HomeMy WebLinkAbout20002463.tiff 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 September 1, 2000, and ending June 30, 2001,
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 11th day of October, A.D., 2000, nunc pro tunc September 1, 2000.
BOARD OF COUNTY COMMISSIONERS
WELD `COUNTY,, COL R/ADO
ATTEST: ad/ � e -1L�`i4 S / f/ U 4.f /s 7cu/pit
e v `i arbara J.
irkmeyer, Chair
Weld County Clerk to the
4; 0: . J. ile, Pro-Temy.
BY: Zd." rito
Deputy Clerk to the Boa
E. Baxter
��VED O FORM:
l / Dale K. Hall
County Attorney
Glenn V a&
CC ,',5_S 2000-2463
SS0027
DEPARTMENT OF SOCIAL SERVICES
PO Bi- X A
GRI EL , COn632
lID
C W EBSII E'. WnNw c .weld
Administration and Public Assisfan e WO)7)352 551
Child Sjppnd (i,111) 3933
COLORADO MEMORANDUM
TO: Barbara.1. Kirkmeyer, Chair Date: October 6, 2000
Board of County Commissioners
�,yyyy
FR: Judy A. Griego, Director, Social ServicesU i_: ,.;�I:,,
RE: Child Care Development Agreement Eetween the Weld County
Department of Social Services and United Way of Weld County,
Inc.
Enclosed for Board approval is a Child Care DeN elopment Agreement between the Weld
County Department of Social Services and United Way of Weld County, Inc.
The major provisions of the Agreement are as follows:
1. The term of the Agreement is September 1, 2000, through June 30, 2001.
2. The source of funding is Child Care Development Fund.
3. United Way agrees to provide the services outlined in the original and revised
applications under the Child Care Quality Expansion Program, which Social
Services submitted on behalf of United Way of Weld County and United W.iy':n
Contractor, Aims Community College. The services to be provided by United
Way and its contractor are the expansion of the Incem ive Program and Mentor
Program and the creation and implementation of a pre fessional development pl u3
for child care center personnel, child care home providers, and exempt child care
home providers.
4. Social Services agrees to reimburse United Way not to exceed $36,600.
If you have any questions, please telephone me at extension 1510.
2000
Contract No.: PY00-CCD1
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 Oday of October 2000,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, Social Services is willing and able to administer the use of and expenditure
of certain funds, as defined herein, for the purposes of the State;
WHEREAS, The Contractor submitted an application to Social Services that meets the
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Contract No.: PY00-CCDI
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;
WHEREAS, Social Services desires that the Contractor render such services;
WHEREAS, the Contractor is willing and able to render such services upon the terns and
conditions provided hereinafter;
NOW THEREFORE, in consideration of the premises, the parties hereto covenant ana
agree as follows:
1 Terms
This Agreement shall become effective on September 1, 2000, upon proper executon of
this Agreement and shall expire June 30, 2001. The preparation, submission, and
acceptance of a Final Financial Report and Final Program Report shall be undertak en by
the Contractor by July 31, 2001.
2. Scope of Services
a. Services shall be provided by the Contractor in compliance with Exhibit A "Scope
of Services," a copy of which is attached and incorporated by reference. The
Contractor shall provide the services specified in Exhibit A, dated July 5, 2000
(Contractor's original proposal) and Addendum #1 to Exhibit A, dated August 9,
2000.
b. In accordance with Exhibit A, the Contractor shall comply with the following
requirements for programs and services:
1) 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, at a minimum, one of the following child
care quality and availability improvement activities, in accord with the
Contractor's approved work plan and budget in Exhibit A and Addendum
#1 to Exhibit A.
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Contract No.: PY00-CCD1
Child care program start-up activities;
i. Expansion of child care space in existing facilities;
iii. Provide grants and loans to child care providers to assist them in
meeting applicable state, local and/or tribal child care standards,
including applicable health and safety requirements; grants and
loans to promote start-up and expansion of child care and to
expand the number of children served;
iv. Improve the monitoring of, compliance with the enforcement of
applicable state, local and/or tribal requirements under the federal
regulations;
v. Provide comprehensive consumer education activities for parents
and the public;
vi. Provide activities that increase parental choice;
vii. Operate directly or provide financial assistance to organizations for
the enhanced development, establishment, expansion, operation
and coordination of resource and referral programs specifically
related to child care;
viii. Provide training and technical assistance in one or more of the
following child care areas:
• health and safety
• nutrition
• first aid
• recognition of communicable diseases
• child abuse detection and prevention; or
• care for special needs children
ix. Provide activities that improve salaries and other compensation,
e.g., fringe benefits, for full and part-time staff who provide chid
care services;
x. Create coordinated care systems such as wraparound, full-day, full-
week, full-year care. This may also include the creation of
transportation systems to support these services and projects
linking child care and Head Start or other pre-kindergarten
programs;
xi. Minor renovation of facilities to meet licensing requirements;
xii. Develop and implement teen parent programs or weekend/evening
or sick child care programs;
xiii. Expand provider training and innovative recruitment/retention
strategies;
xiv. Build public-private partnerships and business involvement in
child care;
xv. Provide needs assessment and planning of community basecL child
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Contract No.: PY00-CCD1
care and education efforts which promote CCDF goals;
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 child
care assistance programs serving low-income families and families v,ho
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.
Si The Contractor shall operate the grant within the confines of the federal
child care rules and regulations in Exhibit C 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: finds
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.
i. 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
ii. 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 parr of the grant
application.
10) The Contractor shall start funding activities within 30 days of receiving a
signed contract.
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Contract No.: PY00-CCDI
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:
i. 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;
Making effective use of community resources; and
ii. Providing high quality programs, which create an envirorunent that
enhances the age-appropriate, educations, 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 child
care or for general administrative support services which are not direct
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.
i. The Contractor acknowledges it has confirmed the availability of
the local match prior to the effective date of the Agreement.
ii. The Contractor ensures that the local match will be met during the
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Contract No.: PY00-CCll1
term of this Agreement.
13) 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 providers 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 rela.ed
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 10-12 of Addendum #1.
d. The Contractor shall confer with the Director of Social Services, cr 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 C governing the use of these
funds. The Contractor acknowledges by its signature on this Agreement that :hese
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Contract No.: PY00-CCDI
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(sJ
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
f The Contractor and all sub-contractors shall publicly aclrnowledge and include an
acknowledgment in publications and/or written materials developed aim
disseminated through funding available under this Agreement that finding 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 B. "Payment Schedule," 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 Exhibits A and B.
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 or,
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Contract No.: PY00-CCDI
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 D, 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, documenms,
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 arc
included:
• Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its
implementing regulation, 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. seq.;
• 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 95-454 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.
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Contract No.:PY00-CCDI
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 an 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 or.a
contract or subcontract supported by Federal funds if a conflict of interest, real ni
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 finn 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 subagreements.
8. Certifications
a. Contractor certifies that, at the time of entering into this Contract, it has currently
in effect all necessary licenses, approvals, insurance, etc. required to properly
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Contract No.: PY00-CCD1
provide the services and/or supplies covered 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 28, 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 provisions of the law may result in the
imposition of a civil monetary penalty of up to $1000 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 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
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Contract No.: PY00-CCD1
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, Assistance Payments Manager Judy Kron, Director Community_
Problem Solving & 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:
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Contract No.: PY00-CCDl
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
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 vtdtor
foreclosure.
15. Termination
This Agreement may be terminated at any time by either party given thirty (30) clays
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.
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Contract No.: PY00-CCD1
IN WITNESS WHEREOF, the parties hereto have duly executed the Agreement as of the day,
month, and year first above written.
ATTEST: L►tl4a n +�lf � BOARD OF COUNTY COMMISSIONERS
Weld Co Cl t
i► '!" � \ WELD COUNTY, COLORADO
1861 - ��
By: ,.��, 1%. ._. . � By:
• Barbara J. Kirkme er, Chair
��rq
Deputy Clerk `� �� (10/11/2000)
APP OVED AS TO -O :
L
CONTRACTOR:
C Attorney
By:
WELD COUNTY DEPARTMENT OF Mike Sh p, air
SOCIAL SERVICES
1 ri By: �/�1 (}
JJicy A.(Criego, Director / Se ne Turswell, Executive Director
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EXHIF IT A
P1GEI ( F17
Acronyms and abbreviations used in Exhibit A
AEYC — Association for the Education of Young Children
B/A—Bachelor of Arts
BOCES —Board of Cooperative Educational Services
CORRA— Colorado Office of Resource and Referral Agencies
MA—Master of Arts
NAEYC —National Association for the Education of Young Children
TANF —Temporary Assistance to Needy Families
COLORADO DIVISION OF CHILD CARE GRANT.A?PL TIO>.:- Pfi -1BITA
tGEc OF 17
APPLICATION SUMMARY FORM -]
County Department
(please give full departmental name) Weld County Department of Social Services
Address: P O. Box A —_
City/State/Zip: Greeley, CO 80632 •
•
County Department Contact Person: Judy A. Griego
Phone Number: (970) 352-1551 ext. 6510 Fax Number: (970) 353-5215
E-Mail Address: griegoja@co-weld-co.us Amount Reauested: 359.992
t Federal Employer Identification Number (FEIN):
Type of Grant Funds will be used for
• (check one' (check all that appi:)
New child care facility, start-up X Minor renovation
Existing child care facility expansion X Ecuipment/supplies
Expanding the quality of care in target
X communities X Costs to meet licensing;requirements
X Training
X Consumer Education
Sraf operating
so, you must explain, as part of yct r
response to Section E, how the program•
ccntinue to pay these costs after ?rant ends
CHECK ALL THAT APPLY TO THE PROPOSED PROJECT 1
X Early childhood prop am C.iidren of teen parents
School-age(Out of School)program Children of homeless-hmiiies
Site has a valid license from the Colorado Dept. of
X Human Services X Iniants/Toddlers
X Children with special needs Colorado Pre-school Program
Public school site Children in Chapter 1 local school cistricts
Migrant and seasonal workers Family resource cente-ischool
X Private-for-profit center X Full-week care
X Evening/weekend care Area of high crime or poverty
'Wrap-around child care(part-day) Cther(specify):
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
-equirernents contained in this application and in the RFA.
Signature of person authorized to contractually Commit the County Department of Social Services:
Barbara J. Kirlmeyer, Chair n
Board of County Comm;ssioners.'L�i' '' ` ./1/1'.. 07/05/2000
Print Narne Siiature Date
EXHIBi A
PAGE 3 OF 17
CHILD CARE QUALITY EXPANSION GRANT.
SECTION A: NEED FOR THE PROJECT AND EXPECTED IMPACT/BENEFITS
Areas to be served, gaps: Weld County has a population of over 160,000 (EDAP, 1998) includi c over
44.000 (28%) children under the age of 18 (Kids Count in CO. 1997/98). According to the Colorado
Children's Campaign, county report. children needing care in Weld County was 739' and available
licensed spaces was 3972 for 1990. Child Care Resource and Referral has data for 293 licensed homes,
serving 1053 children and 39 centers. serving 3121 children. Child Care Resource and Referral received
1030 calls in I998-99. Over the past 12 months. 35% of the calls were for infant care. At :his time
there are NO vacancies for infants in child care homes. Total vacancies for the county average less than
:0% of capacity for any given facility. Twenty percent of homes have wait lists for infant care.
Compounding the problem is the attrition rate for home providers. That number has remainec stagnant
for the past 2 years. Families seeking care for shift work often are left with few avai,a..bie options.
Another gap in service occurs for families seeking care for multiple children in the same facility.
Openings often do not exist for each of the siblings needing service.
Weld County covers over 4000 square miles, the one of the largest counties in the state. The
communities to be served by this project include all of Weld County including unincorporated areas,
municipalities and Greeley. The 1999 unemployment -ate was3.6% for both Greeley and We:d County.
Per capita income for Weld County is $21,723, compared to $29,888 for Colorado and $32,203 for the
nation. Weld County has many low paying agriculture-related and service sector positions which
contribute to the low per capita income, thus, our low-income population is significant.
The problem of limited availability of high quality programs and successful outcomes for children
especially infants and toddlers and children with special needs, is always a concern in Weld County as it
is across the nation. The limited number of trained individuals to provide quality programs for children
in group care is verified by "Help Wanted" ads in the newspaper week after week.
Weld County has been able to serve the requests for care by those parents at 185%ofpoverty or below
with the availability of child care. Weld County, along with the rest of the state, strives for quail:y.
developmentally appropriate programs for our children. Just three local centers are accredited by
NAEYC standards. Turnover in child care center personnel and in family child care home providers is
as high if not higher than the national average. We have lots of room for quality improvemert in Weld
County.
Many individuals considering becoming a licensed child-care provider, do not pursue licensing because
they fear the paper work, continuing education and often do not have start up funds. Weld Information
and Referral's Child Care and Resource and Referral Program(now located at United Way o-=Weld
County) had an Ameri-corp placement for 24 months from 1996 to 1998 to assist providers to become
licensed. Funds were no longer available after 1998 and the growth of licensed in-home care became
stagnant. The statistics provided in the chart below, led us to create the current incentive program to
expand our county's licensed capacity.
High Need Areas ! Capacity Total Slots Available Infant Slots Available
Home Center 1 Home Center Home Center I
Ault 16 75 j 0 9 0 I 0
Dacono 0 0 0 I0 0 . 0
Frederick 124 0 3 0 0 _
Ft. Lupton 154 72 14 18 4 I 0
Greeley —Jefferson Elem ' 14 162 3 16 1 0
Greeley — B. Martinez Elem 140 • 0 6 0 j 1 !3
EXn lstT A
PAGE- OF 17
Hudson ho I 0 ? ' 0 0
Keensburg 10 ; 0 10 10 0 ) —.
Windsor 1256 188* I ?' 117 4 ! t)
I *Includes 2 programs which provide B/A only
The large rural area of our county presents many gaps in types of early care and education
services available to children and families, including care during nontraditional hours (shift cart );
care for infants and toddlers; care for young children with disabilities; overall quality of care fo:
young children; substandard exempt care and availability of qualified staff to provide services to
children and families.
In order to address these gaps in service we propose to increase the availability of affordab e, c:uality
early care and education for low income families through four means:
• Increase availability of care through mentoring and incentives for start-up of licensed c:iild care
homes
• Improve provider retention through mentoring and incentives for serving targeted gaps in availabii ty
of care
• Improve quality of care through individualized training including prelicensing training in distance
format
• Improve consumer education especially in rural areas.
Other funding: United Way of Weld County has committed the initial funding to the Incentive
Program as well as additional staffing for oversight. CORRA's increase in funding for the 2000-200-
year will positively affect this program. Aims Community College has other training grants including a
Division of Child Care Quality Expansion grant (year two) and a federal Title V grant among ethers,
which will assist with the efforts of this project. Weld County has transferred a significant amount of
T ANF funds to child care activities. In large part, this is due to their recent decision to increase incon e
guidelines from 155% of poverty to 185% which allows more individuals to afford quality care.
Benefits to low income families: Our project will benefit low income and working parents by
increasing awareness and amount of quality child care available in Weld County especially for difficu t-
to-find services. Low income families are best able to afford licensed or exempt home care options,
both targeted by this proposal. The current relationship of the Family Support Network and Child Cat f.
Resource and Referral to the Child Care Division of the Weld County Department of Social Services
creates a smooth pathway for low income families to access child care services.
The 1999 Cost, Quality and Outcomes Study states "High quality child care is an important element ir
achieving the national goal of having all children ready for school." Their findings show the quality o f
children's experiences in child care affects their development and readiness for sc:nooi. Children who
attended higher quality programs performed better on measures of both cognitive and social skills. B:•
improving quality of care in Weld County, we can positively affect these outcomes for our children.
SECTION B: PROGRAM DESCTIPTION, ADMINISTRATIVE CAPACITY AND
ACCOUNTABILITY
Goals and Outcomes: Our project will serve all of Weld County and target expansion of service
through licensed home providers for infant/toddler, bilingual, off time (evening, overnight anc
weekend), rural care. Our proposal will also expand quality of child care through training for both ho-�e
and center providers. We propose a comprehensive approach to child care quality and expansion for
Weld County. In order to impact the crucial need for licensed child care slots to serve targeted
populations and shortages in certain types of care, ir.the 10 month time frame of this grant. we propose
to (Goals and Outcomes):
ExH113 T A
PAGE
1. Expand the incentive Program, which provides incentives and mentorship for start-up of
licensed home care providers. Outcome: recruit 15 new child care home providers.
The United Way of Weld County Incentive Program will be expanded to help license i 5 :idd;t:onal
home providers, resulting in the creation of at least 60-90 slots for the targeted populations. The
program helps potential child care providers to become licensed by providing financial incentives
and a one-to-me relationship between candidate and experienced provider for up to three mcn:hs.
pool of experienced, reputable, licensed providers will be trained as mentors. They will flee.. .vith
the candidate giving a realistic overview of licensed care responsibilities. Mentcrs will fc cw. 'n the
licensing process and the business aspects of the profession. Next the candidates will :shadow •he
provider for five hours during a regular day of care. For the three months of the program the nnentc
will be available to answer candidate questions. Both mentors and candidates well have regular
contact and oversight from the Child Care Resource and Referral Coordinator. Financial inc_r.tives
of$50 will include help in initial licensing costs (pre-licensing course, background checks. fr:;t aid,
etc.). An additional $100 will provide improvements or supplies necessary to get licensed (fie
extinguisher, fence, etc.). A cash stipend of$150 will be awarded once a provider begins care of
,,children from one of our targeted areas. The mentors will receive a stipend of$'.55.
2. Expand the Mentor Program an additional six months to impact retention of home care
providers and reduce the high turnover rate. Outcome: retain 10 child care home providers.
In order to enhance the likelihood of retaining licensed status, and reducing home provider turnover
the current licensing initiative program will be expanded by an additional 6 months. Additional
training will be provided to mentors. Mentors will meet with their assigned provider twice a month.
Mentors will also meet at least four times as a group with the Child Care Resource and Referral
Coordinator and other project star for training, support and problem-solving. The Mentor and thei:
provider will set goals together at the beginning of the mentorship, based on the provider s
individual needs. Goals would be assessed monthly. Providers will receive a grant of up to S455,
$75 for training, $230 for materials and a cash stipend of$150 for successful completion of the
program (including meeting goals). Mentors will receive a stipend of$475 for training, meetings,
and the work with the provider (see budget narrative for details.. In addition, cash incentive: id
-
$500 will be provided to centers and homes willing to make additional slots available to targeted
populations including shift care.
3. Create and implement a Professional Development Plan for child care center personnel, child
care home providers and exempt child care home providers. Outcome: improved quality of
early care and education services for infants, toddlers, and young children including children
with disabilities.
The training segment of this proposal offers Professional Development for child care home and
center personnel. With the assistance of career advisors,these 20 (minimum) individuals will create
their own individual Professional Development Plan (PDP). They will receive grant funds for the
expenses incurred by the PDP activities including workshop fees, college tuition, books, substitute
reimbursement, and child care costs. An individual's PDP could be based on hours of training
necessary to remain in good licensing standing or t could involve completion of college :oursework
leading to a certificate or degree in Early Childhood Professions. Major sources of training will
include Prelicensing Training using distance education format, Learning Cluster training co-
sponsored by Weld AEYC, Early Childhood Professions classes at Aims Community College
Certificates available through the ECP program include: Group Leader, Center Director,
Infant/Toddler Care and Great Beginnings (caring for children with special needs). Trainees could
also earn an AAS Degree in Early Childhood Professions. Each of these programs is approved by
the State governing board for community colleges (CCCOES). The content of each training sessior.
(workshop or class) meets guidelines for developmental appropriateness. Upon successful
completion ofthe PDP, individuals will receive a cash stipend for their efforts. Additional monies
ExHI IIT A
PAGE 6 )F 1'•
will be used to revise and upgrade prelicensing distance education curriculum. Recruited home
providers (especially in rural areas of the County) will have the option to compete prelicensing
training from the convenience of their home. Given the well-researched connection between :rainii g
and quality in early care and education, this segment will result in enhanced age-approp-iate
educational. social, cultural, emotional and recreational development of children—dependnc on ti--
goals of the individual's PDP.
