grant;and
Security Act; [[Page 39984]]
Modular unit means a portable structure made at another location
and moved to a site for use by a grantee to carry out a child care Types of providers means the different classes of providers under
program; each category of care. For the purposes of the CCDF, types of
Obligation period means the applicable time period during which a providers include non-profit providers, for-profit providers, sectarian
fiscal year's grant shall be obligated pursuant to Sec.98.60; providers and relatives who provide care.
Parent means a parent by blood, marriage or adoption and also
means a legal guardian,or other person standing in loco parentis; Sec.98.3 Effect on State law.
The Plan means the Plan for the implementation of programs under
the CCDF; (a)Nothing in the Act or this part shall be construed to supersede
Program period means the time period for using a fiscal year's grant or modify any provision of a State constitution or State law that
and does not extend beyond the last day to liquidate funds; prohibits the expenditure of public funds in or by sectarian
Programs refers generically to all activities under the CCDF, organizations,except that no provision of a State constitution or State
including child care services and other activities pursuant to Sec. law shall be construed to prohibit the expenditure in or by sectarian
98.50 as well as quality and availability activities pursuant to institutions of any Federal funds provided under this part. (b) If a
Sec. 98.51; State law or constitution would prevent CCDF funds from being
Provider means the entity providing child care services; expended for the purposes provided in the Act, without limitation,
The regulation refers to the actual regulatory text contained in then States shall segregate State and Federal funds.
parts 98 and 99 of this chapter;
Subpart B--General Application Procedures
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Sec.98.10 Lead Agency responsibilities. (c) Coordinate, to the maximum extent feasible, with any Indian
Tribes in the State receiving CCDF funds in accordance with subpart
The Lead Agency, as designated by the chief executive officer of I of this part.
the State(or by the appropriate Tribal leader or applicant), shall: (a)
Administer the CCDF program, directly or through other Sec.98.13 Applying for Funds.
governmental or non-governmental agencies,in accordance with Sec.
98.11; The Lead Agency of a State or Territory shall apply for Child Care
(b)Apply for funding under this part,pursuant to Sec.98.13; and Development funds by providing the following:
(c)Consult with appropriate representatives of local government in (a)The amount of funds requested at such time and in such manner
developing a Plan to be submitted to the Secretary pursuant to Sec. as prescribed by the Secretary.
98.I4(b); (b)The following assurances or certifications:
(d) Hold at least one public hearing in accordance with Sec. (1) An assurance that the Lead Agency will comply with the
98.14(c);and requirements of the Act and this part;
(e)Coordinate CCDF services pursuant to Sec.98.12. (2)A lobbying certification that assures that the funds will not be
used for the purpose of influencing pursuant to 45 CFR part 93, and,
Sec.98.11 Administration under contracts and agreements. if necessary, a Standard Form LLL (SF-LLL)that discloses lobbying
payments;
(a)The Lead Agency has broad authority to administer the program (3) An assurance that the Lead Agency provides a drug-free
through other governmental or non-governmental agencies. In workplace pursuant to 45 CFR 76.600, or a statement that such an
addition, the Lead Agency can use other public or private local assurance has already been submitted for all NHS grants;
agencies to implement the program;however: (4) A certification that no principals have been debarred pursuant
(1) The Lead Agency shall retain overall responsibility for the to 45 CFR 76.500;
administration of the program, as defined in paragraph (b) of this (5) Assurances that the Lead Agency will comply with the
section; applicable provisions regarding nondiscrimination at 45 CFR part 80
(2)The Lead Agency shall serve as the single point of contact for (implementing title VI of the Civil Rights Act of 1964,as amended),
issues involving the administration of the grantee's CCDF program; 45 CYR part 84 (implementing section 504 of the Rehabilitation Act
and of 1973, as amended), 45 CFR part 86 (implementing title IX of the
(3)Administrative and implementation responsibilities undertaken Education Amendments of 1972, as amended) and 45 CFR part 91
by agencies other than the Lead Agency shall be governed by written (implementing the Age Discrimination Act of 1975, as amended),
agreements that specify the mutual roles and responsibilities of the and;
Lead Agency and the other agencies in meeting the requirements of (6) Assurances that the Lead Agency will comply with the
this part. applicable provisions of Public Law 103-277,Part C--Environmental
(b) In retaining overall responsibility for the administration of the Tobacco Smoke, also known as the Pro-Children Act of 1994,
program,the Lead Agency shall: regarding prohibitions on smoking.
(1)Determine the basic usage and priorities for the expenditure of (c) The Child Care and Development Fund Plan, at times and in
CCDF funds; such manner as required in Sec.98.17;and
(2) Promulgate all rules and regulations governing overall (d)Such other information as specified by the Secretary.
administration of the Plan;
(3)Submit all reports required by the Secretary; Sec.98.14 Plan process.
(4)Ensure that the program complies with the approved Plan and
all Federal requirements; In the development of each Plan, as required pursuant to Sec.
(5) Oversee the expenditure of funds by subgrantees and 98.17,the Lead Agency shall:
contractors; (a)(t) Coordinate the provision of services funded under this Part
(6)Monitor programs and services; with other Federal,State,and local child care and early childhood
(7) Fulfill the responsibilities of any subgrantee in any: development programs, including such programs for the benefit of
disallowance under subpart G; complaint or compliance action under Indian children. The Lead Agency shall also coordinate with the
subpart J; or hearing or appeal action under part 99 of this chapter; State, and if applicable, tribal agencies responsible for: (A) Public
and health,including the agency responsible for immunizations;
(8) Ensure that all State and local or non-governmental agencies (B)Employment services/workforce development;
through which the State administers the program, including agencies (C)Public education;and
and contractors that determine individual eligibility, operate (D)Providing Temporary Assistance for Needy Families.
according to the rules established for the program. (2)Provide a description of the results of the coordination with
each of these agencies in the CCDF Plan.
Sec.98.12 Coordination and consultation. (b)Consult with appropriate representatives of local governments;
(c)(1)Hold at least one hearing in the State,after at least 20 days of
The Lead Agency shall: statewide public notice, to provide to the public an opportunity to
(a) Coordinate the provision of services for which assistance is comment on the provision of child care services under the Plan.
provided under this part with the agencies listed in Sec.98.14(a). (2) The hearing required by paragraph (c)(1) shall be held before
(b)Consult, in accordance with Sec. 98.14(b),with representatives the Plan is submitted to ACF, but no earlier than nine months before
of general purpose local government during the development of the the Plan becomes effective.
Plan;and
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[[Page 39985]] (6) In accordance with Sec. 98.41, procedures are in effect to
ensure that child care providers of services for which assistance is
(3) In advance of the hearing required by this section, the Lead provided under the CCDF comply with all applicable State or local
Agency shall make available to the public the content of the Plan as (or tribal)health and safety requirements;and
described in Sec.98.16 that it proposes to submit to the Secretary. (7) Payment rates for the provision of child care services, in
accordance with Sec. 98.43, are sufficient to ensure equal access for
Sec.98.15 Assurances and certifications. eligible children to comparable child care services in the State or sub-
State area that are provided to children whose parents are not eligible
(a)The Lead Agency shall include the following assurances in its to receive assistance under this program or under any other Federal or
CCDF Plan: State child care assistance programs.
(1) Upon approval, it will have in effect a program that complies -
with the provisions of the CCDF Plan, and that is administered in Sec.98.16 Plan provisions.
accordance with the Child Care and Development Block Grant Act of
1990, as amended, section 418 of the Social Security Act, and all A CCDF Plan shall contain the following:
other applicable Federal laws and regulations; (a) Specification of the Lead Agency whose duties and
(2) The parent(s) of each eligible child within the area served by responsibilities are delineated in Sec.98.10;
the Lead Agency who receives or is offered child care services for (b)The assurances and certifications listed under Sec.98.15;
which financial assistance is provided is given the option either: (c)(1) A description of how the CCDF program will be
(i)To enroll such child with a child care provider that has a grant administered and implemented, if the Lead Agency does not directly
or contract for the provision of the service;or administer and implement the program;
(ii)To receive a child care certificate as defined in Sec.98.2; (2)Identification of the entity designated to receive private donated
(3)In cases in which the parent(s),pursuant to Sec.98.30,elects to funds and the purposes for which such funds will be expended,
enroll their child with a provider that has a grant or contract with the pursuant to Sec.98.53(O;
Lead Agency, the child will be enrolled with the eligible provider (d) A description of the coordination and consultation processes
selected by the parent to the maximum extent practicable; involved in the development of the Plan, including a description of
(4)In accordance with Sec.98.30,the child care certificate offered public-private partnership activities that promote business
to parents shall be of a value commensurate with the subsidy value of involvement in meeting child care needs pursuant to Sec. 98.14(a)
child care services provided under a grant or contract; and(b);
(5) With respect to State and local regulatory requirements (or (e) A description of the public hearing process, pursuant to Sec.
tribal regulatory requirements), health and safety requirements, 98.14(c);
payment rates, and registration requirements, State or local(or tribal) (0 Definitions of the following terms for purposes of determining
rules, procedures or other requirements promulgated for the purpose eligibility,pursuant to Secs.98.20(a)and 98.44:
of the CCDF will not significantly restrict parental choice from (1)Special needs child;
among categories of care or types of providers,pursuant to (2)Physical or mental incapacity(if applicable);
Sec.98.30(1). (3)Attending(a job training or educational program);
(6) That if expenditures for pre-Kindergarten services are used to (4)Job training and educational program;
meet the maintenance-of-effort requirement,the State has not reduced (5)Residing with;
its level of effort in full-day/full-year child care services,pursuant to (6)Working;
Sec.98.53(h)(1). (7) Protective services (if applicable), including whether children
(b)The Lead Agency shall include the following certifications in in foster care are considered in protective services for purposes of
its CCDF Plan: child care eligibility;and whether respite care is provided to custodial
(1) In accordance with Sec. 98.31, it has procedures in place to parents of children in protective services.
ensure that providers of child care services for which assistance is (8)Very low income;and
provided under the CCDF, afford parents unlimited access to their (9)in loco parentis.
children and to the providers caring for their children, during the (g)For child care services pursuant to Sec.98.50:
normal hours of operations and whenever such children are in the care (1)A description of such services and activities;
of such providers; (2)My limits established for the provision of in-home care and the
(2) As required by Sec. 98.32, the State maintains a record of reasons for such limits pursuant to Sec.98.30(e)(l)(iv);
substantiated parental complaints and makes information regarding (3) A list of political subdivisions in which such services and
such complaints available to the public on request; activities are offered, if such services and activities are not available
(3) It will collect and disseminate to parents of eligible children throughout the entire service area;
and the general public, consumer education information that will (4)A description of how the Lead Agency will meet the needs of
promote informed child care choices,as required by Sec.98.33; certain families specified at Sec.98.50(e).