4. Develop consumer education materials to provide information on child care resource and
referral, quality care, subsidies and tax incentives targeted to the business and rural
communities of Weld County. Outcome: increased calls to Child care Resource and Referra+
This goal includes a general media campaign to place ads in the newspapers, billboards and regular
press releases to all media. The main emphasis is on providing information to -working rarr-ilies ant.
rural communities. The poster and brochure campaign is targeted at major and mid-size firms in
Weld County. The rural campaign will target media in Windsor, Ft. Lupton, Erie /Dacono
/Frederick/Firestone, Hudson./Keensburg, Platteville /LaSalle /Gilcrest, and Johnstown/Milliken.
In addition, material will be prepared to help recruit new providers. We will target new mothers
-who might consider caring for additional children as licensed :tome providers in order.0 earn
income while staying home with their own child
It is the intent of Weld County Department of Social Services to address these goals by contracting wit 1
United Way of Weld County. Aims Community College will act as a subcontractor in this Droiect.
7 CHILD CARE QUALITY EXPANSION, ..
GOALS, ACTIVITIES, TIMELINES AND MEASUREMENTS _-
' INCREASE CHILD CARE CAPACITY •
! 1. Expand the Incentive Program, which provides incentives and mentorship for start-up of licensed
home care providers. Outcome: recruit 15 new child care home providers.
OBJECIVES ACTIVITIES TIMING MWASUREME'T
■ To support 15 child care • Provide mentoring support 5 each 3- • Completion ,_
home providers to become for 3 months month j 7('% ) goal::
licensed period for mentorinz
program
FTo support 15 child care • Grant up to $350 to each 15 each 3- • Distr:bution• f
home providers with stipends provider who adds slots for month grant finds
to assist with licensing costs targeted populations period T—
L2.. Expand the Mentor Program an additional six months to impact retention of home care providers
—I
and reduce the high turnover rate. Outcome: retain 10 child care home providers J
OBJECIVES ACTIVITIES TIMING I MEASUREME T
I " To support licensed home • Provide a mentor for up t:i 6 ` Throughout • C ampletion . f
providers to remain in months grant period. 70% .a(goaii
business • Provide training stipend fbr for trentorin:
successful completion of plop am
goals and remaining in I • Distribution •f.
business 9 months giant binds it
! stipenc �j
EXHIBL r A
PAGE 7O '17
I • To increase services to ; • Provide stipend for service I Throughout • Distribution of
targeted populations by to targeted population I grant period grant funds for
mentored providers and • Provide stipend for i service and
current providers willing to materials appropriate for i approved
increase capacity to serve j service to targeted rr_ateriais
targeted popuations I populations i _
INCREASE CHILD CARE QUALITY
3. Create and implement a Professional Development plan for child care center personnel. child care _
home providers and exempt child care home providers. Outcome: improved quality of child care
_services for infants, toddlers. and young children including children with disabilities. _
OBJECIVES I ACTIVITIES I TINIING ' MEAS1)REMENm J
f • To improve curriculum and • Revise prelicensing ' • Month ■ Pro«ide
delivery for prelicensing curriculum 1-5 prel.cenLs:ng
training for child care homes • Revise prelicensing videos • Month trair..ing tpr 10
1-5 providers using
• distance
educ:ati)n
• Provide prelicensing • Month • Obtain
training for new or exempt 5 1 O feecbacic
family child care providers ! regErdiag
using a distance education effectiveness
format o f training
■ Develop and implement a • Provide academic advising • Upon • Professional
Professional Development for providers to determine funding Develoornent
Plan for currently practicing mechanism for meeting Plan for '.0
home or center providers in professional development participants
order to improve quality of goals
care
• Provide tuition. books, • Through • Crraat funds
conference fees, cost'of out grant disr.-ibtLtion
substitute coverage, stipend period and successful
and/or child care costs for completion of
successful completion of Pro.'ess ional
Professional Development Development
Plan Plan _
EXHI UT A
PAGE 8 )F 1
CONSUMER EDUCATION
4. Develop consumer education materials to provide information on child care resource and referral.
I quality care, subsidies and tax incentives targeted to the business and rural communities of',Veld
County. Outcome: Increased calls to Child Care Resource and Referral
OBJECIVES j TIMING 1, MEASURE /IEI\•
■ To increase awareness of I • Develop and distribute • Through j • Calls to
child care availability and posters and brochures on out grant CC'Rckf' will
quality to working families information about child care period increase by •
resources 10%
• Distribute materials to I.5( • Increase calls
businesses from individt~..1
■ Create an ad campaign for client: tnroue
billboards, bus benches, bu3ines es b�
newspapers, etc to increase 20)/0
access to child care ■ Increase calls
■ Disseminate advertising frc m rural
• } efforts in rural areas of conur.unities
County by 20%
i
■ Provide information to rural
school on school age care
options _
• To create materials to I • Create recruitment materials {: • Through • Licensing
educate and recruit and • Disseminate recruitment out gran: I inquiries will
support potential providers materials through home period ! increase by
visitation programs and
other means _L_ _�_.
Provider selection: The current subsidy programs operated by United Way of Weld County are open e
all licensed providers. This group will be the base of retention and service expansion efforts for home
providers. The Colorado Division of Child Care listing of individuals requesting licensing packets wii
•
be the target of new provider contacts. Training candidates will be selected based on whether the cent r
or home where they are employed has a license in good standing. We will strive to serve as many
centers and communities as possible, limiting participants from each center to one to two people _Hon e
provider candidates including exempt providers will have access to prelicensing training tapes (distant
education), Learning Cluster training and Weld AEYC training through frequent mailings.
Outreach: Outreach activities will be accomplished through the Consumer Education goa. and
activities stated above. Our intent is to prioritize rural consumer education and recruitment efforts.
United Way's involvement with the business community through its annual campaign will allow
distribution of consumer education materials to a greater number of businesses without adding cost. ?
communication kit is sent to the 25 largest companies in Weld County on a quarterly basis. Child Car'
information produced through this campaign will be included in :hese kits. All advisory ccmmittees a id
supporters of this project will assist in outreach efforts. A cooperative effort with Learning Cluster
training and Weld AEYC training will give providers additional zhoices for their training needs. Share i
mailing lists will facilitate access to providers.
EXHIB:r A
:PAGE 9 o' 17
Staffing:
The Weld County Department of Social Services selected its contractor, United Way of Weld Cou,-ity,
because of its role in the community as:
• The location for the Child Care and Resource and Referral and in partnership with liras
Community College to operate the Child Care Resource and Referral Program in Weld County.
• The agency involved in providing resources for families and children who require child care
services beyond Social Services' capacity to serve because of income guidelines and for
employers who need technical and direct services related to tax incentives and related act vities
for their employees who need child care services.
United Way of Weld County staff:
• Judy Kron, Director, Community Problem Solving and Programs
• Rudy Pisano, Coordinator, Child Care Resource and Referral
• Susan Krcrnarik, Coordinator, Family Support Network
Aims Community College staff
• Kathy Hamblin, MA; Program Director, Family and Life Education
• 'Judy Gump, MA, Assistant Professor, Early Childhood Professions
• Rebecca Ward, MA, Assistant Professor, Early Childhood Professions.
Program success: The Weld County Department of Social Services will measure the succes.; of tie
program by the project goals of retention and growth of child care capacity established for the program
and a significant increase in capacity in rural areas and shift work care. In addition to capacity growth,
the project will be measured regarding increased usage of child care information and referral, enhanced.
mentoring, and incentives for training.
The contractor and subcontractor will submit quarterly reports and billing to the County Depfrtment for
timely and thorough monitoring of progress toward stated goals. Progress of children will be addressed
through increases in number of children enrolled in homes.and centers and anecdotal information about
developmentally appropriate services to children.
Licensing issues: Our project will address initial licensing issues for new home providers tlrou2,h
mentors and stipend for partial licensing costs. Mentors will also address ongoing or unmet licensing
needs of existing home providers. Center licensing issues will be referred to Licensing Specialists in the
Office of Child Care Services.
Children impacted: Our project will have the greatest direct impact on the 45 child. care providers why
participate in start-up and/or training activities. Additionally, up to 270 children could beneft from this
program through higher quality early care and education opportunities available to them. Our Consume:
Education efforts will impact untolled numbers of children and families. More importantly, both center
and home providers will have a firm foundation in the concept of start-up and providing high quality
care for young children, especially those children in targeted population groups. Given the high needs o!
Weld County, the additional low-income children served will at least match county demographics
SECTION C— COORDINATION/COLLABORATION, AND LOCAL MATCH
Coordination/ Collaboration: The development of this project is the result of a collaborative effort
to identify child care and youth supervision needs in Weld County. A previous planning grant funded
by the Colorado Department of Human Services resulted in key entities in the community committing
:her organizations to the improvement_ enhancement, and ongoing development of child care and youth
supervision opportunities in Weld County. These.key entities include: Weld County Government
including Social Services, Head Start, and Public Health; City of C reeley; City of Evans; Weld 3OCES
Aims Community Collage; School District Six; and United Way o-'Weld County. This task force is
EXHII IT;1
PAGE 10 F 17
focused on identifying gaps in services for children aces 0-5 years. 3-12 years and for i=-18 vear: .
group provides input and access to community-based information.
The Weld County Department of Social Services has :tad other successful collaborative eiotts inL1udint
the development of a migrant housing project and comprehensive sousing plan. and welfare reform
initiatives
Each area of our plan has had input from an advisory committee. The Family Support Network. made
up of business representative provides support to the incentive programs and the consumer e Iuc_tion
plan. The Child Care Resource and Referral Committee made up of providers, early childhood
educators, child agency representative and consumers also gives input to the incentive programs and ha:
a training subcommittee and a public relations subcommittee. The Aims Community College Early
Childhood Professions program has a very active Advisory Committee made up of child care pr-riders
trainers and community representatives. This committee regularly reviews curriculum and program
offerings.
United Way of Weld County through its Family Support Network has been working with community
businesses to increase awareness and involvement in child care issues. The Family Support Network
operates a community and business child care subsidy program. In addition, United Way of Web
County has facilitated the Weld County Child Abuse Coalition for over ten years and the Weld .aunty
Family Early Intervention Collaboration for the last four years.
The Aims Community College Early Childhood Professions program has managed several gran: _Uncle,_
training initiatives including: Great Beginnings—a L.S. Department of Education grant to ::rain
paraprofessionals in the care of infants, toddlers and young children with special needs; a CO
Department of Human Services Infant/Toddler Quality Expansion grant (2nd year); and most recently, a
Title V grant to serve Hispanic populations in south Weld. The College has collaboratively_' xtth Weld
AEYC in providing space and trainers for Learning Cluster training.
Child Care Resource and Referral is managed through a United Way of Weld County/Aims Co_rmunil
College Partnership. This project, in its second year, provides a unique, cost-effective way t) cocrdinar
services. Additional local supporters of this project include Family Connects, Weld. Chapter of
Colorado Child Care Association, Family Child Care Home Association, Weld County Professionals
Child Care Association. These "players" have consistent contact with the majority of families in he
county who need child care thus the use of local resources to benefit children and families. ]t is the goa
of these supporters to make best use of community; resources without duplicating efforts and uhirnatel'
serving children and families.
Local Match: Local matching resources include use of Family Connects and Learning Cluster dollars.
United Way of Weld County dollar and in-kind match, and Aims will provide support to the ad
campaign through their graphic design department.
The in-kind and cash match to this program far exceeds the required level. The in-kind or cash match
includes most staffing, space at Aims Greeley and Ft. Lupton campuses, bookkeeping and o.fice
materials
SECTION D: PLAN FOR CONTINUATION AFTER GRANT ENDS
The United Way of Weld County/Aims Community College partnership around Child Care Resource
and Referral activities is committed to continuing this program as evidenced by the child care services
already started. In addition Aims Community College has committed the expertise and time of their
grant writer to finding other sources of funding. The CORRA funding formula provides incentives to
expansion of slots that will translate into additional CORRA resources to continue this effor_. United
Way of Weld County has increased support to child care issues by 340% in the last two years. The
commitment to this important need area is a funding priority.
COLORADO DIVISION OF CHILD CARE =ti1 ACF?‘LF,kIiI$1 i A
P Rail;'E H Z), 17
COLORADO DIVISION OF CHILD CARE
LET ITEM BUDGET AND BUDGET NARRATIVE FORM
**Instructions for completing this form are on the following page.**
Child Care Quality Expansion Project - Line Item Budget.
!Applicant: Weld Counry Department of Social Services
Funding Period: 9/1/00 to 6/30/01
r--Y LICENSING PROGRAMS
BUDGET FOR DIRECT COSTS OF CHILD CAREAMS
Item State Cost Local Match Total Cost
I.PersonnelSalaries $3320 $11008 $ 43::8
•
2.Fringe Benefits $275 $1769 I $2044 _
3.Travel $642 S800 ! $1442
i 4. Supplies i $28420 $1300 $297:20
5. Equipment -0- S1000 1----- -1-0-C(5----
.
6. Other(specify) $21335 $9420 $:i07.):
•
Mentor stipends:
Incentive 2325
Retention 4750 !
Expansion 5000
! Tuition 3360
Preiicensing training 850
Substitute costs 4800
Chi.d care 250
Sub_Total-Child Care Prog. I $53992 j S25297 $79289
r---I COUNTY ADMINISTRATIVE COSTS
Budget Categories ! State Costs Local Match** I Total Costs
L_ Specify costs below -{i
SubTotal-Admin. $6000 $6000 f
Grand Total $59992 I S25297 $85289
Incentive/Retention/Consumer Education ExxIBI •A
Budget Narrative PAGE 12 or 17
Personnel Request Match
Staff: 5 hrs. per week for 36 weeks @ 39.00/hr = 31.620
September 1, 2000 thru June 30, 2001
.25 Coordinator time @320.18 S 0.43
Fringe Benefits
$1.620 x 17% _ 3275
.25 Coordinator benefits 881, '69
Sub Total $1,895 $ (2.177
Travel
4 trips per month x 10 months x 50 miles per tr.p x S.30/mi. = 5600
In kind travel $800
Supplies
.. Incentive Grants 15 x$300 $4,500
Retention Grants 10 x 3455 34,550
Consumer Education Supplies:
Greeley Tribune Ads $90 per month x 10 months = S 900
County Community papers 6 at various rates for 10 months = $1,530
Windsor Area Billboard S 400
Ft. Lupton Area Billboard S 400
Posters 3 800
Brochures (Development & printing for 5,000) S 950
Display racks for brochures (,500 @ 3.50) 3 250
Flyers — 500 @. $.03 = 3 . 150
Office supplies Si M
Incentive match $3000
Sub Total 314,430 33100
Equipment -0-
Other
Incentive Mentor Stipends = $2,325
Orientations 15 x $30 = $450
Candidate Meetings 15 x S25 = $375
Shadow Expenses 15 x 350 = $750
Phone Support = 15 x $50 =3750
Retention Mentor Stipends = $4,750
Trainings 10 x S75 = 5750
Bi-weekly meetings x 6 mo. x 10 mentors x $25 = $3,000
Mentor meetings — 4. x 10 months x $25 = $1,000
Expansion Stipends — 10 @ 3500 = 35,000
Stipend match $-1000
Occupancy 3620
Sub Total $12,075 34620
TOTAL 329.000 _$20697
EXII1SIT A
PAGE 13•)F17
TRAINING BUDGET NARRATIVE
Personnel Request Match
Instructor for prelicensing video curriculum development
50 hours @ SlOper hour 3500
Coordination @ $10/hr x 120 hours (40/quarter) 31200
Coordination @ $10/hr x 30 hrs $_;00
Support staff @310 x 10 Ins x 3 quarters S;;00
Subtotal $1700 $o00
Fringe Benefits -0-
Travel
Mileage for trainer @$.28/mile, 150 miles $42
Supplies
Office supplies 3400
Marketing of training program, mailings and brochures $300
Stipend for 10 home providers completing
prelicensing training @3100 $1000
Stipend for 20 students completing Professional Develoment
Plan goals @ 3100 32000
Video production for revision of prelicensing training $8790
Textboots@$50 for 1C students, 3 courses each $1500
Subtotal $13990 •
Equipment
Training materials $".000
Other
Tuition: $28 per credit x 10 students x 12 credits $3360
Training costs for prelicensing training @$85 x 10 students $850
Substitute costs: $8/hour x 120 hrs x 10 students
50% to cover cost of staff replacement
while employees are in class $4800
50% employer in-kind so that staff
are paid for training time $4800
Child care: 25 hours @$10/hr $250
Subtotal S9260 $4800
TOTAL $24992 $6400
E xH I 31T A
_ _____ --- - ---- PAGE 14 )F 1'
,,tor ....:1-s.
F \.2,
S
i Community Coles i
J
June 23. 2000
Scott Raun, Grant Specialist
Colorado Division of Child Care
1575 Sherman St. 1n Floor
Denver, CO 80203-1714
Dear Mr. Raun
On behalf of United Way of Weld County and Aims Community College we are
pleased to be submitting with the Weld County Department of Social Services this
Child Care Quality Expansion proposal. The goals of this proposal are consistent
with our individual missions and will improve needed services to children and
families in our service areas. We have a partnership that operates the Child Care
Resource and Referral program in Weld County. Our partnership is established and
evidence of existing collaborative efforts. Additionally, the populations served r'V
both organizations stand to benefit from the services targeted by this proposal.
The Child Care Resource and Referral program has a long standing working
relationship with Weld County Department of Social Services. We provide assistance
and services to both CCAP and TANF clients. In addition, a representative of the
Department serves on the Child Care Resource and Referral Advisory Committee.
All three entities are partners in the Child Care and Youth Supervision Task Force
and have been working on the program for two years.
United Way of Weld County is committing both cash and in-kind support to this
project far exceeding the requirement. Aims Community College will also provide
substantial commitment of in-kind support. The project coordinators, Judy Kror. and
Kathy Hamblin will direct the efforts of this project at no cost to the project.
We are pleased to provide this proposal and look forward to providing badly needed
services to expand and improve quality child care in Weld County.
S incere lc - ----N
7e
\,lam A.n rs r-�--,
annine Truswell Paul Thompson
Executive Director President
United Way of Weld County Aim community College
EXHIB T A
PAGE 15r�F1"
United Way urcomnc ;orrams
of Weld County at45..7enc:es and
VW r•racmtaaag•
814 9th Street P.O.Box 1944 Greeley,CO 80532
970/353-4300 970/353-4738 Fax 8)0/411-8929 twor , ctos.cOrn Ong r:-3eg:nntnga
:2mtly SLp;.rt Network
School Vou r aer 'rotect
Vttunteer Res; me Center
June 21, 2000 welt Couity Child Ab e Coalition:
:ASA
Pr: )cot'roiect
Scott Raun, Grant Specialist
Colorado Division of Child Care
1575 Sherman, 1st Floor
Denver, CO 80203-1714
Dear Mr. Raun
It is our pleasure to support the Child Care Quality Expansion grant being jointly
submitted by Weld County Department of Social Services, Aims Communiry
College, and United Way of Weld County.
Our Task Force is and outgrowth of the Child Care and Youth Program Task Force
of Weld County created in the Fall of 1998 through a Child Care Quality Expansion
grant to initiate a collaborative and coordinated child care improvement plan. The
Task Force conducted a survey of parents in Weld County. This proposal will
address many concerns from that study. Quoting from the Executive Summary
`There were many familes in this study ... who reported difficulties finding and
accessing childcare services, including many who had reported giving up a job
because of childcare difficulties. Respondents believed that childcare needs for
children age 5 and under in their communities included infant care... Families with
children age 6 and older had similar childcare and child supervision difficulties.
Families with older age children felt there was a lack of childcare... "Our Task Force
is gathering data about child care services, identifying gaps and hopes to suggest
solutions to close those gaps. The consumer education portion of this grant will help
disseminate the data gathered by our Task Force and this program will begin to
address several of the gaps identified in our survey. This project will support the
efforts of all who have worked with us the last two years to develop a plan and
institute programs to expand and improve quality child care in Weld County.
encuaae ✓se .o4 1te.:ceZ' ca :, 44e. cy�nte,ysf-;"•
sr�/ir�2a' sped,/cmind� to ,1 . �.e co-'cvneerr
r, f.4 ez. /Lc4nta,L CGLie/Ikro 07ne.
EXHIa T A
PAGE 16o 17
We the Executive Committee of the Weld County Child Care and Youth Supervision
Task Force representing our partnership. are pleased to support this proposal.
Sincerely,
int
Ken Nickerson, Facilitator, Pam Bricker
Aims Community College United Way of Weld County
Jon Eastin Dale McCall
School District Six Centennial BOCES
/1
'soCU 3•52.4
Sherie Calvillo Melanie George-Hernandez
City Councilperson City Councilperson
City of Gr7eley City of Evans
i
Mike Geile
Commissioner
Weld County Goverment
ExttILIT A
PAGE 17 'F 17
7.
Weld County Family Child Care Association
June 27,2000
TO WHOM IT MAY CONCERN,
The Weld County Family Child Care Association enthusiastically supports United
Way of Weld County, Weld County,and Aims Community College in submitting a
proposal to the Colorado Division of Child Care to develop a program that meet the needs
of our community.
This program is greatly needed within our service delivery area to address, recognize and
meet the multiple and complex needs of families as well as their children. Weld County
deals with families and children of substance abuse, mental illness and depression In our
early childhood programs there is an increased need of caregivers: 1)to obtain skills or
coping effectively with children with challenging behaviors and needs, and 2)being able to
access community supports available.
These agencies are willing to commit time and energy to make services available to
meet the challenging needs within our community in a timely and appropriate mariner to
service children and their families.
It is our belief that this collaboration with local control will be effective in sharing:and
delivering services that are needed within our community. Should you have any questions
concerning our support, please feel free to contact meat 970-339-9554.
•
Sincerely,
Patncia A. Schwindt,President
Weld County Family Child Care Association
COLORADO DIVISION OF CHILD CARE
(RANT APPi.;C.-.Tip D9Ri if t#]
plIAGE3, OF12
1 APPLICATION SUMMARY FORM -
j Countyeoartrnent
(please give full departmental name) Weld County Department c Social Services _^__________
Address: P O. Box A - -- - -
City/State/Zip: Greelev, CO 806=',2 -----
County Department Ccntact Person: Judy A. Grieco _ -
Phone Number: (970) 352-1551 ext. 6510 Fax Number: (970) 353-5215 _ - _
E-Mail Address: 2riemiallco.weld.co.us Amount Requested: S40.000 (revised 8/7/001
Federal Employer Identification Number(FEIN): _� -_
r—Type of Grant I Funds will be used for
(check one) 1 (check all that amply) — i
New child care facility start-up X Minor renovation
Existing child care facility expansion X Equipment/supplies
Expanding the quality of care in target
X communities X Costs to meet licensing requirements
X Training
X Consumer Education
—
tafUoperating
:f so, you must explain, a.; par of ur
-espouse to Section E, how tt.e program ill
continue to pay these costs afte-grant ends
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
Site has a valid license from the Colorado Dept. of
X Human Services X :_nfants/Toddlers
X Children with special needs Colorado Pre-school Program
Public school site Children in Chapter 1 local school district_
Migrant and seasonal workers Family resource centerischooi
X Private-for-profit center X Full-week care
X Evening/weekend care Area of high crime or poverty
Wrap-around child care(part-day) Other(specify):
I certify that the information provided in this application is, to t.e 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 budge: and to adhere to all assurances, certifications, terms, conditions, Ind other
requirements contained in this application and in the RFA.
Sicnianae of person authorized to contractually commit the County Department of Social Service;:
4,4_ / / 5 08;03, ?000
Barbara J. Kir'kmever r ).,.c c-tit• ,./ ) , .C/!u �-
Print Name Chair Si¢nature J Date
ADDEND vi*I
PAGE 2• .F12
CHILD CARE QUALITY EXPANSION GRANT
SECTION A: NEED FOR THE PROJECT AND EXPECTED IMPACT/BENEFITS
Areas to be served, gaps: Weld County has a population of over 160,000 (ED:IP, 1998) including ove
44.000 (28%) children under the age of 18 (Kids Count in CO, 199"`98). According to the Colorado
Children's Campaign, county report_ children needing care in Weid County was 7392 and available
licensed spaces was 3972 for 199G. Child Care Resource and Referral has data for 293 licensed riomes.
serving 1053 children and 39 centers, serving 3121 children. Child Care Resource and Referral receive:
103{) calls in 19S8-99. Over the past 12 months, 35% of the calls were for infant care. At this time
there are NO vacancies for infants in child care homes. Total vacancies for the county average le.s than
10% of capacity for any given facility. Twenty percent of homes have wait lists for infant cue.
Compounding the problem is the attrition rate for home providers. That number has remained s:ag.nant
for the past 2 years. Families seeking care for shift work often are left with few available options.
Another gap in service occurs for families seeking care for multiple children in the same fac:lity.
Openings often do not exist for each of the siblings needing service.
Weld County covers over 4000 square miles,the one of the largest counties in the state. The
communities to be served by this project include all of Weld Courry including unincorporated areas.
municipalities and Greeley. The 1999 unemployment rate was3.6"o for both Greeley and Weld County.
Per capita income for Weld Counts is S21,723, compared to $29,888 for Colorado and$7,2,"2.03 for the
nation. Weld County has many low paying agriculture-related and service sector positions which
contribute to the low per capita income, thus, our low-income population is significant.
The problem of limited availability of high quality programs and successful outcomes for ctildren
especially infants and toddlers and children with special needs, is always a concern in Weld County as :
is across the nation. The limited number of trained individuals to provide quality programs for c ildrer
in group care is verified by "Help Wanted" ads in the newspaper week after week.
Weld County has been able to serve the requests for care by those parents at 185% of povery or neiov,
with the availability of child care. Weld County, along with the rest of the state, strives for auaiity,
developmentally appropriate programs for our children. Just three local centers are accredited b'
N.AEYC standards. Turnover in child care center personnel and in family child care hone providers ,s
as high if not higher than the nationai average. We have lots of room for quality improvement .n Weic:.
County.
Many individuals considering becoming a licensed child-care provider, do not pursue licensing because.
they fear the paper work, continuing education and often do not have start up funds. Weld Informatioi:
and Referral's Child Care and Resource and Referral Program(now located at United Way of Weld
County) had an Ameri-corp placement for 24 months from 1996 to 1998 to assist providers to become
licensed_ Funds were no longer available after 1998 and the growth of licensed in-home care became
stagnant. The statistics provided in the chart below, led us to create the current incentive program to
expand our county's licensed capacity.
High Need Areas Capacity Total Slots Available Infant Sicts A vailab e
F Home Center Home Center I Home Cente
I,.ilt 16 175 0 1 9 ' 0 • )
acono 10 1 0 10 1 0 i 0 I ) i
0 � � s 0 1)
j Frederick ! 14 1 ,
I Ft. Lupton 1 154 72 114 1 1 8 14. ) �—
Greeley—Jefferson Elem 14 1 62 3 16 1 I _J
Cireeiey—B. Martinez Elem , 40 ! 0 16 0 I 1 �0 ____.
ADDEYDI :1#1
0
t) 0 1 P.-cGE 3 cr 12
Hudson 16 0
0 , 0 O 4
Windsor ; 256 188 ! 17
Inciudes 2 programs which provide 3/A only
The large rural area of our county presents many gaps in types of early care and educarion
services available to children and families, including care during nontraditional hours (shift care,:
care for infants and toddlers; care for young children with disabilities; overall quality of care for
young children; substandard exempt care and availability of qualified staff to provide services to
children and families.
In order to address these gaps in service we propose to increase the availability of affordable. gt.a;ity
early care and education for low income families through four means:
■ Increase availability of care through mentorina and incentives for start-up of licensed chid care
homes
■ Improve provider retention through mentoring and incentives for serving targeted gaps ih availabiii!v
...of care
• Improve quality of care through individualized training including prelicensing training in distance
format
■ Improve consumer education especially in rural areas.
Other funding: United Way of Weld County has committed the initial funding to the Incentive
P::ogram as well as additional staffing for oversight. CORRA's increase in funding for the 2000-2001
year will positively affect this program. Aims Community College has other training grants including t
Division of Child Care Quality Expansion grant (year two) and a federal Title V grant among others,
which will assist with the efforts of this project. Weld County has transferred a significant amount of
TANF funds to child care activities. In large part, this is due to their recent decision to increase ncorn
guidelines from 155% of poverty to 185% which allows more individuals to afford quality ;are.
Benefits to low income families: Our project will benefit low income and working parent:; by
increasing awareness and amount of quality child care available in Weld County especially for aifficu..
to-find services. Low income families are best able to afford licensed or exempt home care options,
both targeted by this proposal. The current relationship of the Fatnily Support Network and Child Ca:
Resource and Referral.to the Child Care Division of the Weld County Department of Social Services
creates a smooth pathway for low income families to access child care services.
The 1999 Cost. Quality and Outcomes Study states "High quality child care is an importan: element is
achieving the national goal of having all children ready for school." Their findings show the quality : f
children's experiences in child care affects their development and readiness for school. Children whc
attended higher quality programs performed better on measures of both cognitive and social skills. B-
•
improving quality of care in Weld County, we can positively affect these outcomes for our children.
SECTION B: PROGRAM DESCTIPTION, ADMINISTRATIVE CAPACITY AND
ACCOUNTABILITY
Goals and Outcomes: Our project will serve all of Weld County and target expansion_of service
through licensed home providers for infant/toddler, bilingual, off time (evening, overnight and
weekend), rural care. Our proposal will also expanc quality of chld care through training for botr.he ne
and center providers. We propose a comprehensive approach to child care quality and expansion for
Weld County. In order to impact the crucial need for licensed child care slots to serve :ars;eted
populations and shortages in certain types of care, in the 10 month time frame of this 2tan:, we prop,:;e
:o (Goals and Outcomes): •
ADDEND V3#1
PAGE 4,)F 12
1. Expand the Incentive Program. which provides incentives and mentorship for start-up
Licensed home care providers. Outcome: recruit 8 new child care home providers.
The United Way of Weld County Incentive Program will be expanded to help license addit.c nai
home providers, resulting in the creation of at least 40-60 slots for the targeted populatiors. Tae
program helps potential child care providers to become licensed by providing. financial incentives
and a one-to-one relationship between candidate and experienced provider for up to three :nc mhs.
pool of experienced, reputable, licensed providers will be trained as mentors. They will meet .vith
the candidate giving a realistic overview of licensed care responsibilities. Mentors will locus )n the
licensing process and the business aspects of the profession. Next the candidates will sht.do•v the
provider for Eve hours during a regular day of care. For the three months of the program, the "Lento -
will be available to answer candidate questions. Both mentors and candidates will have :egtiar
contact and oversight from the Child Care Resource and Referral Coordinator. Financial incentives
of$50 will include help in initial licensing costs (pre-licensing course, back roind checi:s. first aid
etc.). An additional$100 will provide improvements or supplies necessary to get licensed (fire
extinguisher, fence, etc.). A cash stipend of 3150 will be awarded once a provider begin; care of
.ghiidren from one of our targeted areas. The mentors will receive a stipend of$155.
2. Expand the Mentor Program an additional six months to impact retention of home care
providers and reduce the high turnover rate. Outcome: retain S child care home providers.
in order to enhance the likelihood of retaining licensed status, and reducing home provider turnove-
the current licensing initiative program will be expanded by an additional 6 months. Additional
training will be provided to mentors. Mentors will meet with -heir assigned provider.w ce i month
Mentors will also meet at least four times as a grcup with the Child Care Resource and Refer-al
Coordinator and other project staff, for training, support and problem-solving. The Mentor and the •
provider will set goals Together at the beginning cf the mentorship, based on the provider's
individual needs. Goals would be assessed monthly. Providers will receive a grant of uo tc $455.
$75 for training, $230 for materials and a cash stipend of 315(1 for successful comple:ion of tie
program(including meeting goals). Mentors will receive a stipend of$475 for training, meetings.
and the wore with the provider(see budget narrative for details). In addition, cash incentives of
$500 will be provided to centers and homes willing to make additional slots available to targeted
populations including shill care.
3. Create and implement a Professional Development Plan for child care center personnel, child
care home providers and exempt child care home providers. Outcome: improved quality of
early care and education services for infants, toddlers, and young children including children
with disabilities.
The training segment of this proposal offers Professional Development for child care he me and
center personnel With the assistance of career advisors,these 20 (minimum) individuals will crea e
their own individual Professional Development Plan(PDP). They will receive grant funds for the
expenses incurred by the PDP activities including workshop fees, college tuition, substitute
reimbursement, and child care costs. An individual's PDP could be based on hours of training
necessary to remain in good licensing standing or it could involve completion of collega coursewo k
leading to a certificate or degree in Early Childhood Professions. Major sources of training will
include Preiicensing Training using distance education format, Learning Cluster training_ co-
sponsored by Weld AEYC, Early Childhood Professions classes at Aims Community College.
Certificates available through the EC? program:nclude: Group Leader, Center Director,
Infant/Toddler Care and Great Beginnings (caring for children with special needs). Trrinees coulc
also earn an AAS Degree in Early Childhood Professions. Each of these programs is approved b.
the State governing board for community colleges (CC COES). The content of each training sessi:n
(workshop or class) meets guidelines for developmental appropriateness. Upon successful
completion of the PDP, individuals will receive a cash stipend for their efforts. Additional monie
ADDENDU #1
PAGE 5 o 12
will be used to revise and upgrade prelicensing distance education curricuium. Recruited loll.:
providers (especially in rural areas of the County) will have the option to complete preiicensu:g
training from:he convenience of their home. Given the well-researched connection be:am:en:rainir:.
and quality in early care and education, this segment will result in enhanced age-appropri2.te
educational. social, cultural, emotional and recreational development of children - depencinv on the
goals of the individual's PDP.
4. Develop consumer education materials to provide information on child care resource and
referral, quality care, subsidies and tax incentives targeted to the business and rural
communities of Weld County. Outcome: increased calls to Child care Resource and Referral
This goal includes a general media campaign to place ads in the newspapers, billboards and rezuiar
press releases to all media. The main emphasis is on providing information to working families and
rural communities. The poster and brochure campaign is targeted at major and mid-size :irirs in
Weld County. The rural campaign will target media in Windsor, Ft. Lupton, Erie IDacotro
/Frederick/Firestone, Hudson/Keensburg, Platteville /LaSalle 'Gilcrest, and Johnstown/Milliken.
In addition, material.will be prepared to help recruit new providers. We will target new rnotaers
.who might consider caring for additional children as licensed home providers in order to earn
income while staying home with their own child
it is the intent of Weld County Department of Social Services to address these goals by contracting wits
United Way of Weld County. Aims Community College will act as a subcontractor in this project.
CHILD CARE QUALITY EXPAri-SIGN,
I GOALS, ACTIVITIES, TIMELINES AND MEASUREMENTS _. ,
i INCREASE CHILD CARE CAPACITY _
1. Expand the Incentive Program, which provides incentives and mentorship for start-up of licensed
'. home care providers. Outcome: recruit 8 new child care home providers.
OBJECIVES ACTIVITIES .i TI IING I IvIFASUREME`i I.
• To support 8 child care home I • Provide mentoring support 5 each 3- r • Completion r providers to become licensed j for 3 months • month 70'%u c f goals
period for meritorin
pr'ffam
= To support 8 child care home • Grant up to $350 to each 5 each 3- " Distribution : F
providers with stipends to provider who adds slots for I month (YrInt funds
assist with licensing costs targeted populations _ ; period i
r 2. Expand the Mentor Program an additional six months to impact retention of home care providers
and reduce the high turnover rate. Outcome: retain 8 child care home providers
OBJECIVES ACTIVITIES TIIvUNi G IvEASURENiE T i
■ To support licensed home • Provide a mentor for up to 6 E Throughout • Completion f
providers to remain in months grant period 70% .Of goals
business • Provide training stipend for j cr rr.entorir_:
successful completion of program
goals and remaining in • Distribution t
business 9 months I "ant tunas : )r
. stipee::1c: 1,
ADDENDUM tl
6 o t2
• To increase services to • Provide stipend for service ! Inroughout • • Distribution of
targeted populations by ! to targeted population _rant period grant Binds for
mentored providers and ■ Provide stipend for service and
current providers willing to materials appropriate for approved
ncrease capacity to serve service to targeted , materials
:argeted populations populations __
+
INCREASE CHILD CARE QUALITY
3. Create and implement a Professional Development plan for chile care center personnel, child care
home providers and exempt child care home providers. Outcome: improved Quality of child care
services for infants,toddlers. and young children including children with disabilities.
OBJECIVES i ACTIVITIES TIMING MEASUREMEN":
•To improve curriculum and i • Revise prelicensing • Month 1 • Provide
delivery for prelicensing ' curriculum 1-5 I prelicensmg
training for child care homes • Revise prelicensing videos • Month j training for 10
1-5 pro-rider usin
i a distance
education
• ■ Month • Obtain
Provide prelicensing
training for new or exempt 5-10 feedback
family child care providers regarding
using a distance education effecti"reaess
i format i I of training
■ Develop and implement a • Provide academic advising • Upon I • Professional
Professional Development for providers to determine finding De•relcpment
Plan for currently practicing mechanism for meeting Plaa fc:r 10
home or center providers in professional development I par:icinants
order to improve quality of goals
care •
• Provide tuition, conference �. • Through % • Grant funds i
•
fees, cost of substitute I out grant distribution I
i
coverage, and/or stipend for j period and successfi.
successful completion of completion or
• Professional Development i Professional
Plan
Development
� i i
Pi n
ADDENDU'!#1
PAGE 7oF 12
CONSUMER EDUCATION -_ _
1 I)evelop consumer education materials to provide information on child care resource and iefe.ril.
quality care, subsidies and :tu incentives targeted to the business and rural communities of Weict
County. Outcome: Increased calls to Child Care Resource and Referral
OBJECIVES ! . TIMING I MEA3Z.;REMENT
1'o increase awareness o f • Develop and distribute ' Through I • Calls to
child care availability and j posters and brochures on I out grant [ CCR&R will
quality to working families ; information about child care period I increase .;v
resources 10%
• Distribute materials to 150 ( • Increase calls
businesses from individual
' Create an ad campaign for clients t:irough
billboards, bus benches, I businesses by
newspapers, etc to increase i ?0% i
access to child care j • Increase calls i
• Disseminate advertising frotr rural
. I efforts in rural areas of common tries
County i by_J%
■ Provide information to rural
school on school age care
options —.
• To create materials to ' Create recruitment materials ' Through ' Licensing •
educate and recruit and • Disseminate recruitment out grant ; inquiries will
support potential providers materials through home period I increase ay
I j visitation programs and �z o,
I ;
L____L , other means i .
Provider selection: The current subsidy programs operated by United Way of Weld County are open t.:
all licensed providers. This group will be the base of retention and service expansion efforts for home
providers. The Colorado Division of Child Care listing of individuals requesting licensing packets will
be the target of new provider contacts. Training candidates will be selected based on whethe-the center
or home where they are employed has a license in good standing. We will strive to serve as clam'
centers and communities as possible, limiting participants from each center to one to two pec pie. Home
provider candidates including exempt providers will have access to prelicensing training tapes (distance
education), Learning Cluster training and Weld AEYC training through frequent mailings.
Outreach: Outreach activities will be accomplished through the Consumer Education goal and
activities stated above. Our intent is to prioritize rural consumer education and recruitment effo:ns.