(4) There are in effect licensing requirements applicable to child (5)Any additional eligibility criteria, priority rules and definitions
care services provided within the State(or area served by Tribal Lead established pursuant to Sec.98.20(6);
Agency),pursuant to Sec.98.40; (h) A description of the activities to provide comprehensive
(5)There are in effect within the State(or other area served by the consumer education, to increase parental choice, and to improve the
Lead Agency), under State or local (or tribal) law, requirements quality and availability of child care,pursuant to Sec.98.51;
designed to protect the health and safety of children that are (i) A description of the sliding fee scale(s) (including any factors
applicable to child care providers that provide services for which other than income and family size used in establishing the fee
assistance is made available under the CCDF,pursuant to Sec.98.41; scale(s)) that provide(s) for cost sharing by the families that receive
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child care services for which assistance is provided under the CCDF, agreement to extend that period has been secured. (c) Appeal of
pursuant to Sec. 98.42; disapproval of a Plan or Plan amendment
(j) A description of the health and safety requirements, applicable (1)An applicant or Lead Agency dissatisfied with a determination
to all providers of child care services for which assistance is provided of the Assistant Secretary pursuant to paragraphs (a) or (b) of this
under the CCDF,in effect pursuant to Sec.98.41; section with respect to any Plan or amendment may, within 60 days
(k) A description of the child care certificate payment system(s), after the date of receipt of notification of such determination, file a
including the form or forms of the child care certificate, pursuant to petition
of with
w the Assistanter s Plan Secretary
or amendment for
re�condorati no of
the
Sec.9 );
issue(I)Payment rates and a summary of the facts, including a biennial requirements for approval under the Act and pertinent Federal
local regulations.
(2) Within 30 days after receipt of such petition, the Assistant
[[Page 39986]] Secretary shall notify the applicant or Lead Agency of the time and
place at which the hearing for the purpose of reconsidering such issue
market rate survey,relied upon to determine that the rates provided will be held.
are sufficient to ensure equal access pursuant to Sec.98.43; (3)Such hearing shall be held not less than 30 days,nor more than
(m)A detailed description of how the State maintains a record of 90 days, after the notification is furnished to the applicant or Lead
substantiated parental complaints and how it makes information Agency, unless the Assistant Secretary and the applicant or Lead
regarding those complaints available to the public on request, Agency agree in writing on another time.
pursuant to Sec.98.32; (4) Action pursuant to an initial determination by the Assistant
(n)A detailed description of the procedures in effect for affording Secretary described in paragraphs (a) and (b) of this section that a
parents unlimited access to their children whenever their children are Plan or amendment is not approvable shall not be stayed pending the
in the care of the provider,pursuant to Sec.98.31; reconsideration, but in the event that the Assistant Secretary
(o)A detailed description of the licensing requirements applicable subsequently determines that the original decision was incorrect, the
to child care services provided, and a description of how such Assistant Secretary shall certify restitution forthwith in a lump sum of
licensing requirements are effectively enforced, pursuant to Sec. any funds incorrectly withheld or otherwise denied. The hearing
98.40; procedures are described in part 99 of this chapter.
(p) Pursuant to Sec. 98.33(6), the definitions or criteria used to
implement the exception,provided in section 407(e)(2)of the Social Subpart C--Eligibility for Services
Security Act, to individual penalties in the TANF work requirement
applicable to a single custodial parent caring for a child under age six; Sec.98.20 A child's eligibility for child care services.
(q)(1) When any Matching funds under Sec.98.53(b) are claimed,
a description of the efforts to ensure that pre-Kindergarten programs (a)In order to be eligible for services under Sec.98.50,a child
meet the needs of working parents; shall:
(2) When State pre-Kindergarten expenditures are used to meet (1)0)Be under 13 years of age;or,
more than 10% of the amount required at Sec. 98.53(c)(1), or for (ii)At the option of the Lead Agency,be under age 19 and
more than 10% of the funds available at Sec. 98.53(6), or both, a physically or mentally incapable of caring for himself or herself,or
description of how the State will coordinate its pre-Kindergarten and under court supervision;
child care services to expand the availability of child care; and (r) (2)Reside with a family whose income does not exceed 85 percent
Such other information as specified by the Secretary. of the State's median income for a family of the same size;and
(3)(i)Reside with a parent or parents(as defined in Sec.982)who
Sec.98.17 Period covered by Plan. are working or attending ajob training or educational program;or
(ii)Receive, or need to receive,protective services and reside with
(a)For States,Territories, and Indian Tribes the Plan shall cover a a parent or parents(as defined in Sec. 98.2) other than the parent(s)
period of two years. described in paragraph(a)(3)(i)of this section.
(b) The Lead Agency shall submit a new Plan prior to the (A)At grantee option,the requirements in paragraph(a)(2)of this
expiration of the time period specified in paragraph(a)of this section, section and in Sec.98.42 may be waived for families eligible for child
at such time as required by the Secretary in written instructions. care pursuant to this paragraph, if determined to be necessary on a
case-by-case basis by, or in consultation with, an appropriate
Sec.98.18 Approval and disapproval of Plans and Plan amendments. protective services worker.
(B) At grantee option, the provisions in (A) apply to children in
(a)Plan approval.The Assistant Secretary will approve a Plan that foster care when defined in the Plan,pursuant to Sec.98.16(0(7).
satisfies the requirements of the Act and this part. Plans will be (b) Pursuant to Sec. 98.16(g)(5), a grantee or other administering
approved not later than the 90th day following the date on which the agency may establish eligibility conditions or priority rules in
Plan submittal is received, unless a written agreement to extend that addition to those specified in this section and Sec.98.44 so long as
period has been secured. they do not:
(b)Plan amendments. Approved Plans shall be amended whenever (1) Discriminate against children on the basis of race, national
a substantial change in the program occurs. A Plan amendment shall origin,ethnic background,sex,religious affiliation,or disability;
be submitted within 60 days of the effective date of the change.Plan (2)Limit parental rights provided under Subpart D;or
amendments will be approved not later than the 90th day following (3)Violate the provisions of this section,Sec.98.44,or the Plan.In
the date on which the amendment is received, unless a written particular, such conditions or priority rules may not be based on a
parent's preference for a category of care or type of provider. In
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•
addition, such additional conditions or rules may not be based on a (i)Any category of care or type of provider,as defined in
parent's choice of a child care certificate. Sec.98.2;or
(ii)Any type of provider within a category of care;or
Subpart D--Program Operations (Child Care Services)--Parental (2)Having the effect of limiting parental access to or choice from
Rights and Responsibilities among such categories of care or types of providers, as defined in
Sec.98.2;or
Sec.98.30 Parental choice. (3)Excluding a significant number of providers in any category of
care or of any type as defined in Sec.98.2.
(a) The parent or parents of an eligible child who receives or is
offered child care services shall be offered a choice: Sec.98.31 Parental access.
(I)To enroll the child with an eligible child care provider that has
a grant or contract for the provision of such services,if such services The Lead Agency shall have in effect procedures to ensure that
are available;or providers of child care services for which assistance is provided
(2)To receive a child care certificate as defined in Sec.98.2. afford parents unlimited access to their children, and to the providers
Such choice shall be offered any time that child care services are caring for their children, during normal hours of provider operation
made available to a parent. and whenever the children are in the care of the provider.The Lead
(b)When a parent elects to enroll the child with a provider that has Agency shall provide a detailed description of such procedures.
a grant or contract for the provision of child care services, the child
will be enrolled with the provider selected by the parent to the Sec.98.32 Parental complaints.
maximum extent practicable.
(c)In cases in which a parent elects to use a child care The State shall:
certificate,such certificate: (a)Maintain a record of substantiated parental complaints;
(b)Make information regarding such parental complaints available
[[Page 39987]] to the public on request;and
(c)The Lead Agency shall provide a detailed description of how
(1)Will be issued directly to the parent; such record is maintained and is made available.
(2)Shall be of a value commensurate with the subsidy value of the
child care services provided under paragraph(a)(1)of this section; Sec.98.33 Consumer education.
(3) May be used as a deposit for child care services if such a
deposit is required of other children being cared for by the provider, The Lead Agency shall:
(4) May be used for child care services provided by a sectarian (a) Certify that it will collect and disseminate to parents and the
organization or agency, including those that engage in religious general public consumer education information that will promote
activities, if those services are chosen by the parent; informed child care choices including, at a minimum, information
(5) May be expended by providers for any sectarian purpose or about
activity that is part of the child care services, including sectarian (I)the full range of providers available,and
worship or instruction; (2)health and safety requirements;
(6) Shall not be considered a grant or contract to a provider but (b) Inform parents who receive TANF benefits about the
shall be considered assistance to the parent. requirement at section 407(e)(2) of the Social Security Act that the
(d) Child care certificates shall be made available to any parents TANF agency make an exception to the individual penalties
offered child care services. associated with the work requirement for any single custodial parent
(e)(1)For child care services,certificates under paragraph(ax2) who has a demonstrated
of this section shall permit parents to choose from a variety of child inability to obtain needed child care for a child under six years of age.
care categories,including: The information may be provided directly by the Lead Agency, or,
(i)Center-based child care; pursuant to Sec.98.11,other entities,and shall include:
(ii)Group home child care; (1) The procedures the TANF agency uses to determine if the
(iii)Family child care;and parent has a demonstrated inability to obtain needed child care;
(iv)In-home child care,with limitations,if any,imposed by the (2) The criteria or definitions applied by the TANF agency to
Lead Agency and described in its Plan at Sec.98.16(g)(2). determine whether the parent has a demonstrated inability to obtain
Under each of the above categories, care by a sectarian provider needed child care,including:
may not be limited or excluded. (i)"Appropriate child care";
(2)Lead Agencies shall provide information regarding the range of (ii)"Reasonable distance";
provider options under paragraph(e)(1)of this section,including care (iii)"Unsuitability of informal child care";
by sectarian providers and relatives, to families offered child care (iv)"Affordable child care arrangements";
services. (3)The clarification that assistance received during the time an
(I) With respect to State and local regulatory requirements under eligible parent receives the exception referred to in paragraph (b) of
Sec. 98.40, health and safety requirements under Sec. 98.41, and this section will count toward the time limit on Federal benefits
payment rates under Sec. 98.43,CCDF funds will not be available to required at section 408(a)(7)of the Social Security Act
a Lead Agency if State or local rules, procedures or other (c)Include in the biennial Plan the definitions or criteria the TANF
requirements promulgated for purposes of the CCDF significantly agency uses in implementing the exception to the work requirement
restrict parental choice by: specified in paragraph(b)of this section.
(1)Expressly or effectively excluding:
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Sec.98.34 Parental rights and responsibilities. (iii)Lead Agencies shall establish a grace period in which children
can receive services while families are taking the necessary actions to
Nothing under this part shall be construed or applied in any manner comply with the immunization requirements;
to infringe on or usurp the moral and legal rights and responsibilities (2)Building and physical premises safety;and
of parents or legal guardians. (3)Minimum health and safety training appropriate to the provider
setting.
Subpart E—Program Operations(Child Care Services)—Lead Agency (b) Lead Agencies may not set health and safety standards and
and Provider Requirements requirements under paragraph(a)of this section that are inconsistent
with the parental choice safeguards in Sec.98.30(1).
Sec. 98.40 Compliance with applicable State and local regulatory (c)The requirements in paragraph(a)of this section shall apply to
requirements. all providers of child care services for which assistance is provided
under this part,within the area served by the Lead Agency,except the
(a)Lead Agencies shall: relatives specified in paragraph(e)of this section.