United Way's involvement with the business community through its annual campaign will allow
distribution of consumer education materials to a greater number c businesses without adding cost. A
communication kit is sent to the 25 largest companies in Weld County on a quarterly basis. Mild Care
information produced through this campaign will be included in these kits. All advisory conunirtees ar
supporters of this project will assist in outreach efforts. A cooperative effort with Learning Cluster
training and Weld AEYC training will give providers additional choices for their training needs Sharee
mailing lists will facilitate access to providers.
ADDENDC S#1
PAGE :•Q 12
Staffing:
The Weld County Department of Social Services selected its contractor. United Way of Weld C)unto.
because of its role in the community as:
• The location for the Child Care and Resource and Referral and in partnership with Ams
Community College to operate the Child Care Resource and Referral Program in We id County.
• The agency involved in providing resources for families and children who require child care
services beyond Social Services' capacity to serve because of income guidelines and for
employers who need technical and direct services related to tax incentives and related activities
for their employees who need child care services.
United Way of Weld County staff:
• Judy Kron, Director, Community Problem Solving and Programs
• Rudy Pisan(); Coordinator, Child Care Resource and Referral
• Susan Krcmarik, Coordinator, Family Support Network
Aims Community College staff
• Kathy Hamblin,MA;Program Director, Family and Life Education
• : Judy Gump, MA, Assistant Professor, Early Childhood Professions
• Rebecca Ward, MA, Assistant Professor, Early Childhood Professions.
Program success: The Weld County Department of Social Services will measure the success of the
program by the project goals of retention and growth of child care capacity established for tne program
and a significant increase in capacity in rural areas and shift work care. In addition to capacity growth.
the project will be measured regarding increased usage of child care information and referral, enhance::
'motoring, and incentives for training.
The contractor and subcontractor will submit quarter:y reports and billing to the County Deparment fc
timely and thorough monitoring of progress toward stated goals. Progress of children will he addresses.
through increases in number of children enrolled in homes and centers and anecdotal information abou
developmentally appropriate services to children..
Licensing issues: Our project will address initial licensing issues for new home providers .hrouJh
mentors and stipend for partial licensing costs. Mentors will also address ongoing or unme-. licensing
needs of existing home providers. Center licensing issues will be referred to Licensing Specialists in 7.ie
Office of Child Care Services.
Children impacted: Our project will have the greatest direct impact on the 45 child care providers w;:o
participate in start-up and/or training activities. Additionally, up to 270 children could benefit from th s
program through higher quality early care and education opportunities available to them. Our Consurr er
Education efforts will impact=tolled numbers of children and families. More importantly, both center
and home providers will have a firm foundation in the concept of start-up and providing high quality
care for young children, especially those children in targeted population groups. Given the hig.a needs )f
Weld County, the additional low-income children served will at least match county demographics.
SECTION C —C0ORDL 1ATION/COLLABORATION, :AND LOCAL MATCH
Coordination/ Collaboration: The development of this project is the result of a collaborative effort
tD identify child care and youth supervision needs in Weld Counry. A previous planning grant Funded
by the Colorado Department of Human Services resulted in key entities in the community committing
their organi7at:ons to the improvement, enhancement, and ongoing development of child care and youth
supervision opportunities in Weld County. These key entities include: Weld County Government
including Social Services, Head Start: and Public Health; City of Greeley; City of Evans; Weld BOC:.S;
Aims Community Collage; School District Six; and United Way of Weld County. This ta:.k force is
ADDENDUM 41
P,�c$fits 12
focused on identifying gaps in services for children ages 0-_ years. =-1 years and for 13-IS ears. Ue
group provides input and access to community-based information.
The Weld County Department of Social Services has had other successful collaborative e( brts ii c.ud r ti
the development of a migrant housing project and comprehensive housing plan. and welfare reform
:nit iatives
Each area of our plan has had input from an advisory committee. The Family Support Network, made
'in of business representative provides support to the incentive programs and the consumer ec ucat.on
olan. The Child Care Resource and Referral Committee made up of providers, early childhood
edtcators, child agency representative and consumers also gives input to the incentive programs and ha:'
a training subcommittee and a public relations subcommittee. The Aims Community College Esry
Childhood Professions program has a very active Advisory Committee made up of child care providers.
trainers and community representatives. This committee regularly reviews curriculum anc program
off.rings.
United Way of Weld County through its Family Support Network gas been working with community
businesses to increase awareness and involvement in child care issues. The Family Support-\ietwork
operates a community and business child care subsidy program. In addition, United Way of Weld
County has facilitated the Weld County Child Abuse Coalition for aver ten years and the Weld County
Family Early Intervention Collaboration for the last four years.
The Aims Community College Early Childhood Professions program has managed several gran: fundec.
training initiatives including: Great Beginnings—a U.S. Department of Education grant to t.-ain
paraprofessionals in the care of infants, toddlers and young children with special needs; a CO
Department of Human Services lnfant/Toddler Quality Expansion grant ( ."d year); and most recently,
Title V grant to serve Hispanic populations in south Weld. The C?liege has collaboratively wita Weld
AEYC in providing space and trainers for Learning Cluster training.
Child Care Resource and Referral is managed through a United w ay of Weld County/Aims Cc mmunit
College Partnership. This project, in its second year, provides a unique, cost-effective way m coordint.'e
services. Additional local supporters of this project include Family Connects, Weld Chapter of
Colorado Child Care Association, Fmmily Child Care Home Association, Weld County Professionals
Child Care Association. These "players" have consistent contact with the majority of families :n the
county who need child care thus the use of local resources to benefit children and families. It if the g_: 1
of these supporters to make best use of community;resources without duplicating efforts and uitmatei:
serving children and families.
Local Match: Local matching resources include use of Family Connects and Learning Cluster dollars:
United Way of Weld County dollar and in-kind match, and Aims will provide support to the ad
campaign throt'gh their graphic design department.
The in-kind and cash match to this program far exceeds the required level. The in-}rind or cash match
includes most staffing, space at Aims Greeley and Ft. Lupton campuses, bookkeeping and office
materials
SECTION D: PLAN FOR CONTINUATION AFTER GRANT ENDS
The United Way of Weld County/ Aims Community College partnership around Child Care Resource
and Referral activities is committed to continuing this program as evidenced by the child care service:.
already started. In addition Aims Community College has committed the expertise and time of their
grant writer to finding other sources of funding. The CORRA funding formula provides incentives to
expansion of slots that will translate into additional CORRA resources to continue this effort. United
Way of Weld County has increased support to child care issues b:' 340% in the last two years. The
commitment to this important need area is a funding priority.
ADDEND'•A#1
PAGE 10 c'F 12
COLORADO DIVISION OF CHILD CARE
LINE ITEM BUDGET AND BUDGET NARRATIVE FORM
Child Care Quality and Availability Improvement Grants - Line Item Budget:
County Weld-County Department of Social Services
Funding Period: 9/1/00 to 6/30/01
BUDGET FOR DIRECT COSTS OF CHILD CARE PROGRAMS
Budget Categories State Cost Local Match Totai Cost -
Personnel $2,720 $7,565 10 285
Fringe Benefits ! $275 $1,235 9-1-.510
Travel I $300 $400 S700
I _ _
Supplies 52'_,855 $1,100 522 955
Equipment -0- $1,000 5.1..000
Other , $11,450 — $4,320 $15 770 .
SubTotal - Child Care $36.600 $15,620 I $52.220
L___
! COUNTY ADMINISTRATIVE COSTS
r Budget Categories State Costs Local Match** Total Costs- —
_ Specify Costs below $3,400 -0- $3,400 —_
SubTotal - Admin. $3,400 -0- $3 400
Grant Total : $40,000 I 15,620 I $_`5:-620 _
ADDENDII} #1
PAGE,11of 12
Weld County Budget Narrative
(Revised 8'9/00)
•
State Cost Match Total
Personnel
Staff: 5 hrs/wk x 36 weeks @59.00/hr 51,620 -0- 51.62(
Ccordinator: 10 hrs/wk x 36 wks O. 520.81/hr -0- 57,265 57,26'
Instructor: $50/hrs x$10/hr 5500 -0- $500
Training Coordination: $10/hr x 60hrs $600 -0- 560(
Training Coordination: $10/hr x 15 hrs -0- 5150 51:5,
Ting. Support Staff $10/hr x 15 hrs. -0- $150. $150
Subtotal $2,720 $7,565 310,28.=
Fringe Benefits
Staff: $1,620 x 17°i6 5275 -0- $2'7
Coordinator: $7,265 x .17% -0- $1,235 $1,23
Subtotal $275 $1,235 $1,52:
Travel
2 irips/month x 10 months x 50 miles/trip x$.30/mile $300 $30(
Inland travel $400 .$407
Subtotal 8300 $400 $70(
Supplies
Incentive grants 8 x$300 $2,400 -0- $2,4O
Retention grants 8 x$455 $3,640 -0- $"64l
Consumer Education
Greeley Tribune ads$72.50/mo. x 10 mo. $725 -0- $7:
Community paper ads at various rates $1,450 -0- $1,45'
Windsor billboard 5400 -0 54O'
Ft. Lupton billboard $400 -0- 54O
Posters $800 0- $8t'
B ochures (5,000 @ 5.19 ea) $950 -0- S95
Brochure display racks (300 @$.50 ea) $150 -0- 515
Flyers (5000 @ 5.03 ea) 5150 -0- 515
Office Supplies $300 $100 $c0
Incentive match $1,000 $1,00
Training Program marketing $200 -0- $20
Stipend for 10 home providers completing pre-licensing training. $500 -0- 550
Stipend for 20 students completing Professional Development Plan $1,000 -0- $.,00 1
goals A$50
Video production for revision of pre-licensing training $8,790 -C- $8,7';
Subtotal $15,815 $1,100 516,9!
Equipment
Training materials -0- 51,000
Subtotal -0- $1,000 $1,009
ADDENDUM ,,1
PAGE 12 OF 2
State Con hatch 1 otai
Other
Incentive mentor stipends -0-
Orientations 8 x$30 $240 -0-
Candidate meetings$8 x 25 $200 -0-
Shadow expenses 8 x$50 $400 -0-
Phone support$8 x$50 $400 -0-
Retention Mentor Stipends -0- -0-
Training 8 x$75 $600 -0-
Monthly meetings 6 x 8 mentors x $25 $1,200 -0-
Mentor meetings 4 x 8 mentors x$25 $800
Expansion Stipends 5 x$500 $2,500
Stipend match 0 $1,300
Occupancy -0- $620
Tuition: $3 1/credit x 6 credits x 10 students 51,860 -0- 51,860
Training costs for pre-licensing training$85 x 10 students $850 -0- $850
Substitute costs$8/hr x 60 hrs. x 10 students $2,400 $2,400 $4,800
Subtotal $11,450 $4,320 815,770
Total $36,600 $15,620 552.220
County Administration at 9.29% $3,400 -0- 53,400
GRAND TOTAL $40,000 $15,620 555.620
Exhibit B
Page 1 of 2
PAYMENT SCHEDULE
1. Fundin"
a. Social Services agrees to reimburse to the Contractor, in consideration for the
work and services performed, a total of Thirty-six thousand six hundred dollars
($36,600). The source of funds to be reimbursed to the Contractor is Child Care
Development Funds under the Colorado Department of Human Services, Division
of Child Care.
b. In consideration for the services provided by the Contractor pursuant to this
Agreement, in accordance with the budget included in Exhibit A and Addendum
#1 to Exhibit A, Social Services shall compensate the Contractor for the actual.
reasonable and necessary expenses incurred by the Contractor in providing such
services.
c. Expenses incurred by the Contractor, in association with said project prior to the
term of this Agreement, are not eligible Social Services expenditures and shall not
be reimbursed by Social Services.
d. Payment pursuant to this Agreement, if Weld County funds, whether in wnole or
in part, is subject to and contingent upon the continuing availability of Weld
County funds for the purposed hereof. In the event that said funds, or any part
thereof, become unavailable as determined by Social Services, Social Services
may immediately terminate this Agreement or amend it accordingly.
2. Billing/Payment Procedures
a. Social Services shall make payment to the Contractor for such services based
upon submission by the Contractor of monthly billing expenditure statements on
forms and in accordance with billing procedures which Social Services will
establish.
b. The Contractor shall provide Social Services with brief quarterly programmatic
and financial progress reports, a final program report and a final financial report
which includes discussion of sub-contractor andior other lower tier participant
activities and costs.
Exhibit B
Page 2 of 2
1) The brief programmatic progress reports on the grant shall be due within
30 days of the end of the quarter and shall include a brief status update on
the Contractor's progress on the overall program of services as enumerated
in Exhibit A, and Addendum #1 to Exhibit A an activity/service report for
the quarter, outreach and public awareness activities to inform low-income
families about the project; progress in developing a plan for continuation
of services after the grant ends, where applicable; any significant problems
and bathers which may have arisen and which might impact the program
of services; significant innovations; copies of projects or reports generated
during the reporting period; and a brief list of activities planned for the
next report period. These reports shall be provided in a format and
according to specifications to be provided to the Contractor by Social
Services.
c. The final financial report and the final program report shall be due by date and
shall include the following information:
1) The financial data shall include the actual costs for the program services
and the actual costs of specific activities to build child care capacity and
improve the availability of child care, within the budget limitations and
categories specified on Exhibit A and Addendum #1 to Exhibit A.
2) The Contractor shall include in the final program report a description of all
accomplishments and programs of service as enumerated in Exhibit A and
Addendum #1 to Exhibit A, any significant problems and barriers which
impacted development or completion of the program of services; a final
activity/service outcome report, significant innovations; a list of products
or reports generated during the project; and how child care availability
and/or quality were increased under the project. These reports shall be
provided in a format and according to specifications provided to the
Contractor by Social Services,.
3) The Contractor shall also provide in the final program report other
information available and requested by Social Services during the year and
any additional information that might be required pursuant to changes in
State and federal reporting requirements governing the use of these funds.
d. Final payment shall be made upon completion, submittal, and acceptance of a
Final Financial Fiscal report and the Final Program Report as described herein
Exhibit C
Federal Register:July 24, 1998(Volume 63,Number 142)Rules and Regulations Page 1 19
Pages 3 Subjects 98.31 Parental access.
List of Subjects 98.32 Parental complaints.
45 CFR Part 98 98.33 Consumer education.
98.34 Parental rights and responsibilities.
Child care,Grant program—social programs.Parental choice, a e 39982]]
Reporting and record keeping requirements. [[Page
[P g
45 CFR Pan 99 Subpart E—Program Operations (Child Care Services)--Lead Agency
and
Administrative practice and procedure,Child care,Grant program- Provider Requirements
98.40 Compliance win applicable State and local regulatory
social programs. 98.40
(Catalog of Federal Domestic Assistance Programs: 93.575, Child 98 4Sliding 1 ealth and safely fee scales.
requirements.
Care
and Development Block Grant;93.596,Child Care Mandatory and 98.43 Equal access.
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 sery ices.
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 988.54 Restrictions
allocation.
tiionson the use of funds..55 Cost amended 9
as follows: Subpart G—Financial Management
1.Part 98 is revised as follows:
98.6!) Availability of funds.
PART 98--CHILD CARE AND DEVELOPMENT FUND 98.61 Allotments from the discretionary fund.
Subpart A--Goals,Purposes and Definitions 98.62 Allotments from the mandatory fund.
98.63 Allotments from the matching fund.
98.64 Reallotment and redistribution of funds.
98c.
.1 Goals and purposes. 98.65 Audits and financial reporting
98.1n
98.2 Definitions. 98.66 Disallowance procedures.
98.3 Effect on State law. 98.67 Fiscal requirements.
Subpart B--General Application Procedures Subpart H--Program Reporting Requirements
98.70 Reporting requirements.
98.10 1 Lead Agency s nreundericontiecs. 98.71 Content of reports.
98.11 Administration under contracts and agreements.
98.12 Coordination and consultation. Subpart 1--Indian Tribes
98.13 Applying for funds.
98.14 Plan process. 98.80 General procedures and requirements.
98.15 Assurances and certifications.
98.16 Plan provisions. 98.81 Application and Plan procedures.
98.17 Pero and
bis plan.
98 82 Coordination.
98.18 Approval and disapproval of plans and plan amendments. s.
98.84 Requirements
o u�m Con for struction renoal vation on of child care facilities.
Subpart C—Eligibility for Services
Subpart J--Monitoring,Non-Compliance and Complaint;
98.20 A child's eligibility for child care services. 98.90 Monitoring.
Subpart D—Program Operations (Child Care Services)--Parental 98.91. Penalties Non-compliance.
-c Ilia sanctions.
c
Rights 9898.93 Complaints
and Responsibilities
98.30 Parental choice. _ Authority:42 t.I.S.C.618,9858.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-211
Federal Register:July 24, 1998(Volume 63,Number 142)Rules and Regulations Exhibit C
page 2 of 19
Pages 39981-39998
Assistant Secretary means the Assistant Secretary fareChildrenoand
Subpart A--Goals,Purposes and Definitions Families,Department of Health and Human Services;
Caregiver means an individual who provides child care services
Sec.98.1 Goals and purposes. directly to an eligible child on a person-to-person basis.
Categories of care means center-based child care, group home
(a)The goals of the CCDF are to: child care,family child care and in-home care:
(1)Allow each State maximum flexibility in developing child care Center-based child care provider means a provider licensee or
programs and policies that best suit the needs of children and parents otherwise authorized to provide child care services for fewer than-I
within the State; hours per day per child in a non-residential setung, unie.ss care 1-
(2) Promote parental choice to empower working parents to make excess of 24 hours is due to the nature of the parent(s work,
their own decisions on the child care that best suits their family's Child care certificate means a certificate (that :nay be ;. :neck, c
needs; other disbursement) that is issued by a grantee directly to a parer,
(3) Encourage States to provide consumer education information who may use such certificate only as payment for cni ldcare service.
to help parents make informed choices about child care: or as a deposit for child care services if such a dears.t is .euuired
(4)Assist States to provide child care to parents trying to other children being cared for by the provider. eursuani to Se.
achieve independence from public assistance;and 98.30. Nothing in this part shall preclude the use of suet .certifies,
(5;Assist States in implementing the health,safety,licensing, for sectarian child care services if freely chosen h; the par:m. For e.
and registration standards established in State regulations. purposes of this pan, a child care eenriicaie is sslse:me to et
(b)The.purpose of the CCDF is to increase the availability, parent,not assistance to the provider:
affordaoility,and quality of child care services.The program offers Child. Care and Development Fund (CCU.) mean, m< ,mild ear
Federal funding to States,Territories,Indian Tribes,and tribal programs conducted under the provisions of the .-hilt. :are an
organizations in order to: . Development Block. Grant Act, as amended 'he i and consists
(I)Provide low-income families with the financial resources to Discretionary Funds authorized under secuuc 6^8I) of the amen ee I
find and afford quality child care for their children; Act, and Mandatory and Matching Funds appruprrur d uriu:r secs I. t
(2)Enhance the quality and increase the supply of child care for 418 of the Social Security Act;
all families, including those who receive no direct assistance under Child care provider that receives assistance means L. niid ca. c
the CCDF, provider that receives Federal funds under the (CD1 pursuant )
(3)Provide parents with a broad range of options in addressing grants, contracts, or loans, but does not include a child car prove'. r
their child care needs; to whom Federal funds under the CCDF are directed out, throw! a
(4) Strengthen the role of the family; the operation of a certificate program;
(5)improve the quality of,and coordination among,child care Child care services, for the purposes of Sec. 98.5th ml ens the et e
programs and early childhood development programs:and given to an eligible child by an eligible child car Fm v idcr
(6)increase the availability of early childhood development and Construction means the erection of a faciiip mat does ,. It
before-and after-school care services. currently exist;
(c)The purpose of these regulations is to provide the basis for The Department means the Department of Health ❑ed Hurn m
administration of the Fund.These regulations provide that Lead Services;
Agencies. P e
(1)Maximize parental choice through the use of certificates and [[Page
[ ag 39983 1]
through grants and contracts;
(2)Include in their programs a broad range of child care providers, Discretionary funds means the funds authorized under sect.an
including center-based care, family child care, in-home care, care 6588 of the Child Care and Development Block Grant Act. l he
provided by relatives and sectarian child care providers; Discretionary funds were formerly referred to as the Child Care L ad
(3)Provide quality child care that meets applicable requirements; Development Block Grant;
(4)Coordinate planning and delivery of services at all levels; Eligible child means an individual who meets the requirements of
(5) Design flexible programs that provide for the changing needs Sec.98.20;
of recipient families; Eligible child care provider means:
I A center-based child care provider, a group home child ;are
(6)Administer the CCDF responsibly to ensure that statutory ( )
requirements are met and that adequate information regarding the use provider, a family child care provider, an in-home child are
of public funds is provided:and provider, or other provider of child care services for compensation
(7) Design programs that provide uninterrupted service to families that--
and providers,to the extent statutorily possible. (i) Is licensed. regulated, or registered uncer applicable Sta,. or
local law as described in Sec. 98.40;and
Sec. 98.2 Definitions. (ii) Satisfies State and local requirements, including those refe red
to in Sec.98.41 applicable to the child care services it provides.. o
For the t refers to this part and part 99:
(2) A child care provider who is 18 years of age or older vho
The Act refers to the Child Care and Development Block Grant provides child care services only to eligible children .vho are
by
Act of 1990, section 5082 of the Omnibus Budget Reconciliation Act marriage, blood relationship, or court decree, the grandchild, real
of 1990. Pub. L. 101-508, as amended and codified at 42 U.S.C. grandchild, sibling (if such provider lives in separate reside, cc),
9858 et seq. niece, or nephew of such provider,and complies with any appiit able
A.CF means the Administration for Children and Families; requirements that govern child care providers by the rei.tive
Application is a request for funding that includes the information involved;
required at Sec.98.13;
1 From the Federal Register Online via GPO Access[wais.access.gpo.gov1
[DOCID:fr24jy98-211
Federal Register:July 24, 1998(Volume 63,Number 142)Rules and Regulations. Exhibit C
Page 3of19
Pages 39981-34998
Facility means real property or modular unit appropriate for use by Real property means land,including land improvements,structures
a grantee to carry out a child care program; and appurtenances thereto, excluding movable machinery and
Family child care provider means one individual who provides equipment;
child care services for fewer than 24 hours per day per child, as the Secretary means the Secretary of the Department of Health any.
sole caregiver, in a private residence other than the child's residence. Human Services;
unless care in excess of 24 hours is due to the nature of the parent(s)' Sectarian organization or sectarian child care provide: mean:
work; religious organizations or religious providers generally. The term.-
Group home child care provider means two or more individuals embrace any organization or provider that engages ir. reiigiou:
who provide child care seta ices for fewer than 24 hours per day per conduct or activity or that seeks to maintain a religious identity ;r
child, in a private residence other than the child's residence, unless some or all of its functions.There is no requirement that a .ectaria-
care in excess of 24 hours is due to the nature of the parent(s)'work; organization or provider be managed by clergy or have any l:articuia
Indian Tribe means any Indian Tribe, band, nation, or other degree of religious management,control, or content:
organized group or community, including any Alaska Native village Sectarian purposes and activities means any religious purpose ;,
or regional or village corporation as defined in or established activity, including but not limited to religious worship or i*is:ructic:r
pursuant to the Alaska Native Claims Settlement Act(43 U.S.C. Sec. Services for which assistance is provided means all child car
1601 et seq.) that is recognized as eligible for the special programs services funded under the CCDF,either as assistance direct...•to chit
and services provided by the United States to Indians because of their care providers through grants, contracts, or loans. or ir.d:rectly .t
status as Indians; assistance to parents through child care certificates;
In-home child care provider means an individual who provides Sliding fee scale means a system of cost sharing by a family base
child care services in the child's own home: on income and size of the family,in accordance witi Sec.9S.42:
Lead Agency means the State,territorial or tribal entity designated State means any of the States,the District of C:ihtmbia,the
under Secs. 98.10 and 98.!6(a).to which a grant is awarded and that Commonwealth of Puerto Rico, the Virgin Island of the Unite i
is accountable for the use of the funds provided. The Lead Agency is States, Guam,American Samoa,the Commonwealth of tie Northct i
the entire legal entity even if only a particular component of the Mariana Islands,and includes Tribes unless otherw.se speci?led;
entity is designated in the grant award document. Tribal mandator' funds means the child care unds set aside t
Licensing or regulatory requirements means requirements section 418(a)(4) of the Social Security Act. The iundi :onsis: f
necessary for a provider to legally provide child care services in a between one and two percent of the aggregate Mandatory at
State or locality, including registration requirements established Matching child care funds reserved by the Secretary ir, rich fis: .1
under State. local or tribal law; year for payments to Indian Tribes and tribal organizations:
Liquidation period means the applicable time period during which Tribal organization means the recognized governing )ody of,u
a fiscal year's grant shall be liquidated pursuant to the requirements Indian Tribe, or any legally established organization ct Indiar
at Sec.98.60.; including a consortium, which is controlled, sarict..oned, o charter d
Major renovation means: (1) structural changes to the foundation, by such governing body or which is democratically eizc'ed by t ;e
roof. floor, exterior or load-bearing wails of a facility, or the adult members of the Indian community to bt seta in. by su h
extension of a facility to increase its floor area; or (2) extensive organization and which includes the maxirr.ur pail ii..pation if
alteration of a facility such as to significantly change its function and Indians in all phases of its activities:Provided,that :n and •ase\via re
purpose. even if such renovation does not include any structural a contract is let or grant is made to an organization o pert)) m
change. services benefiting more than one Indian Tribe. the approval of et.:h
Mandatory funds means the general entitlement child care funds such Indian Tribe shall be a prerequisite to the letting in makin• Jf
described at section 418(a)(1)of the Social Security Act; such contract or grant;and
Matching funds means the remainder of the general entitlement [[Page 39984)]
child care funds that are described at section 418(a)(2) of the Social Types of providers means the different classes of providers un ter
Security Act;
Mooular unit means a portable structure made at another location each category of care. For the purposes of the CCJF, type: of
and moved to a site for use by a grantee to carry, out a child care providers include non-profit providers, for-profit providers, sec:ar an
program; providers and rela:ives who provide care.
Obligation period means the applicable time period during which a
fiscal year's grant shall be obligated pursuant to Sec.98.60: Sec.98.3 Effect on State law.
Parent means a parent by blood, marriage or adoption and also
means a legal guardian,or other person standing in loco parentis: (a)Nothing in the Act or this part shall be construed to supers:de
The Plan means the Plan for the implementation of programs or modify any provision of a State constitution or State law hat
under the CCDF: prohibits the expenditure of public funds in or by secta ian
Program period means the time period for using a fiscal year's organizations, except that no provision of a State constitutior or
grant and does not extend beyond the last day to liquidate funds; State law shall be construed to prohibit the expenditure in ca by
Programs refers generically to all activities under the CCDF, sectarian institutions of any Federal funds provided under this :art.
incluaing chiid care services and other activities pursuant to Sec. (h) If a State law or constitution would prevent CCDF funds t-om
98.50 as well as quality and availability activities pursuant to being expended for the purposes provided in the Act, wit',out
Sec.98.51; limitation,then States shall segregate State and Federal funds.
Provider means the entity providing child care services;
The regulation refers to the actual regulatory text contained in
parts 98 and 99 of this chapter;
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-211
Federal Register:July 24, 1998(Volume 63.Number 142)Rules and Regulations Exhibit C
Pages 399'31-39998 Page 4 of 19
Subpart B--General Application Procedures (b) Consult,in accordance with Sec.98.I4(b), with representatives
of general purpose local government during the development of the
Sec.98.10 Lead Agency responsibilities. Plan;and
(c) Coordinate, to the maximum extent feasible, with am Indian
The Lead Agency, as designated by the chief executive officer of Tribes in the State receiving CCDF funds in accordance with subpart
the State(or by the appropriate Tribal leader or applicant), shall: (a) I of this part.
Administer the CCDF program, directly or through other
governmental or non-governmental agencies, in accordance with Sec. Sec. 98.13 Applying for Funds.
98.11:
(b)Apply for funding under this part,pursuant to Sec.98.13; The Lead Agency of a State or Territory shall apply for Child Care
(c) Consult with appropriate representatives of local government and Development funds by providing the following:
in developing a Plan to be submitted to the Secretary pursuant to Sec. (al The amount of funds requested at such time and in sue)
98.14(b); manner as prescribed by the Secretary.
(d) Hold at least one public hearing in accordance with Sec. (b)The following assurances or certifications:
98.14(c);and (1) An assurance that the Lead Agency will comply with the
(e)Coordinate CCDF services pursuant to Sec.98.12. requirements of the Act and this part;
(2) A lobbying certification that assures that the funds will not hr
Sec.98.11 Administration under contracts and agreements. usee for the purpose of influencing pursuant to 45 CFR part 93,and
if necessary,a Stane.ard Form LLL(SF-LLL)that discloses lobbyin)
(a) The Lead Agency has broad authority to administer the payments;
program through other governmental or non-governmental agencies. (t) An assurance that the Lead Agency provides a drug-fret
In addition, the Lead Agency can use other public or private local workplace pursuant to 45 CFR 76.600, or a statement that such a
agencies to implement the program;however: assurance has already been submitted for all HI-IS grants;
(1) The Lead Agency shall retain overall responsibility for the (4) A. certification that no principals have been debarred pursuar
administration of the program, as defined in paragraph (b) of this to 45 CFR 76.500;
section; (5) Assurances that the Lead Agency wil. comply with ti,
(2) The Lead Agency shall serve as the single point of contact for applicable provisions regarding nondiscrimination at 45 CFR part
issues involving the administration of the grantee's CCDF program; (implementing title VI of the Civil Rights Act of 1964. at amended
and 45 CFR part 84 (implementing section 504 of the Rehabilitation A.t
(3)Administrative and implementation responsibilities undertaken of 1973, as amended), 45 CFR part 86 (implementing titie IX of It.:
by agencies other than the Lead Agency shall be governed by written Education Amendments of 1972, as amended) and 45 CFR part
agreements that specify the mutual roles and responsibilities of the (implementing the Age Discrimination Act of 1975, as amends,: ,
Lead Agency and the other agencies in meeting the requirements of and;
this pan !6) Assurances that the Lead Agency wilt comply with u
(b) In retaining overall responsibility for the administration of the Tobacco Smoke,provisions
also knownPro-Children
Osf Public Law 103-277.
Act o CE ronment d
program,the Lead Agency shall:
Phi
(1) Determine the basic usage and priorities for the expenditure of regarding prohibitions on smoking.
CCDF funds; c) The Child Care and Development Fund Plan. at times and n
(2) Promulgate all rules and regulations governing overall such manner as required in Sec.98.17; and
administration of the Plan Id)Such other information as specified by the Secretary.
(3)Submit all reports required by the Secretary;
(4) Ensure that the program complies with the approved Plan and Sec.98.14 Plan process.
all Federal requirements;
(5) Oversee the expenditure of funds by subgrantees and In the development of each Plan, as requiree, pursuant to S:a.
contractors; 98.17,the Lead Agency shall:
(6)Monitor programs and services; (a)(1) Coordinate the provision of services funded under this P aft
(7) Fulfill the responsibilities of any subgrantee in any: with other Federal. State,and local child care and early childhood
disallowance under subpart G; complaint or compliance action under development programs, including such programs for the benefit of
subpart 3: or hearing or appeal action under part 99 of this chapter; Indian! children. The Lead Agency shall also coordinate with oe
and State, and if applicable, tribal agencies responsible for: (A) Put ic
(8) Ensure that all State and local or non-governmental agencies health, including the agency responsible for immunizations;
through which the State administers the program. including agencies (B)Employment services/workforce development;
and contractors that determine individual eligibility, operate (C)Public education;and
according to the rules established for the program. (D]Providing Temporary Assistance for Needy Families.
(2)Provide a description of the results of the coordination with
Sec.98.12 Coordination and consultation. each of these agencies in the CCDF Plan.
(b)Consult with appropriate representatives of local govemmer.5:
The Lead Agency shall: (c)(1) Hold at east one hearing in the State. after at least 20 :i tys
(a) Coordinate the provision of services for which assistance is of statewide public notice,to provide to the public an opportumr to
provided under this part with the agencies listed in Sec. 98.14(a). comment on the provision of child care services under the Plan.
]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 C
Pages 39981.-39998 Page 5 of 19
(2) The hearing required by paragraph (c)(1) shall be held before designed to protect the health and safety of children that are
the Plan is submitted to ACF, but no earlier than nine months before applicable to child care providers that provide services for which
the Plan becomes effective. assistance is made available under the CCDF,pursuant to Sec.98.41;
(6) In accordance with Sec. 98.41, procedures are in effect to
[[Page 39985]] ensure that child care providers of services for whica assistance is
provided under the CCDF comply with all applicable State or local
(3) In advance of the hearing required by this section, the Lead (or tribal)health and safety requirements;and
Agency shall make available to the public the content of the Plan as (7) Payment rates for the provision of child care services, in
described in Sec.98.16 that it proposes to submit to the Secretary. accordance with Sec. 98.43, are sufficient to ensure equal access for
eligible children to comparable child care services !n the State or
Sec.98.15 Assurances and certifications. sub-State area that are provided to children whose parent are not
eligible to receive assistance under this program or under an other
(a)The:Lead Agency shall include the following assurances in its Federal or State child care assistance programs.
CCDF Plan:
(1) Upon approval, it will have in effect a program that complies Sec.98.16 Plan provisions.
with the provisions of the CCDF Plan, and that is administered in
accordance with the Child Care and Development Block Grant Act of A CCDF Plan shall contain the following:
1990, as amended, section 418 of the Social Security Act, and all (a) Specification of the Lead Agency whose duties and
other applicable Federal laws and regulations: responsibilities are delineated in Sec.98.10;
(2) The parent(s) of each eligible child within the area served by (b) The assurances and certifications listed under Six.98.1`_;
the Lead Agency who receives or is offered child care services for (c)(I) A description of how the CCDF program will be
which financial assistance is provided is given the option either: administered and implemented, if the Lead Agency toes not direct,)
(i)To enroll such child with a child care provider that has a grant administer and implement the program;
or contract for the provision of the service;or (2) Identification of the entity designated to receive pnvatc
(ii)To receive a child care certificate as defined in Sec.98.2; donated funds and the purposes for which such funds will be
(3)In cases in which the parent(s),pursuant to Sec.98.30,elects to expended,pursuant to Sec.98.53(f);
enroll their child with a provider that has a grant or contract with the (d) A description of the coordination and consultation processes
Lead Agency, the child will be enrolled with the eligible provider involved in the development of the Plan, including a description of
selected by the parent to the maximum extent practicable; public-private partnership activities that promote ousines:
(4)In accordance with Sec.98.30,the child care certificate offered involvement in meeting child care needs pursuant to Sec. )8.14(a
to parents shall be of a vaiue commensurate with the subsidy value of and(o); .
child care services provided under a grant or contract; (e) A description of the public hearing process. pursuan to Se,
(5) With respect to State and local regulatory requirements (or 98.1c(c);
tribal regulatory requirements), health and safety requirements, (0
Definitions of'.he following terms for purposes of determinint
payment rates. and registration requirements, State or local(or tribal) eligibility,pursuant to Secs.98.20(a)and 98.44:
rules, procedures or other requirements promulgated for the purpose (1 i Special needs child;
of the CCDF will not significantly restrict parental choice from (2)Physical or mental incapacity(if applicable);
among categories of care or types of providers,pursuant to 3)Job Attending in (a and educationalprogram;
job g or educational program);gSec.98.30(O.
(6)That if expenditures for pre-Kindergarten services are used to (5)Residing with:
meet the maintenance-of-effort requirement, the State has not (6)Working;
reduced its level of effort in full-day/full-year child care services, (7) Protective services (if applicable), including whether childre .
pursuant to Sec.98.53(h)(1). in foster care arc considered in protective services for purposes
(b)The Lead Agency shall include the following certifications in child
care parents eligibility;
ty;children in protective whether
respite care is provided I
its CCDF Plan: custodial
es.
(1) In accordance with Sec. 98.31, it has procedures in place to (8)Very low income;and
ensure that providers of child care services for which assistance is (9)in loco parents.
provided under the CCDF, afford parents unlimited access to their (g)For child care services pursuant to Sec.98.50:
children and to the providers caring for their children, during the ( )A description of such services and activities;
normal hours of operations and whenever such children are in the ('_) Any limits established for the provision of in-hone care as d
care of such providers; the reasons for such limits pursuant to Sec. 98.30(e)(1)(iv):
(2) As required by Sec. 98.32, the State maintains a record of (3) A list of political subdivisions in which such services atd
substantiated parental complaints and makes information regarding activities are offered, if such services and activities are not availab e
such complaints available to the public on request; throughout the entire service area;
(3) It will collect and disseminate to parents of eligible children (4) A description of how the Lead Agency will meet the neens if
and the general public, consumer education information that will certain families specified at Sec. 98.50(e).
promote informed child care choices,as required by Sec. 98.33; (5)Any additional eligibility criteria, priority rules and definitic is
(4) There are in effect licensing requirements applicable to child established pursuant to Sec. 98.20(6);
care services provided within the State(or area served by Tribal Lead I h) A description of the activities to provide comprehens;(e
Agency),pursuant to Sec. 98.40; consumer education, to increase parental choice. arid to improve ie
(5)There are in effect within the State(or other area served by the quality and availability of child care,pursuant to Se:.. 98 51;
Lead Agency), under State or local (or tribal) law, requirements
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(i) A description of the sliding fee scale(s) (including any factors (b)Plan amendments. Approved Plans shall be amended whenever
other than income and family size used in establishing the fee a substantial change in the program occurs. A Plan amendment shall
scale(s)) that provide(s) for cost sharing by the families that receive be submitted within 60 days of the effective date of the change. Plan
child care services for which assistance is provided under the CCDF, amendments will be approved not later than the 90th day following
pursuant to Sec. 98.42; the date on which the amendment is received, unless a written
(j) A description of the health and safety requirements, applicable agreement to extend that period has been secured. (cl Appeal of
to all providers of child care services for which assistance is provided disapproval&of a Plan or Plan amendment.
under the CCDF, in effect pursuant to Sec.98.41; (1)An applicant or Lead Agency dissatisfied with a determination
(k) A description of the child care certificate payment system(s), of the Assistant Secretary pursuant to paragraphs (a) or (b) of this
including the form or forms of the child care certificate, pursuant to section with respect to any Plan or amendment may. within 60 days
Sec.98.30(c); after the date of receipt of notification of such determination, file a
(1)Payment rates and a summary of the facts, including a biennial petition with the Assistant Secretary asking for reconsideration of the
local issue of whether such Plan or amendment con:o-ms to the
requirements for approval under the Act and pertinent Federal
[[Page 39986)] regulations.
(2) Within 30 days after receipt of such petition, toe Assistant
market rate survey,relied upon to determine that the rates provided Secretary shall notify the applicant or Lead Agency of the time and
are sufficient to ensure equal access pursuant o Sec.98.43; place at which the hearing for the purpose of reconsidering. such
(m) A detailed description of how the State maintains a record of issue will be held.
substantiated parental complaints and how it makes information (3) Such hearing shall be held not less than 30 daps nor more than
regarding those complaints available to the public on request, 90 days, after the notification is furnished to the applicant or Lead
pursuant to Sec.98.32; Agency, unless the Assistant Secretary and the applicant or Lead
(n) A detailed description of the procedures in effect for affording Agency agree in writing on another time.
parents unlimited access to their children whenever their children are (4) Action pursuant to an initial determination by the Assistant
in the care of the provider,pursuant to Sec. 98.31; Secretary described in paragraphs (a) and (b) of this sectior that a
(o) A detailed description of the licensing requirements applicable Plan or amendment is not approvable shall not be stayed pending the
to child care services provided, and a description of how such reconsideration, but in the event that the Assistant Secretary
licensing requirements are effectively enforced, pursuant to Sec. subsequently determines that the original decision was incorrect, the
98.40: Assistant Secretary shall certify restitution forthwith to a lamp sum
(p) Pursuant to Sec. 98.33(b), the definitions or criteria used to of any funds incorrectly withheld or otherwise denied Thz hearing
implement the exception,provided in section 407(e82)of the Social procedures are described in part 99 of this chapter.