(1)Certify that they have in effect licensing requirements (d)Each Lead Agency shall certify that procedures are in effect to
applicable to child care services provided within the area served by ensure that child care providers of services for which assistance is
the Lead Agency; provided under this part, within the area served by the Lead Agency,
(2) Provide a detailed description of the requirements under comply with all applicable State, local, or tribal health and safety
paragraph (a)(I) of this section and of how they are effectively requirements described in paragraph(a)of this section.
enforced. (e)For the purposes of this section,the term"child care providers"
(b)(1)This section does not prohibit a Lead Agency from imposing does not include grandparents, great grandparents, siblings (if such
more stringent standards and licensing or regulatory requirements on providers live in a separate residence), aunts, or uncles, pursuant to
child care providers of services for which assistance is provided under Sec.98.2.
the CCDF than the standards or requirements imposed on other child
care providers. Sec.98.42 Sliding fee scales.
(2) Any such additional requirements shall be consistent with the
safeguards for parental choice in Sec. 98.30(f). (a) Lead Agencies shall establish, and periodically revise, by rule, a
sliding fee scale(s) that provides for cost sharing by families that
Sec.98.41 Health and safety requirements. receive CCDF child care services.
(b)A sliding fee scale(s)shall be based on income and the size of
(a) Although the Act specifically states it does not require the the family and may be based on other factors as appropriate.
establishment of any new or additional requirements if existing (c) Lead Agencies may waive contributions from families whose
requirements comply with the requirements of the statute, each Lead incomes are at or below the poverty level for a family of the same
Agency shall certify that there are in effect,within the State(or other size.
area served by the Lead Agency), under State, local or tribal law,
requirements designed to protect the health and safety of children that Sec.98.43 Equal access.
are applicable to child care providers of services for which assistance
is provided under this part. Such requirements shall include: (a) The Lead Agency shall certify that the payment rates for the
(I) The prevention and control of infectious diseases (including provision of child care services under this part are sufficient to ensure
immunizations). With respect to immunizations, the following equal access, for eligible families in the area served by the Lead
provisions apply: Agency, to child care services comparable to those provided to
CO As part of their health and safety provisions in this area, States families not eligible to receive CCDF assistance or child care
and Territories shall assure that children receiving services under the assistance under any other Federal,State,or tribal programs.
CCDF are age-appropriately immunized. Those health and safety (b)The Lead Agency shall provide a summary of the facts relied on.
provisions shall incorporate (by reference or otherwise) the latest to determine that its payment rates ensure equal access. At a
recommendation for minimum,the summary shall include facts showing:
(1)How a choice of the full range of providers, e.g.,center, group,
[[Page 39988]) family,and in-home care,is made available;
(2) How payment rates are adequate based on a local market rate
childhood immunizations of the respective State or territorial public survey conducted no earlier than two years prior to the effective date
health agency. of the currently approved Plan;
(ii) Notwithstanding paragraph (a)(1)(i) of this section, Lead (3)How copayments based on a sliding fee scale are affordable,as
Agencies may exempt: stipulated at Sec.98.42.
(A) Children who are cared for by relatives (defined as (c)A Lead Agency may not establish different payment rates based
grandparents, great grandparents, siblings (if living in a separate on a family's eligibility status or circumstances.
residence),aunts,and uncles); (d) Payment rates under paragraph (a) of this section shall be
(B)Children who receive care in their own homes; consistent with the parental choice requirements in Sec.98.30.
(C) Children whose parents object to immunization on religious (e) Nothing in this section shall be construed to create a private
grounds;and right of action.
(D) Children whose medical condition contraindicates
immunization; Sec.98.44 Priority for child care services.
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Lead Agencies shall give priority for services provided under Sec. Federal and State funds,including direct and indirect assistance under
98.50(a)to: the CCDF,the Lead
(a) Children of families with very low family income(considering
family size);and [[Page 39989]]
(b)Children with special needs.
Agency shall assure that,before any further CCDF assistance is given
Sec.98.45 List of Providers. to the provider,
(1)The grant or contract relating to the assistance,or
If a Lead Agency does not have a registration process for child care (2) The employment policies of the provider specifically provide
providers who are unlicensed or unregulated under State, local, or that no person with responsibilities in the operation of the child care
tribal law, it is required to maintain a list of the names and addresses program will discriminate,on the basis of religion,in the employment
of unlicensed or unregulated providers of child care services for of any individual as a caregiver,as defined in Sec.98.2.
which assistance is provided under this part. Subpart F--Use of Child Care and Development Funds
Sec.98.46 Nondiscrimination in admissions on the basis of religion.
Sec.98.50 Child care services.
(a)Child care providers (other than family child care providers,as
defined in Sec. 98.2) that receive assistance through grants and (a)Of the funds remaining after applying the provisions of
contracts under the CCDF shall not discriminate in admissions against paragraphs(c),(d)and(e)of this section the Lead Agency shall spend
any child on the basis of religion. a substantial portion to provide child care services to low-income
(b) Paragraph (a) of this section does not prohibit a child care working families.
provider from selecting children for child care slots that are not (b)Child care services shall be provided:
funded directly (i.e., through grants or contracts to providers) with (1)To eligible children,as described in Sec.98.20;
assistance provided under the CCDF because such children or their (2)Using a sliding fee scale,as described in Sec.98.42;
family members participate on a regular basis in other activities of the (3)Using funding methods provided for in Sec.98.30;and
organization that owns or operates such provider. (4)Based on the priorities in Sec.98.44.
(c)Notwithstanding paragraph(b) of this section, if 80 percent or (c)Of the aggregate amount of funds expended(i.e.,Discretionary,
more of the operating budget of a child care provider comes from Mandatory, and Federal and State share of Matching Funds), no less
Federal or State funds, including direct or indirect assistance under than four percent shall be used for activities to improve the quality of
the CCDF, the Lead Agency shall assure that before any further child care as described at Sec.98.51.
CCDF assistance is given to the provider, (d)Of the aggregate amount of funds expended(i.e.,Discretionary,
(1)The grant or contract relating to the assistance,or Mandatory,and Federal and State share of Matching Funds),no more
(2)The admission policies of the provider specifically provide that than five percent may be used for administrative activities as
no person with responsibilities in the operation of the child care described at Sec.98.52.
program,project,or activity will discriminate,on the basis of religion, (e)
Not less than 70
t of the Mandatory o families ants d Matching Funds
in the admission of any child. shall used to meet the child care needs
who:
(1)Are receiving assistance under a State program under Part A of
Sec. 98.47 Nondiscrimination in employment on the basis of title IV of the Social Security Act,
religion. (2) Are attempting through work activities to transition off such
assistance program,and
(a) In general, except as provided in paragraph(b)of this section, (3)Are at risk of becoming dependent on such assistance program.
nothing in this part modifies or affects the provision of any other (f) Pursuant to Sec. 98.16(g)(4), the Plan shall specify how the
applicable Federal law and regulation relating to discrimination in State will meet the child care needs of families described in paragraph
employment on the basis of religion. (e)of this section.
(1) Child care providers that receive assistance through grants or
contracts under the CCDF shall not discriminate, on the basis of Sec.98.51 Activities to improve the quality of child care.
religion, in the employment of caregivers as defined in Sec.98.2.
(2) If two or more prospective employees are qualified for any (a)No less than four percent of the aggregate funds expended by
position with a child care provider, this section shall not prohibit the the Lead Agency for a fiscal year, and including the amounts
provider from employing a prospective employee who is already expended in the State pursuant to Sec.98.53(b),shall be expended for
participating on a regular basis in other activities of the organization quality activities.
that owns or operates the provider. (1)These activities may include but are not limited to:
(3) Paragraphs (a)(1) and (2) of this section shall not apply to (i) Activities designed to provide comprehensive consumer
employees of child care providers if such employees were employed education to parents and the public;
with the provider on November 5, 1990. (ii)Activities that increase parental choice;and
(b) Notwithstanding paragraph (a) of this section, a sectarian (iii) Activities designed to improve the quality and availability of
organization may require that employees adhere to the religious tenets child care, including, but not limited to those described in paragraph
and teachings of such organization and to rules forbidding the use of (2)of this section.
drugs or alcohol. (2) Activities to improve the quality of child care services may
(c)Notwithstanding paragraph (b) of this section, if 80 percent or include,but are not limited to:
more of the operating budget of a child care provider comes from
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(i) Operating directly or providing financial assistance to (2) Travel costs incurred for official business in carrying out the
organizations (including private non-profit organizations, public program;
organizations,and units of general purpose local government)for the (3)Administrative services,including such services as accounting
development, establishment, expansion, operation, and coordination services, performed by grantees or subgrantees or under agreements
of resource and referral programs specifically related to child care; with third parties;
(ii) Making grants or providing loans to child care providers to (4)Audit services.as required at Sec.98.65;
assist such providers in meeting applicable State, local, and tribal (5) Other costs for goods and services required for the
child care standards, including applicable health and safety administration of the program, including rental or purchase of
requirements,pursuant to Secs.98.40 and 98.41; equipment,utilities,and office supplies;and
(iii) Improving the monitoring of compliance with, and (6)Indirect costs as determined by an indirect cost agreement or
enforcement of, applicable State, local, and tribal requirements cost allocation plan pursuant to Sec.98.55.
pursuant to Secs.98.40 and 98.41; (b) The five percent limitation at paragraph (a) of this section
(iv)Providing training and technical assistance in areas appropriate applies only to the States and Territories. The amount of the
to the provision of child care services, such as training in health and limitation at paragraph(a) of this section does not apply to Tribes or
safety, nutrition, first aid, the recognition of communicable diseases, tribal organizations.
child abuse detection and prevention, and care of children with (c) Non-Federal expenditures required by Sec. 98.53(c) (i.e., the
special needs; maintenance-of-effort amount) are not subject to the five percent
(v) Improving salaries and other compensation (such as fringe limitation at paragraph(a)of this section.
benefits) for full-and part-time staff who provide child care services
for which assistance is provided under this part;and [[Page 39990]]
(vi) Any other activities that are consistent with the intent of this
section. Sec.98.53 Matching fund requirements.
(b)Pursuant to Sec. 98.16(h),the Lead Agency shall describe in its
Plan the activities it will fund under this section. (a)Federal matching funds are available for expenditures in a State
(c) Non-Federal expenditures required by Sec. 98.53(c) (i.e., the based upon the formula specified at Sec.98.63(a).
maintenance-of-effort amount) are not subject to the requirement at (b)Expenditures in a State under paragraph(a)of this section will
paragraph(a)of this section. be matched at the Federal medical assistance rate for the applicable
fiscal year for allowable activities,as described in the approved State
Sec.98.52 Administrative costs. Plan, that meet the goals and purposes of the Act. (c) In order to
receive Federal matching funds for a fiscal year under paragraph(a)
(a)Not more than five percent of the aggregate funds expended by of this section:
the Lead Agency from each fiscal year's allotment, including the (1) States shall also expend an amount of non-Federal funds for
amounts expended in the State pursuant to Sec. 98.53(b), shall be child care activities in the State that is at least equal to the
expended for administrative activities. These activities may include State's share of expenditures for fiscal year 1994 or 1995 (whichever
but are not limited to: is greater)under sections 402(g)and(i)of the Social Security Act as
(1) Salaries and related costs of the staff of the Lead Agency or these sections were in effect before October 1,1995;and
other agencies engaged in the administration and implementation of (2)The expenditures shall be for allowable services or activities,as
the program pursuant to Sec. 98.11. Program administration and described in the approved State Plan if appropriate, that meet the
implementation include the following types of activities: goals and purposes of the Act.