Security Act. to individual penalties in the TANF work requirement
applicable to a single custodial parent caring for a child under age Subpart C—Eligibility for Services
six;
(q)(1)When any Matching funds under Sec. 98.53(b) are claimed, Sec.98.20 A child's eligibility for child care services.
a description of the efforts to ensure that pre-Kindergarten programs a; In order to be eligible for services under Sec. 98.50, a childmeet the needs of working parents;
(2) When State pre-Kindergarten expenditures are used to meet shall
more than 10% of the amount required at Sec. 98.53fc)(1), or for (11(i)Be under 13 years of age;or,
more than 10% of the funds available at Sec. 98.53(b), or both, a (ii I At the option of the Lead Agency,be under age 19 arc
description of how the State will coordinate its pre-Kindergarten and physically or mentally incapable of caring for himself or herself,or
child care services to expand the availability of child care; and (r) under court supervision;
Such other information as specified by the Secretary. (2)Reside with a:'amily whose income does not exceed 4` percent
of the State's median income for a family of the same size; utd
Sec. 98.:1? Period covered by Plan. (3)(f) Reside with a parent or parents(as defined is Sec. 98.2)wnr
are working or attending ajob training or educational program;or
(a)Far States,Territories, and Indian Tribes the Plan shall cover a (ii)Receive, or need to receive, protective services and reside win
period of two years. a parent or parents [as defined in Sec. 98.2) other than the parent( :
(b) The Lead Agency shall submit a new Plan prior to the described in paragraph(a)(3)(i)of this section.
expiration of the time period specified in paragraph (a) of this (A) At grantee option, the requirements in paragraph calf.)of Cher
section, at such time as required by the Secretary in written section and in Sec. 98.42 may be waived for families eligible fn
instructions. child care pursuant to this paragraph, if determined to be necessar
on :1 case-by-case basis by, or in consultation wit:, an appropriae
Sec. 98.18 Approval and disapproval of Plans and Plan protective services worker.
amendments. (B) At grantee option, the provisions in (A) apply to children
foster care when defined in the Plan,pursuant to Sec. 98.16(1)17).
(a)Plan approval. The Assistant Secretary will approve a Plan that (0) Pursuant to Sec. 98.16(g)(5), a grantee or other adm,nisterin
satisfies the requirements of the Act and this part. Plans will be agency may establish eligibility conditions or priority ruies
approved not later than the 90th day following the date on which the addition to those specified in this section and Sec. 98.44 so ong as
Plan submittal is received, unless a written agreement to extend that they do not:
period has been secured. (1) Discriminate against children on the basis of race nation,i
origin,ethnic background,sex,religious affiliation. or disability;
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(2)Limit parental rights provided under Subpart D; or requirements promulgated for purposes of the CCDF significantly
(3) Violate the provisions of this section, Sec. 98.44, or the Plan, restrict parental choice by:
In particular, such conditions or priority rules may not be based on a (I)Expressly or effectively excluding:
parent's preference for a category of care or type of provider. In (i)Any category of care or type of provider, as defined in
addition, such additional conditions or rules may not be based on a Sec.98.2;or
parent's choice of a child care certificate. (ii)Any type of provider within a category of care; or
(2) Having the effect of limiting parental access to or choice from
Subpart D--Program Operations (Child Care Services)--Parental among such categories of care or types of providers. as defined is
Rights and Responsibilities Sec.98.2;or
(3) Excluding a significant number of providers in any category o'.
Sec.98.3C Parental choice. care or of any type as defined in Sec. 98.2.
(a) The parent or parents of an eligible child who receives or is Sec. 98.31 Parental access.
offered child care services shall be offered a choice:
(1)To enroll the child with an eligible child care provider that has The Lead Agency shall have in effect procedures to ensure that
a grant or contract for the provision of such services, if such services providers of child care services for which assistance is provided
are available;or afford parents unlimited access to their children, and to the provider::
(2)To receive a child care certificate as defined in Sec.98.2. caring for their children, during normal hours of provider operation
Such choice shall be offered any time that child care services are and whenever the children are in the care of the provider. The Leac
made available to a parent Agency shall provide a detailed description of such procedures.
(b)When a parent elects to enroll the child with a provider that has
a grant or contract for the provision of child care services, the child Sec. 98.32 Parental complaints.
will he enrolled with the provider selected by the parent to the
maximum extent practicable. The State shall:
(c)In cases in which a parent elects to use a child care (a'Maintain a record of substantiated parental complaints:
certificate,such certificate: (bl Make information regarding such parental complaints availabh
to the public on request;and
[[Page 39987]] (c I The Lead Agency shall provide a detailed description of how
such record is maintained and is made available.
(1 Will be issued directly to the parent;
(2) Shall be of a value commensurate with the subsidy value of the Sec. 98.33 Consumer education.
child care services provided under paragraph(a)(l)of this section;
(3) May be used as a deposit for child care services if such a The Lead Agency shall:
deposit is required of other children being cared for by the provider; (a) Certify that it will collect and disseminate to parents and to
(4) May be used for child care services provided by a sectarian general public consumer education information that will promo;
organization or agency, including those that engage in religious informed child care choices including, at a minimum, infbrmatio i
activities,if those services are chosen by the parent: about
(5) May be expended by providers for any sectarian purpose or (1)the full range of providers available,and
activity that is part of the child care services, including sectarian (2)health and safety requirements;
worship or instruction; (h) Inform parents who receive TANF benefits about it e
(6) Shall not be considered a grant or contact to a provider but requirement at section 407(e)(2) of the Social Security Act that it e
shall be considered assistance to the parent. TANF agency make an exception to the .ndividual penaitu s
(d) Child care certificates shall be made available to any parents associated with the work requirement for any single custodial pare it
offered.child care services. who has a demonstrated
(e)(1)For child care services,certificates under paragraph(a)(2) inability to obtain needed child care for a child under six years if
of this section shall permit parents to choose from a variety of child age. The information may be provided directly by the Lead Aget ::,
care categories,including: or, pursuant to Sec. 98.11, other entities,and shall include:
(i)Center-based child care; (1) The procedures the TANF agency uses tc determine if e
(ii)Group home child care; parent has a demonstrated inability to obtain needed :hilci care:
(2) The criteria or definitions applied by the TAN-, agency o
(iii)In-home
child care;and
(iv)In-home child care,with limitations,if any,imposed by the determine whether the parent has a demonstrated inability to obit in
Lead Agency and described in its Plan at Sec. 98.I6(g)(2). needed child care, including:
Under each of the above categories, care by a sectarian provider i)"Appropriate child care";
may not be limited or excluded. iii)"Reasonable distance"
(2) Lead Agencies shall provide information regarding the range iii)"Unsuitability of informal child care":
of provider options under paragraph (e)(I) of this section, including iv) "Affordable:child care arrangements"
care by sectarian providers and relatives, to families offered child 3)The clarification that assistance received curing the time an
care services. eligible parent receives the exception referred to .n paragraph lb! of
(f) With respect to State and local regulatory requirements under this section will count toward the time limit on Federal benefits
Sec. 98 40, health and safety requirements under Sec. 98.41, and required at section 408(a)(7)of the Social Security Act.
payment rates under Sec.98.43, CCDF funds will not be available to
a Lead Agency if State or local rules, procedures or other
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(c)Include in the biennial Plan the definitions or criteria the TANF (C) Children whose: parents object to immunization on -engious
agency uses in implementing the exception to the work requirement grounds; and
specified in paragraph(b)of this section. (D) Children wnose medical condition contraindicates
immunization:
Sec.98.34 Parental rights and responsibilities. (iii) Lead Agencies shall establish a grace period in which cnildren
can receive services while families are taking the necessary actions to
Nothing under this part shall be construed or applied in any comply with the immunization requirements;
manner to infringe on or usurp the moral and legal rights and (2) Building and physical premises safety;and
responsibilities 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 :stancards and
and Provider Requirements requirements under paragraph(a)of this section that are inconsistent
with the parental choice safeguards in Sec.98.30(.
Sec. 98.40 Compliance with applicable State and local regulatory (c)The requirements in paragraph(a) of this section shah 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
(a)Lead Agencies shall: the 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 its effect;o
applicable jto child care services provided within the area served by ensure that child care providers of services for which assistance i=_
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)(1) of this section and of how they are effectively requirements described in paragraph(al of this.seo:ion_
enforced. (e I For the purposes of this section, the ten: cmld care
(b)(1) This section does not prohibit a Lead Agency from providers" does not include grandparents, great grandparents.
imposing more stringent standards and licensing or regulatory siblings (if such providers live in a separate residence), aunts, m
requirements on child care providers of services for which assistance uncles,pursuant to Sec. 98.2.
is provided under 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.9830(f). (a) Lead. Agencies shall establish, and periodically -evise, by rule,
sliding fee scale(s) that provides for cost sharing by families tha
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
(a) Although the Act specifically states it does not require the the family and may ne based on other factors as appropriate.
establishment of any new or additional requirements if existing (c) Lead Agencies may waive contributions from families whos.
requirements comply with the requirements of the statute, each Lead incomes are at or below the poverty level for a faintly of the sane
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 Sec. 98.43 Equal access.
that are applicable to child care providers of services for which
assistance is provided under this part. Such requirements shall (a) The Lead Agency shall certify that the payment rates for the
include: provision of child care services under this part are sufficient
(I) The prevention and control of infectious diseases (including ensure equal access. for eligible families in the area served by tr t
immunizations). With respect to immunizations, the following Lead Agency,to child care services comparable to those provided
provisions apply: families not eligible to receive CCDF assistance or child ca. c
(i) As part of their health and safety provisions in this area, States assistance under any other Federal,State, or tribal programs.
and Territories shall assure that children receiving services under the Ib) The Lead Agency shall provide a summary or the facts relit i
CCDF are age-appropriately immunized. Those health and safety on to determine that its payment rates ensure egi.al access. A. a
provisions shall incorporate (by reference or otherwise) the latest minimum,Ho the choice of ary shall i include oats s sown e.g., center,grow I.
recommendation for
family, and in-home care,is made available;
[(Page 39988]] 12) How payment rates are adequate based on a local market ra.e
survey conducted no earlier than two years prior to the effective date
childhood immunizations of the respective State or territorial public of the p y How currently
a approved
ro vs d Plan;
health agency. (3) on a sliding fee scale ,ire affordable. AS
(ii) Notwithstanding paragraph (a)(1)(i) of this section. Lead stipulated at Sec.98.42.
Agencies may exempt: (c) A Lead Agency may not establish different payment ra as
(A) Children who are cared for by relatives (defined as based on a family';eligibility status or circumstances.
grandparents, great grandparents, siblings (if living in a separate (d) Payment rates under paragraph (a) of this section shall re
residence),aunts,and uncles); consistent with the parental choice requirements in Sec.98 30.
(B)Children who receive care in their own homes; (e) Nothing in this section shall be construed to create a priv .te
right of action.
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(c)Notwithstanding paragraph (b) of this section, if 80 percent or
Sec.98.44 Priority for child care services. more of the operating budget of a child care provider comes from
Federal and State funds, including direct and indirect assistance
Lead Agencies shall give priority for services provided under Sec. under the CCDF,the Lead
98.50(a)to:
(a)Children of families with very low family income(considering [[Page 39989]]
family size);and
(b)Children with special needs. Agency shall assure that, before any further CCDF assistance is
given to the provider,
Sec. 98.45 List of Providers. (1)The grant or contract relating to the assistance. or
(2) The employment policies of the provider specifcaly. irovrne
If a Lead Agency does not have a registration process for child that no person with responsibilities in the operation of the child care
care providers who are unlicensed or unregulated under State, local, program will discriminate, on the basis of .re:ligion. in the
or tribal law, it is required to maintain a list of the names and employment of any individual as a caregiver. as dennec in Sec.98.2.
addresses of unlicensed or unregulated providers of child care
services for 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 cart:services.
(a) Child care providers(other than family child care providers, as (a)Of the funds remaining after applying the prm isions at
defined in Sec. 98.2) that receive assistance through grants and paragraphs (c), (d) and (e) of this section the Lead Agency shat
contracts under the CCDF shall not discriminate in admissions spend a substantial portion to provide child care +cn ices to low,
against any child on the basis of religion. income working families.
(b) Paragraph (a) of this section does not prohibit a child care (b s Child care services shall be provided.
provider from selecting children for child care slots that are not (I 1 To eligible children,as described in Sec. 98 2o.
funded directly (i.e., through grants or contracts to providers) with (2)Using a sliding fee scale.as described in Set. 08 42:
assistance provided under the CCDF because such children or their (3)Using funding methods provided for in Sec. 98 nU. and
family members participate on a regular basis in other activities of (4)Based on the priorities in Sec. 98.44.
the organization that owns or operates such provider. (c) Of the aggregate amount of fund, etpcudcd (ice
(c) Notwithstanding paragraph (b) of this section, if 80 percent or Discretionary, Mandatory, and Federal and State share of Match in.
more of the operating budget of a child care provider comes from Funds), no less than four percent shall be used Ior act:vases s
Federal or State funds, including direct or indirect assistance under improve the quality of child care as described at Sec !+8.5
the CCDF, the Lead Agency shall assure that before any further (d) Of the aggregate amount of funds expended (i.,:
CCDF assistance is given to the provider, Discretionary, Mandatory, and Federal and State snare of Matchm
(I)The grant or contract relating to the assistance,or Funds), no more than five percent may be used for admmtstratn
(2)The admission policies of the provider specifically provide that activities as described at Sec. 98.52.
no person with responsibilities in the operation of the child care (e)Not less than 70 percent of the Mandatory and Match.ng Fun,
program, project, or activity will discriminate, on the basis of shall be used to meet the child care needs of families who
religion, in the admission of any child. (I)Are receiving assistance under a State progran under Part A f
title IV of the Social Security Act,
Sec. 98.47 Nondiscrimination in employment on the basis of (2) Are attempting through work activities to tra.nsitior, off scut n
religion. assistance program, and
(3)Are at risk of becoming dependent on such assistance progran
(a) In general, except as provided in paragraph (b) of this section, (f) Pursuant to Sec. 98.16(g)(4), the Plan shall specffv how d e
nothing in this part modifies or affects the provision of any other State will meet the child care needs of families described n
applicable Federal law and regulation relating to discrimination in paragraph(e)of this section.
employment on the basis of religion.
(1) Child care providers that receive assistance through grants or Sec.98.51 Activities to improve the quality of child care.
contracts under the CCDF shall not discriminate, on the basis of
religion,in the employment of caregivers as defined in Sec.98.2. i a)No less than four percent of the aggregate funds expended ry
(2) If two or more prospective employees are qualified for any the Lead Agency for a fiscal year, and including :he amour is
position with a child care provider,this section shall not prohibit the expended in the State pursuant to Sec. 98.53(b), snail be expenc id
provider from employing a prospective employee who is already for quality activities.
participating on a regular basis in other activities of the organization :;1)These activities may include but are not limited to
that owns or operates the provider. '.i) Activities designed to provide comprenensise consun er
(3) Paragraphs (a)(1) and (2) of this section shall not apply to education to parents and the public;
employees of child care providers if such employees were employed (ii)Activities that increase parental choice; and
with the provider on November 5; 1990. (iii) Activities designed to improve the quality and availabilit} of
(b) Notwithstanding paragraph (a) of this section, a sectarian child care, including, but not limited to those described in paragr ph
organization may require that employees adhere to the religious (2)of this section.
tenets and teachings of such organization and to rules forbidding the (2) Activities to improve the quality of child care services c ay
use of drugs or alcohol. include,but are not limited to:
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(i) Operating directly or providing financial assistance to (3)Administrative services,including such services as accounting
organizations (including private non-profit organizations, public services, performed by grantees or subgrantees or under agreements
organizations, and units of general purpose local government)for the with third parties;
development, establishment, expansion, operation, and coordination (4)Audit services as-equired at Sec.98.65;
of resource and referral programs specifically related to child care; (5) Other costs for goods and services required for the
(ii) Making grants or providing loans to child care providers to administration of the program. including rental or purchase of
assist such providers in meeting applicable State, local, and tribal equipment,utilities,and office supplies;and
child care standards, including applicable health and safety (6)Indirect costs as aetermined by an indirect cost agreement or
requirements, pursuant to Secs.98.40 and 98.41; cost allocation plan pursuant to Sec.98.55.
(iii) Improving the monitoring of compliance with, and (b) The five percent limitation at paragraph (a' of this section
enforcement of, applicable State, local, and tribal requirements applies only to the States and Territories. The =aunt of the
pursuant to Secs. 98.40 and 98.41; limitation at paragraph +;a)of this section does not anp.y to Tribes or
(iv) Providing training and technical assistance in areas tribal organizations.
appropriate to the provision of child care services,such as training in (c) Non-Federal expenditures required by Sec. 98.53(c) r i.e., the
health and safety, nutrition, first aid, the recognition of maintenance-of-effort amount) are not subject to the five percent
communicable diseases, child abuse detection and prevention, and limitation at paragraph(a)of this section.
care of children with special needs;
(v) Improving salaries and other compensation (such as fringe [[Page 39990]]
benefits) for full-and part-time staff who provide child care services
for which assistance is provided under this part; and Sec. 98.53 Matching fund requirements.
(vi) Any other activities that are consistent with the intent of this section. (a)Federal matching funds are available for expenditures in a State
b
(b)Pursuant to Sec.98.16(h),the Lead Agency shall describe in its based upon the formula specified at Sec.98.63(a).
Plan the activities it will fund under this section. (b) Expenditures in a State under paragraph(a)of this section will
(c) Non-Federal expenditures required by Sec. 98.53(c) (i.e., the be matched at the Federal medical assistance rate for the applicable
maintenance-of-effort amount) are not subject to the requirement at fiscal year for allowable activities, as described in the approved State
paragraph(a)of this section. Plan, that meet the goals and purposes of the Act. c) In order to
receive Federal matching funds for a fiscal year wider paragraph (a;
Sec.98.52 Administrative costs. of this section:
(1) States shall also expend an amount of non-Federal funds for
(a)Not more than five percent of the aggregate funds expended by child care activities in the State that is at least equal to the
the Lead Agency from each fiscal year's allotment, including the State's share of expenditures for fiscal year 1994 or 1995 (whichever
amounts expended in the State pursuant to Sec. 98.53(b), shall be is greater!under sections 402(g) and(i)of the Social Securty Act a
expended for administrative activities. These activities may include these sections were in effect before October 1, 199:5;and
but are not limited to: (2) The expenditures shall be for allowable service:; or activities
(1) Salaries and related costs of the staff of the Lead Agency or as described in the approved State Plan if appropriate, that meet the
other agencies engaged in the administration and implementation of goals and purposes of the Act.
the program pursuant to Sec. 98.11. Program administration and (31 All Mandator Funds are obligated in accordance with Sec
implementation include the following types of activities: 98.60(d)(2)(i).
(i) Planning, developing, and designing the Child Care and (d The under paragraphs
same xpeniture (b) and ec)ay no
t be of this sec
td to ieet on in
Development Fund program. requirements
(ii)Providing local officials and the public with information about fiscal ea exr enditure in the State for purposes of this support ma.
the program,including the conduct of public hearings; (e p
(iii)Preparing the application and Plan; be:
(iv) Developing agreements with administering agencies in order (I)Public funds when the funds are:
to carry out program activities; (1 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;( ) pay
and under its administrative control, or certified by the contributing
(vi)Preparing reports and other documents related to the program public agency as 'epresenting expenditures eligible for Federa
for submission to the Secretary; match;
(vii)Maintaining substantiated complaint files in accordance with (ii)Not used to match other Federal funds;and
the requirements of Sec.98.32; (iii)Not Federal funds, or are Federal funds authorized hg Federa
(viii) Coordinating the provision of Child Care and Development law to be used to match other Federal funds;or
Fund services with other Federal, State, and local child care, early (2)Donated from private sources when the donated funds
childhood development programs. and before-and after-school care (i)Are donated without any restriction that would require their us
•
programs; for s specific individual,organization,facility or institution;
(ix)Coordinating the resolution of audit and monitoring findings; (ii)Do not revert to the donor's facility or use; and
(x)Evaluating program results;and (:ii)Are not used to match other Federal funds:
(xi) Managing or supervising persons with responsibilities (:v) Shall be certified both by the donor and by the Lead Agent
described in paragraphs(a)(I)(i)through(x)of this section; as available and representing expenditures eligible for Federal mater;
(2) Travel costs incurred for official business in carrying out the and
program; (v)Shall be subject to the audit requirements in Sec. 98.55 of
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[DOCID:fr24jy98-21]
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Pages 39981-39998 Page 11 of 19
these regulations. (2) Any service for which such students receive academic credit
(f) 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 Cr instruction.
under this Part: Pursuant to Sec. 98.2, assistance provided to patents through
(1)In-kind contributions;and certificates is not a grant or contract. Funds provided through chiic
(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 o'
(h)Pub tic pre-kindergarten(pre-K)expenditures: the child care services.
(1) May be used to meet the maintenance-of-effort requirement (e)The CCDF may not be used as the non-Federal hart tor other
only if the State has not reduced its expenditures for full-day/full- Federal grant programs.
year child care services;and
(2) May be eligible for Federal match if the State includes in its Sec. ')8.55 Cost allocation.
Plan, as provided in Sec. 98.16(q), a description of the efforts it will and sub anises shall keep on tile cost
undertake to ensure that pre-K programs meet the needs of working (a) The Lead Agency
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 ran
subsection. In any fiscal year, a State may use other public pre-K with the Federal government should prepare and keep on file co,
funds for up to 20% of the expenditures serving as the States allocation plans or indirect cost agreements, as appropriate
matching funds under this subsection. (el 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 regulation:,. but then
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 Suboart G--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 availaoility c :
(al General. (1) Funds authorized under section 418 of the Social appropriations, in accordance with the apportionment of funds fror
Security Act and section ti58B 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 (I) Discretionary Funds are available to States, Territories, ar I
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 acccrdance wr n
(2) Funds shall be expended in accordance with applicable State the apportionment of funds from the Office of Management at d
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 t. e
agencies or organizations, no funds shall be expended for the CCDF funds made available for a fiscal year for the provision if
purchase or improvement of land, or for the purchase, construction, technical assistance: and
or permanent improvement of any building or facility. However, .2)Will award the remaining CCDF funds to grantees that have it
funds may be expended for minor remodeling, and for upgrading approved application and Plan.
child care facilities to assure that providers meet State and local child I c) The Secretary may make payments in installments, and n
care standards, including applicable health and safety requirements. advance or by way of reimbursement, with necessary adjustme: is
(2) For sectarian agencies or organizations, the prohibitions in due to overpayments or underpayments.
paragraph (b)(1) of this section apply; however, funds may be (d) The following obligation and liquidation provisions apply :o
expended for minor remodeling only if necessary to bring the facility States and Territor es:
into compliance with the health and safety requirements established (1) Discretionar) Fund allotments shall be obligated in the fu al
pursuant to Sec.98.41. year in which funds are awarded or in the succeeding fiscal ye u.
(3) Tribes and tribal organizations are subject to the requirements Unliquidated obligations as of the end of the succeeding fiscal ar
at Sec. 98.84 regarding construction and renovation. shall he liquidated within one year.
(c) Tuition. Funds may not be expended for students enrolled in (2)(i) Mandatory Funds for States requesting Matching Funds 'er
grades I through 12 for: Sec. 98.53 shall be obligated in the fiscal year in winch the funds ire
1) Any service provided to such students during the regular granted and are available until expended.
school day; (ii) Mandatory Funds for States that do not request Mate:: ng
Funds are available until expended.
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Pages 39981-39998 Page 12 of 19
(3) Both the Federal and non-Federal share of the Matching Fund made in cash or in services provided in-kind. Payment provided in-
shall be obligated in the fiscal year in which the funds are granted kind shall be based on fair market value. All loans shall be fulls
and liquidated no later than the end of the succeeding fiscal year. repaid.
(4) Except for paragraph (d)(5) of this section, determination of (i) Lead Agencies shall recover child care payments that are the
whether funds have been obligated and liquidated will be based on: result of fraud. These payments shall be recovered from the pam
(i)State or local law; or, responsible for committing the fraud.
(ii)If there is no applicable State or local law,the regulation
at 45 CFR 92.3,Obligations and Outlays(expenditures). Sec. 98.61 Allotments from the Discretionary Fund.
(5)Obligations may include subgrants or contracts that require the
payment of funds to a third party (e.g., subgrantee or contractor). (a) To the 50 States, the District of Columbia, and the
However, the following are not considered third party subgrantees or Commonwealth of Puerto Rico an amount equal to the fund,.
contractors: appropriated for the Child Care and Development Block Grant, 1es:
(i)A local office of the Lead Agency; amounts reserved for technical assistance and amounts reserved for
(ii)Another entity at the same level of government as the Lead the Territories and Tribes, pursuant to Sec. 98.601b I and paragraph.
Agency;or (b) and (c) of this section, shall be allotted based upon the formula
(iii) A local office of another entity at the same level of specified in section 658O(b)of the Act
government as the Lead Agency. (b I For the U.S. Territories of Guam,American Samoa, the Virgil
(6) For purposes of the CCDF, funds for child care services Islands of the Unitec States, and the Commonwealth of the Northert
provided through a child care certificate will be considered obligated Mariana Islands an amount up to one-half of one percent of tht
when a child care certificate is issued to a family in writing that amount appropriated for the Child Care and Development Block
indicates: Grant shall be reserved.
(i)The amount of funds that will be paid to a child care provider (1) Funds shall be allotted to these Territories based .rpon the
or family,and following factors:
(iii The specific length of time covered by the certificate, which is (ii A Young Child factor--the ratio of the number of children
limited to the date established for redetermination of the family's the Territory under live years of age to the number of such childre
eligibility,but shall be no later than the end of the liquidation period. in all Territories; and
(7) Any funds not obligated during the obligation period specified (ii) An Allotment Proportion factor--determined by dividing to
•
in paragraph(d)of this section will revert to the Federal government per capita income of all individuals in all the Territories by the pc
Any funds not liquidated by the end of the applicable liquidation capita income of all individuals in the Territory.
period specified in paragraph(d)of this section will also revert to the (A)Per capita income shall he:
Federal government. (1) Equal to the average of the annual per capita incomes for the
(e) The following obligation and liquidation provisions apply to most recent period of three consecutive years for which satisfactot
Tribal Discretionary and Tribal Mandatory Funds data are available at the time such determination is made; and
(1)Tribal grantees shall obligate all funds by the end of the fiscal (2)Determined every two years.
year following the fiscal year for which the grant is awarded. Any (B) Per capita income determined, pursuant to ?araerac)
funds not obligated during this period will revert to the Federal (b) 1)(ii)(A) of this section, will be applied in establishing tt
government. allotment for the fiscal year for which it is determined and for e
(2) Obligations that remain unliquidated at the end of the following fiscal year.
succeeding fiscal year shall be liquidated within the next fiscal year. (C) If the Allotment Proportion factor determined at paragrar n
Any tribal funds that remain unliquidated by the end of this period (b)(1)(ii)of this section:
will also revert to the Federal government.
(f) Cash advances shall be limited to the minimum amounts [[Page 39992]]
needed and shall be timed to be in accord with the actual, immediate
cash requirements of the State Lead Agency, its subgrantee or 1) Exceeds 1.2, then the Allotment Proportion factor of tie
contractor in carrying out the purpose of the program in accordance Territory shall be considered to be 1.2;or
with 31 CFR part 205. '2) Is less than 0.8, then the Allotment Proportion factor of t re
(g) Funds that are returned (e.g., loan repayments, funds Territory shall be considered to be 0.8.
deobligated by cancellation of a child care certificate, unused (2) The formula used in calculating a Territory's allotment is as
subgrantee funds) as well as program income (e.g., contributions follows:
made by families directly to the Lead Agency or subgrantee for the (ii) For purposes of the formula specified at paragrapn t b)(2)(i of
cost of care where the Lead Agency or subgrantee has made a full this section, the term "YCF<INF>t</INF>" means the Territor;s
payment to the child care provider)shall, Young Child factor as defined at paragraph(b)(I)(i)of tors section
(1) if received by the Lead Agency during the applicable (iii)For purposes of the formula specified at paragraph]b)(2)(t. of
obligation period, described in paragraphs (d)and (el of this section, this section, the term "APF<INF>t</INF>" means the Territm v's
be used for activities specified in the Lead Agency's approved plan Allotment Proportion factor as defined at paragraph(b)(1)(ii)of t its
and must be obligated by the end of the obligation period; or section.
(2)if received after the end of the applicable obligation period (c) For Indian Tribes and tribal organizations, incmding, ny
described at paragraphs (d) and (e)of this section, be returned to the Alaskan Native Village or regional or village corporation as defied
Federal government. in or established pursuant to the Alaska Native Claims Settlement
(h)Repayment of loans,pursuant to Sec,98.51(a)(2)(ii),may be Act (43 U.S.C. 1601 et seq) an amount up to two percent of the
amount appropriated for the Child Care and Development BI ick
Grant shall be reserved.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCD:fr24jy98-21]
t C'ibi
Federal Register:July 24, 1998(Volume 63,Number 142)Rules and Regulations page Exh h13 biof 19
Pages 39981-39998
(1)Except as specified in paragraph(c)(2)of this section, grants to (3)Kawerak,Inc.;
individual tribal grantees will be equal to the sum of: (4)Maniilaq Association;
5 Association of Village Council Presidents;
(i)A base amount as set by the Secretary;and (5)
(ii) An additional amount per Indian child under age 13 (or such (6)Tanana Chiefs Conference;
similar age as determined by the Secretary from the best available (7)Cook Inlet Tribal Council;
data),which :s determined by dividing the amount of funds available, (8)Bristol Bay Native Association;
less amounts set aside for eligible Tribes, pursuant to paragraph (9)Aleutian and Pribilof Islands Association;
(c)(1)(i) of this section, by the number of all Indian children living (10)Chugachmuit;
on or near tribal reservations or other appropriate area served by the (11)Tlingit and Haida Central Council;
(1 2)Kodiak Area Native Association; and
tribal Grantsntee,pursuant withto S f.fewer than. ( ) Copper River Native Association.
(2) Grants to Tribes than 50 Indian children that apply (13) , pp
as part of a consortium,pursuant to Sec. 98.80(6)(1), are equal to the (c)(1)Grants to individual Tribes with 50 or more Indian cniidren,
sum of: and to Tribes with fewer than 50 Indian children that apply as part of
(i)A portion of the base amount,pursuant to paragraph (c)(1)(i)of a consortium pursuant to Sec. 98.80(b)(1),will be equal to an amount
this section, that bears the same ratio as the number of Indian per Indian child under age 13 (or such similar age as determined by
children in the Tribe living on or near the reservation, or other the Secretary from the nest available data), which is determined by
appropriate area served by the tribal grantee, pursuant to Sec. dividing the amount of funds available, by the number of Indian
98.80(e),does to 50; and children in each Tribe's service area pursuant to Sec. 98.80(e).
An additional amount per Indian child, pursuant to paragraph (2)Tribal consortia will receive grants that are equal to the sum
(ii) of the individual grants of their members.
(c)(1)(ii)of this section.
(3)Tribal consortia will receive grants that are equal to the sum of Sec. 98.63 Allotments `rpm the Matching Fund.
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 (a) to each of the 50 States and the District of Coumbia mere is
Tribes at paragraph (c) of this section will be allotted to tribal allocated an amount equal to its share of the total available under
grantees. Any funds that are returned by the Territories after they section 418(a)(3)of the Social Security Act. That amount is based on
have been allotted will revert to the Federal government. the same ratio as the number of children under age 13 residing in the
(e) For other organizations, up to S2,000,000 may be reserved State bears to the national total of children under age ''.3.The number
from the tribal funds reserved at paragraph (c) of this section. From of children under 13 is derived from the best data available to the
this amount the Secretary may award a grant to a Native Hawaiian Secretary for the second preceding fiscal year.
Organization, as defined in section 4009(4) of the Augustus F. (b) For purposes of this subsection. the amounts available under
Hawkins-Robert T. Stafford Elementary and Secondary School section 4I8(a)(3) of he Social Security Act excludes the amounts
Improvement Amendments of 1988 (20 U.S.C. 4909(4)) and to a reserved and allocatec under Sec. 98.60(b)(1)for technical assistance
private non-profit organization established for the purpose of serving and mder Sec. 98.62(a) and (b) for the Mandatory l::und. (r.
youth who are Indians or Native Hawaiians. The Secretary will Amounts under this subsection are available pursuant to the
establish selection criteria and procedures for the award of grants requirements at Sec. 98.53(c).
under this subsection by notice in the Federal Register. Sec. 48.64 Reallotment and redistribution of funds.
Sec.98.62 Allotments from the Mandatory Fund.
(a: According to he provisions of this section State and Tribal
(a) Each of the 50 States and the District of Columbia will be Discretionary Funds are subject to reallotment, and State Matching
allocated from the funds appropriated under section 4I8(a)(3) of the Funds are subject to redistribution. State funds are reallotted or
Social Security Act, less the amounts reserved for technical redistributed only to States as defined for the original allocation
assistance pursuant to Sec. 98.60(b)(1) and the amount reserved for Tribal fonds are reallotted only to Tribes. Funds granted to the
Tribes pursuant to paragraph (b) of this section, an amount of funds Territories are not subject to reallotment. Any funds granted to the
equal to the greater of: Territories that are returned after they
(1) the Federal share of its child care expenditures under
subsections(g)and(i)of section
ec i 402
the Social Securi
Act
(as
in
[[Page 39993]]
effect before October I, on for fiscal year 1994 s
(whichever is greater);or have been allotted will revert to the Federal government.
(2) the average of the Federal share of its child care expenditures (h) Any portion of a State's Discretionary Fund allotment that
under the subsections referred to in subparagraph (a)(1) of this n➢t required to is madearry out
its Plan,
in reallottedtaperiod
iod foroth which to
•
• section for fiscal years 1992 through 1994.
(b) For Indian Tribes and tribal organizations up to 2 percent of proportion to the on ginal allotments.For purposes of this paragraph
the amount appropriated under section 418(a)(3) of the Social the term State" means the 50 States, the District of Columbia an i
Security Act shall be allocated according to the formula at paragraph the Commonwealth. of Puerto Rico. The other Territories and ti e
(c) of this section. In Alaska, only the following 13 entities shall Trines may not receive reallotted State Discretionary Funds
receive allocations under this subpart, in accordance with the formula do(1) Each amount faomhe Lpreviousehll report
rtg to
that thecretary w 11 be either
n e
at )a (c)ola this sIndian
(1) The Metlakatla Indian Community of the Annette Islands °ob hat all funds will r igatobligation `
ed during such time. Such report shall be postmarked by Ap I
Reserve: 1st.
(2)Arctic Slope Native Association;
]From Me Federal Register Online via GPO Access[wais.access.gpo.govt
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Pages 39981-39998 Page 14 of 19
(2) Based upon the reallotment reports submitted by States, the (i)If the total amount available for reallotment is$2_`.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 years funds, pursuant to Sec. (ii) If the total amount available for reallotment .s lest than
98.61(ai. $25,000,the Secretary will not reallot any funds, and such tunas 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 will revert to the Federal government.
$500, the Secretary will not issue the award, and such funds will (3) If a Tribe does not submit a reallotment report by the deadline
revert to the Federal government. for report submittal, either:
(3) If a State does not submit a reallotment report by the deadline CO The Secretary will determine that Tribe does riot ha'e any
for report submittal,either: funds available for reallotment;or
(1) The Secretary will determine that the State does not have any (ii) In the case of a report received after the deadline established
funds available for reallotment;or by the Secretary, any funds reported to be available for reallotment
(ii) In the case of a report postmarked after April 1st. any funds shall revert to the Federal government.
reported to be available for reallotment shall revert to the Federal (4) Tribes receiving reallotted funds shall obligate ant expend
government these funds in accordance with Sec. 98.60. The reallotment or funds
(4) States receiving reallotted funds shall obligate and expend does not extend the obligation period or the program period for
these 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 ant 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
redistributed. Funds, if any, will be redistributed on the request of, close of each program period in accordance with OMB Circular A-
and only to,those other States that have met the requirements of Sec. 133 and 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 suograntees
purposes of this paragraph the term "State" means the 50 States and are 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, Leau
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). I cad Agencies
granted, shall also be redistributed in the manner described in shall also submit a copy of their audit report to the I IHS Inspector
paragraph(1)of this section. General for Audit Services, as well as to their cogm::ant agency, it
(3) The amount of Matching Funds granted to a State that will be applicable.
made available for redistribution will be based on the States (d) Any amounts determined through an audit not to lave been
financial report to ACF for the Child Care and Development Fund expended in accordance with these statutory or regulatory provisions.
(ACF-69'6) and is subject to the monetary limits at paragraph (b)(2) or with the Plan, and that are subsequently disallowed by the
of this 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 r
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 book::
(5)A State's share of redistributed Matching Funds is based on the documents, papers and records to allow the Secretary to verify tha
same ratio as the number of children under 13 residing in the State to CCDF funds have been expended in accordance with the ,tatutor'
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. (D The audit required in paragraph (a) of this section shall bi
(6) Redistributed funds are considered part of the grant for the conducted by an agency that is independent of the State, ;erritory o
fiscal year in which the redistribution occurs. Tribe as defined by generally accepted government auditmt
(dl Any portion of a Tribe's allotment of Discretionary Funds that standards issued by the Comptroller General, or a puolic accountan
is not required to carry out its Plan, in the period for which the who meets such independent standards.
allotment is made available. shall be reallotted to other tribal grantees (g)The Secretary shall require financial reports as r ecersary.
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 (a) Any expenditures not made in accordance with vie Act, th
obligate by the end of the obligation period or that all funds will be implementing regulations, or the approved Plan, will be subject t
obligated during such time. Such report shall be postmarked by a disallowance.
deadline established by the Secretary.
(2) Based upon the reallotment reports submitted by Tribes, the [[Page 39994]]
Secretary will reallot Tribal Discretionary Funds among the other
Tribes.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-21]
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page 15 of 19
Pages 39981-39998
(b) If the Department, as the result of an audit or a review, finds (2) The tracing of funds to a level of expenditure adequate to
that expenditures should be disallowed, the Department will notify establish that such funds have not been used in violation of the
the Lead Agency of this decision in writing, provisions of this part.
(c)(1) If the Lead Agency agrees with the finding that amounts
were not expended in accordance with the Act, these regulations, or Subpart H--Program Reporting Requirements
the Plan, the Lead Agency shall fulfill the provisions of the
disallowance notice and repay any amounts improperly expended;or Sec.98.70 Reporting.requirements.