(i) Planning, developing, and designing the Child Care and (3) All Mandatory Funds are obligated in accordance with Sec.
Development Fund program; 98.60(d)(2)(i).
(ii)Providing local officials and the public with information about (d)The same expenditure may not be used to meet the requirements
the program,including the conduct of public hearings; under both paragraphs(b)and(c)of this section in a fiscal year.
(iii)Preparing the application and Plan; (e)An expenditure in the State for purposes of this subpart may be:
(iv)Developing agreements with administering agencies in order to (1)Public funds when the funds are:
carry out program activities; (i) Appropriated directly to the Lead Agency specified at Sec.
(v) Monitoring program activities for compliance with program 98.10,or transferred from another public agency to that Lead Agency
requirements; and under its administrative control, or certified by the contributing
(vi)Preparing reports and other documents related to the program public agency as representing expenditures eligible for Federal match;
for submission to the Secretary; (ii)Not used to match other Federal funds;and
(vii)Maintaining substantiated complaint files in accordance with (iii)Not Federal funds, or are Federal funds authorized by Federal
the requirements of Sec.98.32; law to be used to match other Federal funds;or
(viii) Coordinating the provision of Child Care and Development (2)Donated from private sources when the donated funds:
Fund services with other Federal, State, and local child care, early (i)Are donated without any restriction that would require their use
childhood development programs, and before-and after-school care for a specific individual,organization,facility or institution;
programs; (ii)Do not revert to the donor's facility or use;and
(ix)Coordinating the resolution of audit and monitoring findings; (iii)Are not used to match other Federal funds;
(x)Evaluating program results;and (iv)Shall be certified both by the donor and by the Lead Agency as
(xi) Managing or supervising persons with responsibilities available and representing expenditures eligible for Federal match;
described in paragraphs(a)(1)(i)through(x)of this section; and
(v)Shall be subject to the audit requirements in Sec.98.65 of
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these regulations. (2) Any service for which such students receive academic credit
(0 Donated funds need not be transferred to or under the toward graduation;or
administrative control of the Lead Agency in order to qualify as an (3) Any instructional services that supplant or duplicate the
expenditure eligible to receive Federal match under this subsection. academic program of any public or private school.
They may be given to the entity designated by the State to receive (d) Sectarian purposes and activities.Funds provided under grants
donated funds pursuant to Sec.98.16(c)(2). or contracts to providers may not be expended for any sectarian
(g)The following are not counted as an eligible State expenditure purpose or activity, including sectarian worship or instruction.
under this Part: Pursuant to Sec. 98.2, assistance provided to parents through
(1)In-kind contributions;and certificates is not a grant or contract. Funds provided through child
(2)Family contributions to the cost of care as required by care certificates may be expended for sectarian purposes or activities,
Sec.98.42. including sectarian worship or instruction when provided as part of
(h)Public pre-kindergarten(pre-K)expenditures: the child care services.
(I) May be used to meet the maintenance-of-effort requirement (e)The CCDF may not be used as the non-Federal share for other
only if the State has not reduced its expenditures for full-day/full-year Federal grant programs.
child care services;and
(2) May be eligible for Federal match if the State includes in its Sec.98.55 Cost allocation.
Plan, as provided in Sec. 98.16(a),a description of the efforts it will
undertake to ensure that pre-K programs meet the needs of working (a) The Lead Agency and subgrantees shall keep on file cost
parents. allocation plans or indirect cost agreements,as appropriate,that have
(3)In any fiscal year, a State may use public pre-K funds for up to been amended to include costs allocated to the CCDF.
20% of the funds serving as maintenance-of-effort under this (b) Subgrantees that do not already have a negotiated indirect rate
subsection. In any fiscal year, a State may use other public pre-K with the Federal government should prepare and keep on file cost
funds for up to 20% of the expenditures serving as the State's allocation plans or indirect cost agreements,as appropriate.
matching funds under this subsection. (c)Approval of the cost allocation plans or indirect cost
(4) If applicable, the CCDF Plan shall reflect the State's intent to agreements is not specifically required by these regulations,but these
use public pre-K funds in excess of 10%,but not for more than 20°%, plans and agreements are subject to review.
of either its maintenance-of-effort or State matching funds in a fiscal
year. Also, the Plan shall describe how the State will coordinate its [[Page 39991]]
pre-K and child care services to expand the availability of child care.
(i) Matching funds are subject to the obligation and liquidation Subpart O—Financial Management
requirements at Sec.98.60(d)(3).
Sec.98.60 Availability of funds.
Sec. 98.54 Restrictions on the use of funds.
(a) The CCDF is available, subject to the availability of
(a)General. (1) Funds authorized under section 418 of the Social appropriations, in accordance with the apportionment of funds from
Security Act and section 658B of the Child Care and Development the Office of Management and Budget as follows:
Block Grant Act, and all funds transferred to the Lead Agency (1) Discretionary Funds are available to States, Territories, and
pursuant to section 404(d) of the Social Security Act, shall be Tribes,
expended consistent with these regulations. Funds transferred (2)Mandatory and Matching Funds are available to States;
pursuant to section 404(d) of the Social Security Act shall be treated (3)Tribal Mandatory Funds are available to Tribes.
as Discretionary Funds; (b)Subject to the availability of appropriations,in accordance with
(2) Funds shall be expended in accordance with applicable State the apportionment of funds from the Office of Management and
and local laws,except as superseded by Sec.98.3. Budget,the Secretary:
(b)Construction. (1)For State and local agencies and nonsectarian (1) May withhold no more than one-quarter of one percent of the
agencies or organizations, no funds shall be expended for the CCDF funds made available for a fiscal year for the provision of
purchase or improvement of land,or for the purchase,construction,or technical assistance;and
permanent improvement of any building or facility. However, funds (2)Will award the remaining CCDF funds to grantees that have an
may be expended for minor remodeling,and for upgrading child care approved application and Plan.
facilities to assure that providers meet State and local child care (c) The Secretary may make payments in installments, and in
standards,including applicable health and safety requirements. advance or by way of reimbursement,with necessary adjustments due
(2) For sectarian agencies or organizations, the prohibitions in to overpayments or underpayments.
paragraph (b)(1) of this section apply; however, funds may be (d) The following obligation and liquidation provisions apply to
expended for minor remodeling only if necessary to bring the facility States and Territories:
into compliance with the health and safety requirements established (1) Discretionary Fund allotments shall be obligated in the fiscal
pursuant to Sec.98.41. year in which funds are awarded or in the succeeding fiscal year.
(3)Tribes and tribal organizations are subject to the requirements Unliquidated obligations as of the end of the succeeding fiscal year
at Sec.98.84 regarding construction and renovation. shall be liquidated within one year.
(c) Tuition. Funds may not be expended for students enrolled in (2)(i) Mandatory Funds for States requesting Matching Funds per
grades I through 12 for: Sec. 98.53 shall be obligated in the fiscal year in which the funds are
(1)Any service provided to such students during the regular school granted and are available until expended.
day;
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
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•
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(ii)Mandatory Funds for States that do not request Matching Funds (h)Repayment of loans,pursuant to Sec.98.51(ax2Xii),may be
are available until expended. made in cash or in services provided in-kind. Payment provided in-
(3)Both the Federal and non-Federal share of the Matching Fund kind shall be based on fair market value. All loans shall be fully
shall be obligated in the fiscal year in which the funds are granted and repaid.
liquidated no later than the end of the succeeding fiscal year. (i) Lead Agencies shall recover child care payments that are the
(4) Except for paragraph (d)(5) of this section, determination of result of fraud. These payments shall be recovered from the party
whether funds have been obligated and liquidated will be based on: responsible for committing the fraud.
(i)State or local law,or, •
(ii)If there is no applicable State or local law,the regulation Sec.98.61 Allotments from the Discretionary Fund.
at 45 CFR 92.3,Obligations and Outlays(expenditures).
(5)Obligations may include subgrants or contracts that require the (a)- To the 50 States, the District of Columbia, and the
payment of funds to a third party (e.g., subgrantee or contractor). Commonwealth of Puerto Rico an amount equal to the funds
However, the following are not considered third party subgrantees or appropriated for the Child Care and Development Block Grant, less
contractors: amounts reserved for technical assistance and amounts reserved for
(i)A local office of the Lead Agency; the Territories and Tribes, pursuant to Sec. 98.60(b) and paragraphs
(ii)Another entity at the same level of government as the Lead (b) and (c) of this section, shall be allotted based upon the formula
Agency;or specified in section 658O(b)of the Act.
(iii)A local office of another entity at the same level of government (b)For the U.S. Territories of Guam,American Samoa,the Virgin
as the Lead Agency. Islands of the United States, and the Commonwealth of the Northern
(6) For purposes of the CCDF, funds for child care services Mariana Islands an amount up to one-half of one percent of the
provided through a child care certificate will be considered obligated amount appropriated for the Child Care and Development Block
when a child care certificate is issued to a family in writing that Grant shall be reserved.
indicates: (I) Funds shall be allotted to these Territories based upon the
(i)The amount of funds that will be paid to a child care provider following factors:
or family,and (i)A Young Child factor—the ratio of the number of children in the
(ii)The specific length of time covered by the certificate, which is Territory under five years of age to the number of such children in all
limited to the date established for redetermination of the family's Territories;and
eligibility,but shall be no later than the end of the liquidation period. (ii)An Allotment Proportion factor--determined by dividing the per
(7)Any funds not obligated during the obligation period specified capita income of all individuals in all the Territories by the per capita
in paragraph(d)of this section will revert to the Federal government. income of all individuals in the Territory.
Any funds not liquidated by the end of the applicable liquidation (A)Per capita income shall be:
period specified in paragraph(d)of this section will also revert to the (1) Equal to the average of the annual per capita incomes for the
Federal government. most recent period of three consecutive years for which satisfactory
(e) The following obligation and liquidation provisions apply to data are available at the time such determination is made;and
Tribal Discretionary and Tribal Mandatory Funds: (2)Determined every two years.
(1)Tribal grantees shall obligate all funds by the end of the fiscal (B) Per capita income determined, pursuant to paragraph
year following the fiscal year for which the grant is awarded. Any (bx1)(ii)(A) of this section, will be applied in establishing the
funds not obligated during this period will revert to the Federal allotment for the fiscal year for which it is determined and for the
government. following fiscal year.
(2) Obligations that remain unliquidated at the end of the (C) If the Allotment Proportion factor determined at paragraph
succeeding fiscal year shall be liquidated within the next fiscal year. (bxl)(ii)of this section:
Any tribal funds that remain unliquidated by the end of this period
will also revert to the Federal government. [[Page 39992]]
(f)Cash advances shall be limited to the minimum amounts needed
and shall be timed to be in accord with the actual, immediate cash (1) Exceeds 1.2, then the Allotment Proportion factor of the
requirements of the State Lead Agency,its subgrantee or contractor in Territory shall be considered to be 1.2;or
carrying out the purpose of the program in accordance with 31 CFR (2) Is less than 0.8, then the Allotment Proportion factor of the
part 205. Territory shall be considered to be 0.8.
(g) Funds that are returned (e.g., loan repayments, funds (2) The formula used in calculating a Territory's allotment is as
deobligated by cancellation of a child care certificate, unused follows:
subgrantee funds) as well as program income (e.g., contributions (ii)For purposes of the formula specified at paragraph (b)(2)(i) of
made by families directly to the Lead Agency or subgrantee for the this section, the term "YCF<INF>t<JINF>" means the Territory's
cost of care where the Lead Agency or subgrantee has made a full Young Child factor as defined at paragraph(b)(1Xi)of this section.
payment to the child care provider)shall, (iii)For purposes of the formula specified at paragraph(b)(2)(i) of
(I)if received by the Lead Agency during the applicable obligation this section, the term "APF<INF>t</INF>" means the Territory's
period, described in paragraphs(d)and(e)of this section,be used for Allotment Proportion factor as defined at paragraph (b)(1)(ii) of this
activities specified in the Lead Agency's approved plan and must be section.
obligated by the end of the obligation period;or (c) For Indian Tribes and tribal organizations, including any
(2)if received after the end of the applicable obligation period Alaskan Native Village or regional or village corporation as defined
described at paragraphs (d) and (e)of this section, be returned to the in or established pursuant to the Alaska Native Claims Settlement Act
Federal government. (43 U.S.C. 1601 et seq) an amount up to two percent of the amount
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appropriated for the Child Care and Development Block Grant shall (1) The Metlakatla Indian Community of the Annette Islands
be reserved. Reserve:
(1)Except as specified in paragraph(c)(2)of this section,grants to (2)Arctic Slope Native Association;
individual tribal grantees will be equal to the sum of: (3)Kawerak,Inc.;
(i)A base amount as set by the Secretary;and (4)Maniilaq Association;
(ii) An additional amount per Indian child under age 13 (or such (5)Association of Village Council Presidents;
similar age as determined by the Secretary from the best available (6)Tanana Chiefs Conference;
data),which is determined by dividing the amount of funds available, (7)Cook Inlet Tribal Council;
less amounts set aside for eligible Tribes, pursuant to paragraph (8)Bristol Bay Native Association;
(cxlxi)of this section,by the number of all Indian children living on (9)Aleutian and Pribilof Islands Association;
or near tribal reservations or other appropriate area served by the (10)Chugachmuit;
tribal grantee,pursuant to Sec.98.80(e). (11)Tlingit and Haida Central Council;
(2) Grants to Tribes with fewer than 50 Indian children that apply (12)Kodiak Area Native Association;and
as part of a consortium,pursuant to Sec. 98.80(b)(1),are equal to the (13)Copper River Native Association.
sum of: (c)(1) Grants to individual Tribes with 50 or more Indian children,
(i)A portion of the base amount,pursuant to paragraph(c)(1)(i)of and to Tribes with fewer than 50 Indian children that apply as part of
this section,that bears the same ratio as the number of Indian children a consortium pursuant to Sec.98.80(b)(1),will be equal to an amount
in the Tribe living on or near the reservation,or other appropriate area per Indian child under age 13 (or such similar age as determined by
served by the tribal grantee,pursuant to Sec.98.80(e),does to 50;and the Secretary from the best available data), which is determined by
(ii) An additional amount per Indian child, pursuant to paragraph dividing the amount of funds available, by the number of Indian
(c)(1)(ii)of this section. children in each Tribe's service area pursuant to Sec.98.80(e).
(3)Tribal consortia will receive grants that are equal to the sum of (2)Tribal consortia will receive grants that are equal to the sum
the individual grants of their members. of the individual grants of their members.
(d) All funds reserved for Territories at paragraph (b) of this
section will be allotted to Territories,and all funds reserved for Tribes Sec.98.63 Allotments from the Matching Fund.
at paragraph(c) of this section will be allotted to tribal grantees.My
funds that are returned by the Territories after they have been allotted (a) To each of the 50 States and the District of Columbia there is
will revert to the Federal government. allocated an amount equal to its share of the total available under
(e)For other organizations,up to$2,000,000 may be reserved from section 418(a)(3)of the Social Security Act.That amount is based on
the tribal funds reserved at paragraph (c) of this section. From this the same ratio as the number of children under age 13 residing in the
amount the Secretary may award a grant to a Native Hawaiian State bears to the national total of children under age 13.The number
Organization, as defined in section 4009(4) of the Augustus F. of children under 13 is derived from the best data available to the
Hawkins-Robert T. Stafford Elementary and Secondary School Secretary for the second preceding fiscal year.
Improvement Amendments of 1988 (20 U.S.C. 4909(4)) and to a (b) For purposes of this subsection, the amounts available under
private non-profit organization established for the purpose of serving section 418(a)(3) of the Social Security Act excludes the amounts
youth who are Indians or Native Hawaiians. The Secretary will reserved and allocated under Sec. 98.60(b)(1)for technical assistance
establish selection criteria and procedures for the award of grants and under Sec.98.62(a)and(b)for the Mandatory Fund.(c)Amounts
under this subsection by notice in the Federal Register. under this subsection are available pursuant to the requirements at
Sec.98.53(c).
Sec.98.62 Allotments from the Mandatory Fund.
Sec.98.64 Reallotment and redistribution of funds.
(a) Each of the 50 States and the District of Columbia will be
allocated from the funds appropriated under section 418(a)(3) of the (a) According to the provisions of this section State and Tribal
Social Security Act,less the amounts reserved for technical assistance Discretionary Funds are subject to reallotment, and State Matching
pursuant to Sec. 98.60(b)(1) and the amount reserved for Tribes Funds are subject to redistribution. State funds are reallotted or
pursuant to paragraph(b)of this section,an amount of funds equal to redistributed only to States as defined for the original allocation.
the greater of: Tribal funds are reallotted only to Tribes. Funds granted to the
(I) the Federal share of its child care expenditures under Territories are not subject to reallotment. Any funds granted to the
subsections(g)and(i)of section 402 of the Social Security Act(as in Territories that are returned after they
effect before October I, 1995) for fiscal year 1994 or 1995
(whichever is greater);or [[Page 3999311
(2) the average of the Federal share of its child care expenditures
under the subsections referred to in subparagraph(a)(1)of this section have been allotted will revert to the Federal government.
for fiscal years 1992 through 1994. (b)Any portion of a State's Discretionary Fund allotment that is not
(b)For Indian Tribes and tribal organizations up to 2 percent of the required to carry out its Plan, in the period for which the allotment is
amount appropriated under section 418(a)(3) of the Social Security made available, shall be reallotted to other States in proportion to the
Act shall be allocated according to the formula at paragraph(c)of this original allotments.For purposes of this paragraph
section. In Alaska, only the following 13 entities shall receive the term "State" means the 50 States, the District of Columbia, and
allocations under this subpart, in accordance with the formula at the Commonwealth of Puerto Rico. The other Territories and the
paragraph(c)of this section: Tribes may not receive reallotted State Discretionary Funds.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
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(I) Each year, the State shall report to the Secretary either the obligated during such time. Such report shall be postmarked by a
dollar amount from the previous year's grant that it will be unable to deadline established by the Secretary.
obligate by the end of the obligation period or that all funds will be (2) Based upon the reallotment reports submitted by Tribes, the
obligated during such time. Such report shall be postmarked by April Secretary will reallot Tribal Discretionary Funds among the other
1st. Tribes.
(2) Based upon the reallotment reports submitted by States, the (i)If the total amount available for reallotment is$25,000 or more,
Secretary will reallot funds. funds will be reallotted to other tribal grantees in proportion to each
(i)If the total amount available for reallotment is$25,000 or more, Tribe's original allotment for the applicable fiscal year pursuant to
funds will be reallotted to States in proportion to each State's Sec.98.62(c).
allotment for the applicable fiscal year's funds, pursuant to Sec. (ii) If the total amount available for reallotment is less than
98.61(a). $25,000,the Secretary will not reallot any funds,and such funds will
(ii)If the amount available for reallotment is less than$25,000,the revert to the Federal government.
Secretary will not reallot any funds, and such funds will revert to the (iii) If an individual reallotment amount to an applicant Tribe is
Federal government. less than$500,the Secretary will not issue the award,and such funds
(iii)If an individual reallotment amount to a State is less than$500, will revert to the Federal government.
the Secretary will not issue the award, and such funds will revert to (3)If a Tribe does not submit a reallotment report by the deadline
the Federal government. for report submittal,either:
(3)If a State does not submit a reallotment report by the deadline (i)The Secretary will determine that Tribe does not have any funds
for report submittal,either: available for reallotment;or
(i)The Secretary will determine that the State does not have any (ii)In the case of a report received after the deadline established by
funds available for reallotment;or the Secretary, any funds reported to be available for reallotment shall
(ii) In the case of a report postmarked after April 1st, any funds revert to the Federal government.
reported to be available for reallotment shall revert to the Federal (4) Tribes receiving reallotted funds shall obligate and expend
government. these funds in accordance with Sec. 98.60. The reallotment of funds
(4)States receiving reallotted funds shall obligate and expend these does not extend the obligation period or the program period for
funds in accordance with Sec.98.60.The reallotment of funds expenditure of such funds.
does not extend the obligation period or the program period for
expenditure of such funds. Sec.98.65 Audits and financial reporting.
(c)(1)Any portion of the Matching Fund granted to a State that is
not obligated in the period for which the grant is made shall be (a)Each Lead Agency shall have an audit conducted after the close
redistributed. Funds, if any, will be redistributed on the request of, of each program period in accordance with OMB Circular 4133 and
and only to,those other States that have met the requirements of Sec. the Single Audit Act Amendments of 1996.
98.53(c) in the period for which the grant was first made. For (b)Lead Agencies are responsible for ensuring that subgrantees are
purposes of this paragraph the term "State" means the 50 States and audited in accordance with appropriate audit requirements.
the District of Columbia. Territorial and tribal grantees may not (c)Not later than 30 days after the completion of the audit, Lead
receive redistributed Matching Funds. Agencies shall submit a copy of their audit report to the legislature of
(2)Matching Funds allotted to a State under Sec. 98.63(a),but not the State or, if applicable, to the Tribal Council(s). Lead Agencies
granted, shall also be redistributed in the manner described in shall also submit a copy of their audit report to the MIS Inspector
paragraph(1)of this section. General for Audit Services, as well as to their cognizant agency, if
(3) The amount of Matching Funds granted to a State that will be applicable.
made available for redistribution will be based on the State's financial (d) Any amounts determined through an audit not to have been
report to ACF for the Child Care and Development Fund (ACF-696) expended in accordance with these statutory or regulatory provisions,
and is subject to the monetary limits at paragraph (bX2) of this or with the Plan, and that are subsequently disallowed by the
section. Department shall be repaid to the Federal government, or the
(4) A State eligible to receive redistributed Matching Funds shall Secretary will offset such amounts against any other CCDF funds to
also use the ACF-696 to request its share of the redistributed funds,if which the Lead Agency is or may be entitled.
any. (e) Lead Agencies shall provide access to appropriate books,
(5)A State's share of redistributed Matching Funds is based on the documents, papers and records to allow the Secretary to verify that
same ratio as the number of children under 13 residing in the State to CCDF funds have been expended in accordance with the statutory
the number of children residing in all States eligible to receive and and regulatory requirements of the program,and with the Plan.
that request the redistributed Matching Funds. (f) The audit required in paragraph (a) of this section shall be
(6) Redistributed funds are considered part of the grant for the conducted by an agency that is independent of the State,Territory or
fiscal year in which the redistribution occurs. Tribe as defined by generally accepted government auditing standards
(d) Any portion of a Tribe's allotment of Discretionary Funds that issued by the Comptroller General,or a public accountant who meets
is not required to carry out its Plan, in the period for which the such independent standards.
allotment is made available,shall be reallotted to other tribal grantees (g)The Secretary shall require financial reports as necessary.
in proportion to their original allotments. States and Territories may
not receive reallotted tribal funds. Sec.98.66 Disallowance procedures.
(1) Each year, the Tribe shall report to the Secretary either the
dollar amount from the previous year's grant that it will be unable to
obligate by the end of the obligation period or that all funds will be
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(a) Any expenditures not made in accordance with the Act, the the expenditure of CCDF funds shall comply with the laws and
implementing regulations, or the approved Plan, will be subject to procedures generally applicable to expenditures by the contracting
disallowance. agency of its own funds.
(c)Fiscal control and accounting procedures shall be sufficient to
[[Page 399941] permit:
(1)Preparation of reports required by the Secretary under this
(b)If the Department, as the result of an audit or a review, finds subpart and under subpart H;and
that expenditures should be disallowed, the Department will notify (2) The tracing of' funds to a level of expenditure adequate to
the Lead Agency of this decision in writing. establish that such funds have not been used in violation of the
(c)(1) If the Lead Agency agrees with the finding that amounts provisions of this part.
were not expended in accordance with the Act, these regulations, or
the Plan, the Lead Agency shall fulfill the provisions of the Subpart H--Program Reporting Requirements
disallowance notice and repay any amounts improperly expended;or
(2)The Lead Agency may appeal the finding: Sec.98.70 Reporting requirements.
(i) By requesting reconsideration from the Assistant Secretary,
pursuant to paragraph(f)of this section;or (a)Quarterly Case-level Report--
(ii)By following the procedure in paragraph(d)of this section. (1)State and territorial Lead Agencies that receive assistance
(d) A Lead Agency may appeal the disallowance decision to the under the CCDF shall prepare and submit to the Department, in a
Departmental Appeals Board in accordance with 45 CFR part 16. manner specified by the Secretary, a quarterly case-level report of
(e)The Lead Agency may appeal a disallowance of costs that the monthly family case-level data. Data shall be collected monthly and
Department has determined to be unallowable under an award. A submitted quarterly. States may submit the data monthly if they
grantee may not appeal the determination of award amounts or choose to do so.
disposition of unobligated balances. (2)The information shall be reported for the three-month federal
(f) The Lead Agency's request for reconsideration in (c)(2)(i) of fiscal period preceding the required report. The first report shall be
this section shall be postmarked no later than 30 days after the receipt submitted no later than August 31, 1998,and quarterly thereafter.The
of the disallowance notice.A Lead Agency may request an first report shall include data from the third quarter of FFY 1998
extension within the 30-day time frame. The request for (April 1998 through June 1998). States and Territorial Lead Agencies
reconsideration, pursuant to (c)(2)(i) of this section, need not follow which choose to submit case-level data monthly must submit their
any prescribed form,but it shall contain: report for April 1998 no later than July 30, 1998. Following reports
(I)The amount of the disallowance; must be submitted every thirty days thereafter.
(2)The Lead Agency's reasons for believing that the disallowance (3) State and territorial Lead Agencies choosing to submit data
was improper;and based on a sample shall submit a sampling plan to ACF for approval
(3) A copy of the disallowance decision issued pursuant to 60 days prior to the submission of the first quarterly report. States are
paragraph(b)of this section. not prohibited from submitting case-level data for the entire
(g)(1)Upon receipt of a request for reconsideration,pursuant to population receiving CCDF services.
(c)(2)(i)of this section,the Assistant Secretary or the Assistant (4)Quarterly family case-level reports to the Secretary shall
Secretary's designee will inform the Lead Agency that the request is include the information listed in Sec.98.71(a).
under review. (b)Annual Report—
(2)The Assistant Secretary or the designee will review any (1)State and territorial Lead Agencies that receive assistance under
material submitted by the Lead Agency and any other necessary CCDF shall prepare and submit to the Secretary an annual report.The
materials. report shall be submitted, in a manner specified by the Secretary, by
(3) If the reconsideration decision is adverse to the Lead Agency's December 31 of each year and shall cover the most recent federal
position,the response will include a notification of the Lead Agency's fiscal year(October through September).
right to appeal to the Departmental Appeals Board, pursuant to (2) The first annual aggregate report shall be submitted no later
paragraph(d)of this section. than December 31, 1997,and every twelve months thereafter.
(h)If a Lead Agency refuses to repay amounts after a final decision (3)Biennial reports to Congress by the Secretary shall include the
has been made,the amounts will be offset against future payments to information listed in Sec.98.71(6).
the Lead Agency. (c)Tribal Annual Report--
(i) The appeals process in this section is not applicable if the (1)Tribal Lead Agencies that receive assistance under CCDF shall
disallowance is part of a compliance review, pursuant to Sec. 98.90, prepare and submit to the Secretary an annual aggregate report.
the findings of which have been appealed by the Lead Agency. (2) The report shall be submitted in the manner specified by the
(j)Disallowances under the CCDF program are subject to interest Secretary by December 31 of each year and shall cover services for
regulations at 45 CFR part 30. Interest will begin to accrue from the children and families served with CCDF funds during the preceding
date of notification. Federal Fiscal Year.
(3) Biennial reports to Congress by the Secretary shall include the
Sec.98.67 Fiscal requirements. information listed in Sec.98.71(c).
(a)Lead Agencies shall expend and account for CCDF funds in Sec.98.71 Content of reports.
accordance with their own laws and procedures for expending and
accounting for their own funds. (a) At a minimum, a State or territorial Lead Agency's quarterly
(b)Unless otherwise specified in this part,contracts that entail case-level report to the Secretary, as required in Sec. 98.70, shall
[From the Federal Register Online via GPO Access[wais.access.gpo.gov]
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include the following information on services provided under CCDF (2)Children served by age;
grant funds, including Federal Discretionary (which includes any (3)Children served by reason for care;
funds transferred from the TANF Block Grant), Mandatory, and (4)Children served by payment method(certificate/voucher or
Matching Funds; and State Matching and Maintenance-of-Effort contract/grants);
(MOE)Funds: (5)Average number of hours of care provided per week;
(1)The total monthly family income for determining eligibility; (6)Average hourly amount paid for care;
(2)County of residence; (7)Children served by level of family income;and
(3)Gender and month/year of birth of children; (8)Children served by type of child care providers.
(4)Ethnicity and race of children;
(5)Whether the head of the family is a single parent; Subpart I--Indian Tribes
(6) The sources of family income, from employment (including -
self-employment), cash or other assistance under the Temporary Sec.98.80 General procedures and requirements.
Assistance for Needy Families program under Part A of title IV of the
Social Security Act, cash or other assistance under a State program An Indian Tribe or tribal organization(as described in Subpart G of
for which State spending is counted toward the maintenance of effort these regulations) may be awarded grants to plan and carry out
requirement under section 409(a)(7) of the Social Security Act, programs for the purpose of increasing the availability, affordability,
housing assistance,assistance under the Food Stamp Act of 1977;and and quality of child care and childhood development programs
other assistance programs; subject to the following conditions:
(7)The month/year child care assistance to the family started; (a)An Indian Tribe applying for or receiving CCDF funds shall be
subject to all the requirements under this part,unless otherwise
[[Page 39995]] indicated.
(b) An Indian Tribe applying for or receiving CCDF funds shall:
(8)The type(s) of child care in which the child was enrolled(such (1) Have at least 50 children under 13 years of age (or such similar
as family child care,in-home care,or center-based child care); age, as determined by the Secretary from the best available data) in
(9)Whether the child care provider involved was a relative; order to be eligible to operate a CCDF program.This limitation does
(10)The total monthly child care copayment by the family; not preclude an Indian Tribe with fewer than 50 children under 13
(I I)The total expected dollar amount per month to be received by years of age from participating in a consortium that receives CCDF
the provider for each child; funds;and
(12)The total hours per month of such care; (2) Demonstrate its current service delivery capability, including
(13)Social Security Number of the head of the family unit skills, personnel, resources, community support, and other necessary
receiving child care assistance; components to satisfactorily carry out the proposed program.
(14)Reasons for receiving care;and (c)A consortium representing more than one Indian Tribe may be
(15)Any additional information that the Secretary shall require. eligible to receive CCDF funds on behalf of a particular Tribe if:
(b) At a minimum, a State or territorial Lead Agency's annual (1)The consortium adequately demonstrates that each participating
aggregate report to the Secretary, as required in Sec. 98.70(b), shall Tribe authorizes the consortium to receive CCDF funds on behalf of
include the following information on services provided through all each Tribe or tribal organization in the consortium;and
CCDF grant funds, including Federal Discretionary (which includes (2)The consortium consists of Tribes that each meet the eligibility
any funds transferred from the TANF Block Grant), Mandatory, and requirements for the CCDF program as defined in this part, or that
Matching Funds;and State Matching and MOE Funds: would otherwise meet the eligibility requirements if the Tribe or tribal
(1)The number of child care providers that received funding under organization had at least 50 children under 13 years of age;and
CCDF as separately identified based on the types of providers listed (3) All the participating consortium members are in geographic -
in section 658P(5) of the amended Child Care and Development proximity to one another(including operation in a multi-State area)or
Block Grant Act; have an existing consortium arrangement; and
(2)The number of children served by payments through certificates (4) The consortium demonstrates that it has the managerial,
or vouchers, contracts or grants, and cash under public benefit technical and administrative staff with the ability to administer
programs, listed by the primary type of child care services provided government funds, manage a CCDF program and comply with the
during the last month of the report period(or the last month of service provisions of the Act and of this part.
for those children leaving the program before the end of the report (d) The awarding of a grant under this section shall not affect the
period); eligibility of any Indian child to receive CCDF services provided by
(3) The manner in which consumer education information was the State or States in which the Indian Tribe is located.
provided to parents and the number of parents to whom such (e)For purposes of the CCDF, the determination of the number of
information was provided; children in the Tribe, pursuant to paragraph (b)(1) of this section,
(4)The total number(without duplication)of children and families shall include Indian children living on or near reservations, with the
served under CCDF;and exception of Tribes in Alaska,California and Oklahoma.
(5)Any additional information that the Secretary shall require. (1)In determining eligibility for services pursuant to
(c)At a minimum,a Tribal Lead Agency's annual report to the Sec.98.20(a)(2),a tribal program may use either:
Secretary,as required in Sec.98.70(c),shall include the following (1) 85 percent of the State median income for a family of the same
information on services provided through all CCDF tribal grant size;or
awards: (2) 85 percent of the median income for a family of the same size
(I) Unduplicated number of families and children receiving residing in the area served by the Tribal Lead Agency.
services;
]From the Federal Register Online via GPO Access(wais.access.gpo.gov]
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Sec.98.81 Application and Plan procedures. (b)With the exception of Alaska,California,and Oklahoma,
programs and activities shall be carried out on an Indian reservation
(a) In order to receive CCDF funds, a Tribal Lead Agency shall for the benefit of Indian children.
apply for funds pursuant to Sec.98.13,except that the requirement at (c)In the case of a tribal grantee that is a consortium:
Sec.98.13(b)(2)does not apply. (1)A brief description of the direct child care services funded by
(b)A Tribal Lead Agency shall submit a CCDF Plan,as described CCDF for each of their participating Tribes shall be provided by the
at Sec.98.16,with the following additions and exceptions: consortium in their two-year CCDF Plan;and
(1) The Plan shall include the basis for determining family (2)Variations in CCDF programs or requirements and in child care
eligibility pursuant to Sec.98.80(f). licensing, regulatory and health and safety requirements shall be
(2)For purposes of determining eligibility,the following terms specified in written agreements between the consortium and the Tribe.
shall also be defined: (3)If a Tribe elects to participate in a consortium arrangement to
(i)Indian child;and receive one part of the CCDF (e.g.,Discretionary Funds), it may not
(ii)Indian reservation or tribal service area join another consortium or apply as a direct grantee to receive the
(3)The Tribal Lead Agency shall also assure that: other part of the CCDF(e.g.Tribal Mandatory Funds).
(i)The applicant shall coordinate,to the maximum extent feasible, (4)If a Tribe relinquishes its membership in a consortium at any
with the Lead Agency in the State in which the applicant shall carry time during the fiscal year, CCDF funds awarded on behalf of the
out CCDF programs or activities,pursuant to Sec.98.82;and member Tribe will remain with the tribal consortium to provide direct
(ii)In the case of an applicant located in a State other than child care services to other consortium members for that fiscal year.
Alaska,California, or Oklahoma, CCDF programs and activities shall (d)Tribal Lead Agencies shall not be subject to the requirements
be carried out on an Indian reservation for the benefit of Indian at Secs.98.41(a)(1)(i),98.44(a),98.50(e),98.52(a),98.53 and 98.63.
children,pursuant to Sec.98.83(b). (e)The base amount of any tribal grant is not subject to the
(4) The Plan shall include any information, as prescribed by the administrative cost limitation at paragraph(g)of this section or the
Secretary, necessary for determining the number of children in quality expenditure requirement at Sec. 98.51(a). The base amount
accordance with Secs.98.61(c),98.62(c),and 98.80(6)(1). may be expended for any costs consistent with the purposes and
(5) Plans for those Tribes specified at Sec. 98.83(1) (i.e., Tribes requirements of the CCDF.
with small grants) are not subject to the requirements in Sec. (f)Tribal Lead. Agencies whose total CCDF allotment pursuant to
98.16(g)(2)or Sec. 98.16(k)unless the Tribe chooses to include such Secs. 98.61(c) and 98.62(b)is less than an amount established by the
services,and,therefore,the associated requirements,in its program. Secretary shall not be subject to the following requirements:
(1)The assurance at Sec.98.15(a)(2);
[[Page 39996)] (2)The requirement for certificates at Sec.98.30(a)and(d);and
(3)The requirements for quality expenditures at Sec. 98.51(a).
(6)The Plan is not subject to requirements in Sec. 98.16(1)(8) or (g) Not more than 15 percent of the aggregate CCDF funds
Sec. 98.I6(g)(4). expended by the Tribal Lead Agency from each fiscal year's
(7) In its initial Plan, an Indian Tribe shall describe its current (including amounts used for construction and renovation in
service delivery capability pursuant to Sec.98.80(b)(2). accordance with Sec. 98.84, but not including the base amount
(8)A consortium shall also provide the following: provided under Sec. 98.83(e)) shall be expended for administrative
(i) A list of participating or constituent members, including activities. Amounts used for construction and major renovation in
demonstrations from these members pursuant to Sec.98.80(c)(1); accordance with Sec.98.84 are not considered administrative costs.
(ii)A description of how the consortium is coordinating services (h)(1)CCDF funds are available for costs incurred by the Tribal
on behalf of its members,pursuant to Sec.98.83(cXl);and Lead Agency only after the funds are made available by Congress for
(iii)As part of its initial Plan,the additional information required at Federal obligation unless costs are incurred for planning activities
Sec.98.80(c)(4). related to the submission of an initial CCDF Plan.
(c) When initially applying under paragraph (a) of this section, a (2)Federal obligation of funds for planning costs,pursuant to
Tribal Lead Agency shall include a Plan that meets the provisions of paragraph(h)(1)of this section is subject to the actual availability
this part and shall be for a two-year period,pursuant to of the appropriation.
Sec.98.17(a).
Sec.98.84 Construction and renovation of child care facilities.
Sec.98.82 Coordination.
(a)Upon requesting and receiving approval from the Secretary,
Tribal applicants shall coordinate as required by Secs. 98.12 and Tribal Lead Agencies may use amounts provided under Secs.98.61(c)
98.14 and: and 98.62(b)to make payments for construction or major renovation
(a)To the maximum extent feasible, with the Lead Agency in the of child care facilities (including paying the cost of amortizing the
State or States in which the applicant will carry out the CCDF principal and paying interest on loans).
program;and (b)To be approved by the Secretary,a request shall be made in
(b)With other Federal,State,local,and tribal child care and accordance with uniform procedures established by program
childhood development programs. instruction and,in addition,shall demonstrate that:
(1)Adequate facilities are not otherwise available to enable the
Sec.98.83 Requirements for tribal programs. Tribal Lead Agency to carry out child care programs;
(2)The lack of such facilities will inhibit the operation of child
(a)The grantee shall designate an agency,department,or unit to care programs in the future;and
act as the Tribal Lead Agency to administer the CCDF program.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
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(3)The use of funds for construction or major renovation will not (3)initial equipment for the facility.Equipment means items which
result in a decrease in the level of child care services provided by the are tangible,nonexpendable personal property having a useful life of
Tribal Lead Agency as compared to the level of services provided by more than five years.
the Tribal Lead Agency in the preceding fiscal year.
(c)(1)Tribal Lead Agency may use CCDF funds for reasonable and Subpart J--Monitoring,Non-compliance and Complaints
necessary planning costs associated with assessing the need for
construction or renovation or for preparing a request, in accordance Sec.98.90 Monitoring.
with the uniform procedures established by program instruction, to
spend CCDF funds on construction or major renovation. (a) The Secretary will monitor programs funded under the CCDF
(2)A Tribal Lead Agency may only.use CCDF funds to pay for the for compliance with:
costs of an architect,engineer,or other consultant for a project that is (1)The Act;
subsequently approved by the Secretary. If the project later fails to (2)The provisions of this part;and
gain the Secretary's approval, the Tribal Lead Agency must pay for (3)The provisions and requirements set forth in the CCDF Plan
the architectural, engineering or consultant costs using non-CCDF approved under Sec.98.18;
funds. (b) If a review or investigation reveals evidence that the Lead
(d)Tribal Lead Agencies that receive approval from the Secretary Agency, or an entity providing services under contract or agreement
to use CCDF funds for construction or major renovation shall comply with the Lead Agency, has failed to substantially comply with the
with the following: Plan or with one or more provisions of the Act or implementing
(1)Federal share requirements and use of property requirements at regulations, the Secretary will issue a preliminary notice to the Lead
45 CFR 92.31; Agency of possible non-compliance. The Secretary shall consider
(2)Transfer and disposition of property requirements at 45 CFR comments received from the Lead Agency within 60 days (or such
92.31(c); longer period as may be agreed upon between the Lead Agency and
(3)Title requirements at 45 CFR 92.31(a); the Secretary).
(4)Cost principles and allowable cost requirements at 45 CFR (c) Pursuant to an investigation conducted under paragraph(a) of
92.22; this section,a Lead Agency shall make appropriate books,documents,
(5)Program income requirements at 45 CFR 92.25; papers, manuals, instructions, and records available to the Secretary,
(6)Procurement procedures at 45 CFR 92.36;and; or any duly authorized representatives,for examination or copying on
(7) Any additional requirements established by program or off the premises of the appropriate entity, including subgrantees
instruction,including requirements concerning: and contractors,upon reasonable request.
(i)The recording of allotice of Federal Interest in the property; (d)(1) Lead Agencies and subgrantees shall retain all CCDF
(ii)Rights and responsibilities in the event of a grantee's records, as specified in paragraph (c) of this section, and any other
default on a mortgage; records of Lead Agencies and subgrantees that are needed to
(iii)Insurance and maintenance; substantiate compliance with CCDF requirements, for the period of
(iv)Submission of plans,specifications,inspection reports,and time specified in paragraph(e)of this section.
other legal documents;and (2) Lead Agencies and subgrantees shall provide through an
(v)Modular units. appropriate provision in their contracts that their contractors will
(e)In lieu of obligation and liquidation requirements at retain and permit access to any books,documents,papers,and records
Sec. 98.60(e),Tribal Lead Agencies shall liquidate CCDF funds used of the contractor that are directly pertinent to that specific contract.
for construction or major renovation by the end of the second fiscal (e)Length of retention period. (I)Except as provided in paragraph
year following the fiscal year for which the grant is awarded. (e)(2)of this section,records specified in paragraph(c)of this section
shall be retained for three years from the day the. Lead Agency or
[[Page 39997]] subgrantee submits the Financial Reports required by the Secretary,
pursuant to Sec.98.65(g),for the program period.
(0 Tribal Lead Agencies may expend funds, without requesting (2)If any litigation, claim, negotiation, audit, disallowance action,
approval pursuant to paragraph (a) of this section, for minor or other action involving the records has been started before the
renovation. expiration of the three-year retention period, the records shall be
(g)A new tribal grantee(i.e.,one that did not receive CCDF funds retained until completion of the action and resolution of all issues that
the preceding fiscal year) may spend no more than an amount arise from it, or until the end of the regular three-year period,
equivalent to its Tribal Mandatory allocation on construction and whichever is later.
renovation.A new tribal grantee must spend an amount equivalent to
its Discretionary allocation on activities other than construction or Sec.98.91 Non-compliance.
renovation (i.e., direct services, quality activities, or administrative
costs). (a) If after reasonable notice to a Lead Agency, pursuant to Sec.
(h)A construction or renovation project that requires and receives 98.90 or Sec.98.93,a final determination is made that:
approval by the Secretary must include as part of the construction and (I) There has been a failure by the Lead Agency, or by an entity
renovation costs: providing services under contract or agreement with the Lead Agency,
(1)planning costs as allowed at Sec.98.84(c); to comply substantially with any provision or requirement set forth in
(2)labor,materials and services necessary for the functioning of the Plan approved under Sec.98.16;or
the facility;and (2) If in the operation of any program for which funding is
provided under the CCDF, there is a failure by the Lead Agency, or
by an entity providing services under contract or agreement with the
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-21]
Federal Register:July 24,1998(Volume 63,Number 142)Rules and Regulations Exhibit B
Pages 39981-39998 Page 19 of 19
Lead Agency, to comply substantially with any provision of the Act Sec.98.93 Complaints.
or this part,the Secretary will provide to the Lead Agency a written
notice of a finding of non-compliance. This notice will be issued (a)This section applies to any complaint (other than a complaint
within 60 days of the preliminary notification in Sec. 98.90(6), or alleging violation of the nondiscrimination provisions) that a Lead
within 60 days of the receipt of additional comments from the Lead Agency has failed to use its allotment in accordance with the terms of
Agency, whichever is later, and will provide the opportunity for a the Act, the implementing regulations, or the Plan. The Secretary is
bearing,pursuantto part 99. not required to consider a complaint unless it is submitted as required
(b)The notice in paragraph(a)of this section will include all by this.section. Complaints with respect to discrimination should be
relevant findings, as well as any penalties or sanctions to be applied, referred to the Office of Civil Rights of the Department.
pursuant to Sec.98.92. (b) Complaints with respect to the CCDF shall be submitted in
(c) Issues subject to review at the hearing include the finding of writing to the Assistant Secretary for Children and Families, 370
non-compliance, as well as any penalties or sanctions to be imposed LBnfant Promenade, S.W.,Washington, D.C. 20447. The complaint
pursuant to Sec.98.92. shall identify the provision of the Plan,the Act, or this part that was
allegedly violated, specify the basis for alleging the violation(s), and
Sec.98.92 Penalties and sanctions. include all relevant information known to the person submitting it.
(c)The Department shall promptly furnish a copy of any complaint
(a) Upon a fmal determination that the Lead Agency has failed to to the affected Lead Agency. Any comments received from the Lead
substantially comply with the Act, the implementing regulations, or Agency within 60 days(or such longer period as may be agreed upon
the Plan,one of the following penalties will be applied: between the Lead Agency and Department)shall be considered by the
(1)The Secretary will disallow the improperly expended funds; Department in responding to the complaint. The Department will
(2)An amount equal to or less than the improperly expended funds conduct an investigation of complaints,where appropriate.
will be deducted from the administrative portion of the State (d)The Department will provide a written response to complaints
allotment for the following fiscal year;or within 180 days after receipt. If a final resolution cannot be provided
(3)A combination of the above options will be applied. at that time,the response will state the reasons why additional time is
(b)In addition to imposing the penalties described in paragraph(a) necessary.
of this section,the Secretary may impose other appropriate sanctions, (e)Complaints that are not satisfactorily resolved through
including: communication with the Lead Agency will be pursued through the
(1)Disqualification of the Lead Agency from the receipt of further process described in Sec.98.90.
funding under the CCDF;or
(2)(i)A penalty of not more than four percent of the funds allotted PART 99--PROCEDURE FOR HEARINGS FOR THE CHILD
under Sec. 98.61 (i.e.,the Discretionary Funds)for a Fiscal Year shall CARE AND DEVELOPMENT
be withheld if the Secretary determines that the Lead Agency has FUND
failed to implement a provision of the Act, these regulations, or the Plan required under Sec.98.16; 2.The heading of part 99 is revised to read as set forth above:
(ii) This penalty will be withheld no earlier than the second full 3.The authority citation for part 99 is revised to read as
quarter following the quarter in which the Lead Agency was notified follows:
of the proposed penalty;
(iii)This penalty will not be applied if the Lead Agency corrects Authority:42 U.S.C.618,9858.
the failure or violation before the penalty is to be applied or if it
submits a plan for corrective action that is acceptable to the Secretary; 4.In part 99 make the following changes:
or a.Remove the words "Child Care and Development Block Grant"
(iv) The Lead Agency may show cause to the Secretary why the and add in their place, wherever they appear, the words"Child Care
amount of the penalty,if applied,should be reduced. and Development Fund."
(c)If a Lead Agency is subject to additional sanctions as provided b. Remove the word "Grantees" and add in its place, wherever it
under paragraph (b) of this section, specific identification of any appears,the words"Lead Agencies."
additional sanctions being imposed will be provided in the notice c. Remove the word "Grantee" and add in its place, wherever it
provided pursuant to Sec.98.91. appears,the words"Lead Agency."
(d) Nothing in this section, or in Sec. 98.90 or Sec. 98.91, will d. Remove the words "Block Grant Plan" and add in their place,
preclude the Lead Agency and the Department from informally wherever they appear,the words"CCDF Plan."
resolving a possible compliance issue without following all of the
steps described in Secs. 98.90, 98.91 and 98.92. Penalties and/or [FR Doc.98-19418 Filed 7.23-98;8:45 am]
sanctions, as described in paragraphs (a) and (b) of this section, may BILLING CODE 4184-01-P
nevertheless be
[[Page 39998]]
applied,even though the issue is resolved informally.
(e)It is at the Secretary's sole discretion to choose the penalty
to be imposed under paragraphs(a)and(b)of this section.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-21]
Contract No.PY03-CCDI
EXHIBIT C
ASSURANCES
1. The Contractor agrees it is an independent contractor and that its officers and employees
do not become employees of Weld County,nor are they entitled to any employee benefits
as Weld County employees, as the result of the execution of this Agreement.
2. Weld County, the Board of County Commissioners of Weld County, its officers and
employees, shall not be held liable for injuries or damages caused by any negligent acts
or omissions of Contractor or its employees, volunteers, or agents while performing
duties as described in this Agreement. Contractor shall indemnify, defend, and hold
harmless Weld County, the Board of County Commissioners of Weld County, its
employees, volunteers, and agents. The Contractor shall provide adequate liability and
worker's compensation insurance for all its employees, volunteers, and agents engaged in
the performance of the Agreement upon request, the Contractor shall provide Social
Services with the acceptable evidence that such coverage is in effect.
3. No portion of this Agreement shall be deemed to constitute a waiver of any immunities
the parties or their officers or employees may possess, nor shall any portion of this
Agreement be deemed to have treated a duty of care with respect to any persons not a
party to this Agreement.
4. No portion of this Agreement shall be deemed to create an obligation on the part of the
County of Weld, State of Colorado, to expend funds not otherwise appropriated in each
succeeding year.
5. If any section, subsections,paragraph, sentence, clause, or phrase of this Agreement is for
any reason held or decided to be unconstitutional, such decision shall not affect the
validity of the remaining portions. The parties hereto declare that they would have
entered into this Agreement and each and every section, subsection, paragraph, sentence,
clause, and phrase thereof irrespective of the fact that any one or more sections,
subsections, paragraphs, sentences, clauses, or phrases might be declared to be
unconstitutional or invalid.
6. No officer, member or employee of Weld County and no member of their governing
bodies shall have any pecuniary interest, direct or indirect, in the approved Agreement or
the proceeds thereof.
7. The Contractor assures that they will comply with the Title VI of the Civil Rights Act of
1986 and that no person shall, on the grounds of race, creed, color, sex, or national origin,
be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under this approved Agreement.
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Contract No. PY03-CCDI
8. The Contractor assures that sufficient, auditable, and otherwise adequate records that will
provide accurate, current, separate, and complete disclosure of the status of the funds
received under the Agreement are maintained for three (3) years or the completion and
resolution of an audit. Such records shall be sufficient to allow authorized local,Federal,
and State auditors and representatives to audit and monitor the Contractor.
9. All such records, documents, communications, and other materials shall be the property
of Social Services and shall be maintained by the Contractor, in a central location and
custodian, in behalf of Social Services, for a period of three (3) years from the date of
final payment under this Contract, or for such further period as may be necessary to
resolve any matters which may be pending, or until an audit has been completed with the
following qualification: If an audit by or on behalf of the federal and/or state government
has begun but is not completed at the end of the three (3) year period, or if audit findings
have not been resolved after a three (3) year period, the materials shall be retained until
the resolution of the audit finding.
10. The Contractor assures that authorized local, federal and state auditors and
representatives shall, during business hours,have access to inspect any copy records, and
shall be allowed to monitor and review through on-site visits, all contract activities,
supported with funds under this Agreement to ensure compliance with the terms of this
Agreement. Contracting parties agree that monitoring and evaluation of the performance
of the Agreement shall be conducted by appropriate funding sources. The results of the
monitoring and evaluation activities shall be provided to the appropriate and interested
parties.
11. This Agreement shall be binding upon the parties hereto, their successors, heirs, legal
representatives, and assigns. The Contractor of Social Services may not assign any of its
rights or obligations hereunder without the prior written consent of both parties.
12. The Contractor certifies that Federal appropriated funds have not been paid or will be
paid, by or on behalf of the Contractor, to any person for influencing or attempting to
influence an officer or employee of an agency, a Member of Congress, an officer or
employee of Congress,or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any federal grant, the making of any
federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, loan, grant,
or cooperative agreement.
13. The Contractor assures that it will fully comply with the General Assistance Program
regulation promulgated, and all other applicable federal and state laws, rules and
regulations. The Contractor understands that the source of funds to be used under this
Agreement is: General Assistance Funds.
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Contract No. PY03-CCDI
14. The Contractor assures and certifies that it and its principals:
A. Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by a federal
department of agency.
B. Have not,within a three-year period of preceding this Agreement,been convicted
of or had a civil judgment rendered against them for commission of fraud or a
criminal offense in connection with obtaining, attempting to obtain, or
performing a public (federal, state, or local)transaction or contract under a public
transaction; violation of federal or state antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
C. Are not presently indicted for or otherwise criminally or civilly charged by a
government entity (federal, state, or local) with commission of any of the
offenses enumerated in paragraph 11(b) of this certification; and
D. Have not within a three-year period preceding this Agreement, had one or more
public transactions(federal, state, and local)terminated for cause or default.
15. The Appearance of Conflict of Interest applies to the relationship of a contractor with
Social Services when the Contractor also maintains a relationship with a third party and
the two relationships are in opposition. In order to create the appearance of a conflict of
interest, it is not necessary for the contractor to gain from knowledge of these opposing
interests. It is only necessary that the contractor know that the two relationships are in
opposition.
During the term of the Contract the Contractor shall not enter any third party relationship
that gives the appearance of creating a conflict of interest. Upon learning of an existing
appearance of a conflict of interest situation, the Contractor shall submit to Social
Services, a full disclosure statement setting forth the details that create the appearance of
a conflict of interest. Failure to promptly submit a disclosure statement required by this
paragraph shall constitute grounds for Social Services' termination, for cause, of its
contract with the Contractor.
16. Contractor shall protect the confidentiality of all applicant records and other materials
that are maintained in accordance with this Contract. Except for purposes directly
connected the administration of the General Assistance Program,no information about or
obtained from any applicant/recipient in possession of Contractor shall be disclosed in a
form identifiable with the applicant/recipient or a minor's parent or guardian. Contractor
shall have written policies governing access to, duplication and dissemination of, all such
information. Contractor shall advise its employees, agents and subcontractors, if any,
that they are subject to these confidentiality requirements. Contractor shall provide its
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Contract No. PY03-CCDI
employees,agents, and subcontractors, if any,with a copy or written explanation of these
confidentiality requirements before access to confidential data is permitted.
17. Proprietary information for the purposes of this contract is information relating to a
party's research, development, trade secrets, business affairs, internal operations and
management procedures and those of its customers, clients or affiliates, but does not
include information (1) lawfully obtained from third parties, (2) that which is in the
public domain,or(3)that which is developed independently.
Neither party shall use or disclose directly or indirectly without prior written
authorization any proprietary information concerning the other party obtained as a result
of this Contract. My proprietary information removed from the State's site by the
Contractor in the course of providing services under this Contract will be accorded at
least the same precautions as are employed by the Contractor for similar information in
the course of its own business.
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