(2)The Lead Agency may appeal the finding: Case-level Report--
(i) By requesting reconsideration from the Assistant Secretary, (at Quarterly
pursuant to paragraph(f)of this section;or (1)State and territorial Lead Agencies that receive assistance
(ii)By following the procedure in paragraph(d)of this section. under the CCDF shall prepare and submit to the Department, in a
(d) A Lead Agency may appeal the disallowance decision to the manner specified by the Secretary, a quarterly case-ieve report or
Departmental Appeals Board in accordance with 45 CFR part 16. monthly family case-level data. Data shall be collected monthly and
(e)The Lead Agency may appeal a disallowance of costs that the submitted quarterly. States may submit the data mon&ly if the'
Department has determined to be unallowable under an award. A choose to do so.
grantee may not appeal the determination of award amounts or (2)The information shall be reported for the three-mont i 'ederal
disposition of unobligated balances. fiscal period preceding the required report. The first report shall br
(f) The Lead Agency's request for reconsideration in (c)(2)(i) of submitted no later than August 31, 1998, and quarterly thereafter
this section shall be postmarked no later than 30 days after the receipt The first report shall include data from the third quarter of FFY 199:
of the disallowance notice. A Lead Agency may request an (April 1998 through June 1998). States and Territorial Lea.
extension within the 30-day time frame. The request for Agencies which choose to submit case-level data monthly mus.
reconsideration, pursuant to (c)(2)(i) of this section. need not follow submit their report for April 1998 no later than July ?0, 199£
any prescribed form,but it shall contain: Following reports must be submitted every thirty days thereafter.
(1)The amount of the disallowance; (3) State and territorial Lead Agencies choosing to submit tint a
(2)The Lead Agency's reasons for believing that the disallowance on
apriorto the submission based sample il submit
first quarterly
ubmit of the fingpllntoA F tort. :States m
was improper;and 60 days
(3) A copy of the disallowance decision issued pursuant to not prohibited from submitting case-level data for the enure
paragraph(b)of this section. population receiving CCDF services.
(g)(1) Upon receipt of a request for reconsideration.pursuant to i 4)Quarterly family case-level reports to the Secretary shall
(c)(2)(i)of this section,the Assistant Secretary or the Assistant include the information listed in Sec.98.71(a).
Secretary's designee will inform the Lead Agency that the request is b)Annual Report--
under review. .1) State and territorial Lead Agencies that receive assistan e
(2)The Assistant Secretary or the designee will review any under CCDF shall prepare and submit to the Secretary an annual
material submitted by the Lead Agency and any other necessary report. The report shall be submitted, in a manner specified by lie
materials.
Secretary, by December 31 of each year and shall covet the 111( st
ember).
(3) If the econponsetion decision is adverse c the Lead Ag Lead recent fedeThe rfrstfiscal
annua aggregate report shall submitted no la.Cr
position, the response will include a notification of the Lead (2)
Agency's right to appeal to the Departmental Appeals Board, than December 31 1997,and every twelve months thereafter.
pursuant to paragraph(d)of this section. (3) Biennial reports to Congress by the Secretary shall include to
(h) If a Lead Agency refuses to repay amounts after a final information listed in Sec.98.71(b).
decision has been made, the amounts will be offset against future (c)Tribal Annual Report--
payments to the Lead Agency. (1)Tribal Lead agencies that receive assistance under CCDF sr ill
I:i) The appeals process in this section is not applicable if the prepare and submu:to the Secretary an annual aggregate report.
disallowance is part of a compliance review, pursuant to Sec. 98.90, (2) The report shall be submitted in the manner specified by he
the findings of which have been appealed by the Lead Agency. Secretary by December 31 of each year and shall •:over service:. Mr
(j)Disallowances under the CCDF program are subject to interest children and families served with CCDF funds during he preced ng
regulations at 45 CFR part 30. Interest will begin to accrue from the Federal Fiscal Year.
date of notification. (3)Biennial reports to Congress by the Secreurr- snail include :he
information listed in Sec.98.71(c).
Sec.98.67 Fiscal requirements. Sec.98.71 Content of reports.
(a)Lead Agencies shall expend and account for CCDF funds in
accordance with their own laws and procedures for expending and (a) At a minimum, a State or territorial Lead Agency's quart nrly
accounting for their own funds. case-level report to the Secretary, as required in Sec. 98.70„ saall
(b)Unless otherwise specified in this part, contracts that entail include the following information on services provided under Ct DF
the expenditure of CCDF funds shall comply with the laws and grant funds, including Federal Discretionary (which
inclManda des any
and
procedures generally applicable to expenditures by the contracting funds transferred from the TANF Block Grant),
agency of its own funds. Matching Funds, and State Matching and Maintenance-of-L fort
(c)Fiscal control and accounting procedures shall be sufficient to (MOE)
The total monthly family income for determining eligibilir .
permit: (1)
(1)Preparation of reports required by the Secretary under this (2.)County of residence;
subpart and under subpart H;and (33)Gender and month/year of birth of children;
]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 C
Pages 39981-39998 Page 16 of 19
(4)Ethnicity and race of children; Subpart I--Indian Tribes
(5)Whether the head of the family is a single parent;
(6) The sources of family income, from employment (including Sec.98.80 General procedures and requirements.
self-employment), cash or other assistance under the Temporary
Assistance for Needy Families program under Part A of title [V of An Indian Tribe or tribal organization (as described in Sunpart C
the Social Security Act, cash or other assistance under a State of these regulations) may be awarded grants to plan and carry out
program for which State spending is counted toward the maintenance programs for the purpose of increasing the availability. affordability.
of effort requirement under section 409(a)(7) of the Social Security and quality of child care and childhood development programs
Act, housing assistance, assistance under the Food Stamp Act of subject to the following conditions:
1977; and other assistance programs; (a) An Indian Tribe applying for or receiving CCDF funds shall be
(7)The month/year child care assistance to the family started; subject to all the requirements under this part. uniess jmerw ise
indicated.
[[Page 399.95]] (b) An Indian Tribe applying for or receiving CCDF rims shall
(I) Have at least 50 children under 13 years of a:e I(4 suet similar
(8)The type(s) of child care in which the child was enrolled(such age, as determined by the Secretary from the hes aveilabie data) in
as family child care,in-home care,or center-based child care); order to be eligible to operate a CCDF program. Tni> 'imitation does
(9)Whether the child care provider involved was a relative; not preclude an Indian Tribe with fewer than 50 chi,drer under 1
(10)The total monthly child care copayment by the family; years of age from participating in a consortium t pal ;ecci ie. CCD:
(11)The-total expected dollar amount per month to be received by funds;and
the provider for each child; (2) Demonstrate its current service deliver cap„m hty mcludin
(12) ao
The total hours per month of such care; skills, personnel, resources, community support. and nine' r,ccessar,
(13)Social Security Number of the head of the family unit components to satisfactorily carry out the propose] fin,gram.
receiving child care assistance; (c) A consortium representing more than one Ind an Jr ht may hr
(14)Reasons for receiving care;and eligible to receive CCDF funds on behalf of a panscul..t T rid.,if
(15)Any additional information that the Secretary shall require. (11 The consortium adequately demnnstra;c> n.e cad
(b) At a minimum, a State or territorial Lead Agency's annual participating Tribe authorizes the consortium to rrcen e C ".IF fune
aggregate report to the Secretary, as required in Sec. 98.70(b), shall on behalf of each Tribe or tribal organization in the consoruom:and
include the following information on services provided through all (2)The consortium consists of Tribes that each mess thr iigihili-.
CCDF grant funds, including Federal Discretionary (which includes requirements for the CCDF program as defined in tnic far. or thus
any funds transferred from the TANF Block Grant), Mandatory, and would otherwise meet the eligibility requirements f the Tribe
Matching Funds;and State Matching and MOE Funds: tribal organization had at least 50 children under 13 y;tars -d sec: any
(I i The number of child care providers that received funding under (3) All the participating consortium member, an in erograph]
CCDF as separately identified based on the types of providers listed proximity to one another(including operation in a multi-S•ate ate,
in section 658P(5) of the amended Child Care and Development or have an existing consortium arrangement,and
Block Grant Act: (4) The consortium demonstrates that it has :he menagenet
(2) The number of children served by payments through technical and administrative staff with the alai) r. to admmisu'
certificates or vouchers, contracts or grants, and cash under public government funds, manage a CCDF program and comply with to:
benefit programs, listed by the primary type of child care services provisions of the Act and of this part.
provides during the last month of the report period(or the last month (d) The awarding of a grant under this section shall not affect it e
of service for those children leaving the program before the end of eligibility of any Indian child to receive CCDF services orovideci r
the report period); the State or States in which the Indian Tribe is located.
(3) The manner in which consumer education information was (e)For purposes of the CCDF, the determination :rf the number I
provided to parents and the number of parents to whom such children in the Tribe, pursuant to paragraph (b)(I1 of :his secno:.
information was provided; shall include Indian children living on or near reservation::.. with n. e
(4)The total number(without duplication)of children and families exception of Tribes in Alaska,California and Oklahoma.
served under CCDF;and (f)In determining eligibility for services pursuant :o
(5)Any additional information that the Secretary shall require. Sec. 98.20(a)(2),a tribal program may use either
(c)At a minimum,a Tribal Lead Agency's annual report to the (1) 85 percent of the State median income for a family of the sari ie
Secretary, as required in Sec.98.70(c),shall include the following size;or
information on services provided through all CCDF tribal grant (2) 85 percent of the median income for a family of the same to re
awards: residing in the area served by the Tribal Lead Agency.
(I) Gnduplicated number of families and children receiving
services; Sec. 98.81 Application and Plan procedures.
(2)Children served by age;
(3)Children served by reason for care; a) In order to receive CCDF funds, a Tribal Lead Agency sh ill
(4)Children served by payment method(certificate/voucher or apply for funds pursuant to Sec. 98.13,except that the requirement at
contract/grants); Sec. 98.13(b)(2)does not apply.
(5)Average number of hours of care provided per week; (b) A Tribal Lead Agency shall submit a CCDF Plan. as descrft ed
(6)Average hourly amount paid for care; at Sec. 98.16,with the following additions and exceptions
1 The Plan shall include the basis for determining fan I)/(7)Children served by level of family income; and ( )
(8)Children served by type of child care providers. eligibility pursuant to Sec. 98.80(f).
(2)For purposes of determining eligibility,the following temis
]From the Federal Register Online via GPO Access[wais.access.gpo.govl
[DOCID:fr24jy98-21]
Federal Register:July 24, 1998(Volume 63,Number 142)Rules and Regulations Exhibit C
page 17 of 19
Pages 39981-39998
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
Indian reservation or tribal service area join another consortium or apply as a direct grantee to recei ze the
(ii) otherpart of the CCDF(e.g.Tribal Mandatory Funds).
(3)The Tribal Lead t Agency shall also assure mu 4 f a Tribe relinquishes its membership in a consortium at any
(i)The applicant shall coordinate,to the maximum extent feasible, ( )
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
(ii)In the case of an applicant located in a State other than direct child care services to other consortium members for that.fiscal
Alaska,California,or Oklahoma,CCDF programs and activities shall year.
be carried out on an Indian reservation for the benefit of Indian at Secs.)Tribal Lead
Age ci s shall not be esubject c2to'the
requirements
3 9
children,pursuant to Sec.98.83(b).
63.
(4) The Plan shall include any information, as prescribed by the (e)The base amount of any tribal grant is not subject to the
Secretary, necessary for determining the number of children in administrative cost limitation at paragraph(g)of this section or the
accordance with Secs. 98.61(c),98.62(c), and 98.80(6)(4 quality expenditure requirement at Sec. 98.51(a). The base amount
(5) Plans for those Tribes specified at Sec. 98.83(f) (i.e., Tribes may ne expended for any costs consistent with The purposes and
with small grants) are not subject to the requirements in Sec. requirements of the CCDF.
98.16(g)(2)or Sec.98.16(k)unless the Tribe chooses to include such (f) Tribal Lead Agencies whose total CCDF allotment pursuant to
services,and,therefore,the associated requirements,in its program. Secs. 98.61(c) and 98.62(b)is less than an amount establisher,by the
Secretary shall not be subject to the following requirements
[[Page 39996]] (1)The assurance at Sec.98.15(a)(2);
(2' The requirement for certificates at Sec.98.30(a 1 and(d),and
(6) The Plan is not subject to requirements in Sec. 98.16(f)(8) or (3 The requirements for quality expenditures at Se.c 98.:51(a).
Sec.98.16(g)(4). (gi Not more than 15 percent of the aggregate CCDF fund.)
(7) In its initial Plan, an Indian Tribe shall describe its current expended by the Tribal Lead Agency from each fiscal year's
service delivery capability pursuant to Sec.98.80(b)(2). (including amounts used for construction and 'enovation in
(8)A consortium shall also provide the following: accordance with Sec. 98.84, but not including the ease amour!
(i) A list of participating or constituent members, including provided. under Sec. 98.83(e)) shall be expended for administrative
demonstrations from these members pursuant to Sec.98.80(c)(I); actin ities. Amounts used for construction and major renovation it
(ii)A description of how the consortium is coordinating services accordance with Sec 98.84 are not considered administrative costs.
on behalf of its members, pursuant to Sec. 98.83(c'1(I);and (h)(I)CCDF funds are available for costs incurred by the Tribal
(iii) As part of its initial Plan, the additional information required Lead Agency only after the funds are made available;by Congress f u
at Sec.98.80(c)(4). Federal obligation unless costs are incurred for planning activitie
(c) When initially applying under paragraph (a) of this section, a related to the submission of an initial CCDF Plan.
Tribal Lead Agency shall include a Plan that meets the provisions of (::)Federal obligation of funds for planning costs, pursuant to
this part and shall be for a two-year period,pursuant to paragraph(h)(1)of(his section is subject to the actual avaiianility
Sec.98.17(a). of the appropriation
Sec. 98..82 Coordination. Sec 98.84 Construction and renovation of child care facilities.
Tribal applicants shall coordinate as required by Secs.98.12 and (a)Upon requesting and receiving approval from the Secretary,
98.14 and: Tribal Lead Agencies may use amounts provided under Sec..
(a)To the maximum extent feasible, with the Lead Agency in the 98.61(c) and 98.62(6) to make payments for construction or majrr
State or States in which the applicant will carry out the CCDF renovation of child care facilities (including paying he cost t f
program;and amortizing the principal and paying interest on loans).
(b)With other Federal, State,local, and tribal child care and !b)To bee approved
with uniform procedures
by the Seecr etary,a request establishedalll be b nrsn nma e i
n
childhood development programs. ac
instruction and,in addition,shall demonstrate that:
Sec. 98.83 Requirements for tribal programs. i 1)Adequate facilities are not otherwise available to erahie the
Tribal Lead Agency to carry out child care programs.
(a)The grantee shall designate an agency,department,or unit to :2)The lack of such facilities will inhibit the operation of child
act as the Tribal Lead Agency to administer the CCDF program. care programs in the future;and
(b)With the exception of Alaska, California,and Oklahoma, (3)The use of funds for construction or major renovation wit, r a
programs and activities shall be carried out on an Indian reservation result in a decrease in the level of child care services provided by tie
for the benefit of Indian children. Tribal Lead Agency as compared to the level of sen ices provided iy
(c)In the case of a tribal grantee that is a consortium:
the Tribal Lead Agency in the preceding fiscal year.
(I)A A brief description of the direct child care services funded by (c)(1) Tribal Lead Agency may use CCDF funs for reasonal ie
CCDF for each of their participating Tribes shall be provided by the and necessary planning costs associated with assessing the need 'or
consortium in their two-year CCDF Plan;and construction or renovation or for preparing a request, in accordar ce
(2) Variations in CCDF programs or requirements and in child with the uniform procedures established by program instruction, to
care licensing,regulatory and health and safety requirements shall be spend CCDF funds on construction or major renovation.
specified in written agreements between the consortium and the (2) A Tribal Lead Agency may only use CCDF funds to pay 'or
Tribe. the costs of an architect, engineer, or other consultant for a pro,net
]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 C
.. Pa
18 of 19
pages 39981-39998
that is subsequently approved by the Secretary. If the project later (b) If a review or investigation reveals evidence that the Lead
fails to gain the Secretary's approval,the Tribal Lead Agency must Agency, or an entity providing services under contract or agreement
pay for the architectural, engineering or consultant costs using non- with the Lead Agency, has failed to substantially comply with the
CCDF funds. Plan or with one or more provisions of the Act or implementing
(d)Tribal Lead Agencies that receive approval from the Secretary regulations, the Secretary will issue a preliminary notice to the Lead
to use CCDF funds for construction or major renovation shall Agency cyrttoofs rpossible
essiibldefinm cog Lead ln non-compliance.
with The tart' days l con der
such
comply with the following:
(1)Federal share requirements and use of property requirements at longerCf period)as may be agreed upon between the Lead Agency anc
45 CFR 92.31;
(2)Transfer and disposition of property requirements at 45 CFR (c) Pursuant to an investigation conducted under paragraph (a) of
92.31(c); this section, a Lead Agency shall make appropriate books,
(3)Title requirements at 45 CFR 92.31(a); documents, papers, manuals, instructions, and records available to
(4)Cost principles and allowable cost requirements at 45 CFR the Secretary, or any duly authorized representatives,for examination.
92.22; or copying on or off the premises of thc appropriate entity, including
• (5)Program income requirements at 45 CFR 92.25; subgrantees and contractors,upon reasonable request.
(6)Procurement procedures at45 CFR 92.36;and; (d)(I) Lead Agencies and subgrantees shall retain all C0DY'
(7) Any additional requirements established by program records, as specified in paragraph (c) of this section. and any other
instruction,including requirements concerning: records of Lead Agencies and subgrantees that are needed t,
(i)The recording of a Notice of Federal Interest in the property; substantiate compliance with CCDF requirement, for the period of
(ii)Rights and responsibilities in the event of a grantee's time specified in paragraph(e)of this section.
default on a mortgage; (2) Lead Agencies and subgrantees shall provide through at
(iii)Insurance and maintenance; appropriate provision in their contracts that their contractors wi)
(iv) Submission of plans,specifications, inspection reports,and retain and permit access to any books, documents, papers, am
other legal documents;and records of the contractor that are directly pertinent to that specific
(v)Modular unit. contract
(e)In lieu of obligation and liquidation requirements at (e)Length of retention period.(I)Except as provided in paragrapi
Sec. 98.60(e),Tribal Lead Agencies shall liquidate CCDF funds used (e)(2: of this section, records specified in paragraph ;c of tht
for construction or major renovation by the end of the second fiscal section shall be retained for three years from the day the Lea
year following the fiscal year for which thc grant is awarded. Agency or subgrantee submits the Financial Reports required by tit
Secretary,pursuant to Sec. 98.65(g),for the program period.
[[Page 39997]] (2 If my litigation, claim, negotiation, audit, disallowance acti ca .
or other action involving the records has been started before P.:
(f) Tribal Lead Agencies may expend funds, without requesting expiration of the three-year retention period, the records shall he
approval pursuant to paragraph (a) of this section, for minor retained until completion of the action and resolution of all issui s
that arise from it, or until the end of the regular three-ye:r perm .,renovation.
(g) A new tribal grantee(i.e.,one that did not receive CCDF funds whichever is later.
the preceding fiscal year) may spend no more than an amount
equivalent to its Tribal Mandatory allocation on construction and Sec.98.91 Non-compliance.
renovation.A new tribal grantee must spend an amount equivalent to
its Discretionary allocation on activities other than construction or (a) If after reasonable notice to a Lead Agency, pursuant to Sr
renovation (i.e., direct services, quality activities, or administrative 98.90 or Sec.98.93,a final determination is made that
costs). (1) There has been a failure by the Lead Agency. or by an anti
of
(h) A construction or renovation project that requires and receives providing services under contract or agreement with the Len
approval by the Secretary must include as pan of the construction Agency, to comply substantially with any provision or requirernt RI
and renovation costs: set forth in the Plan approved under Sec.98.16;or
(1)planning costs as allowed at Sec.98.84(c); (2) If in the operation of any program for which funding is
(2)labor,materials and services necessary for the functioning of provided under the CCDF,there is a failure by the Lead Agency. or
the facility;and by an entity providing services under contact or agreement with he
(3) initial equipment for the facility. Equipment means items Lead Agency, to comply substantially with any provision of the ,.ct
which are tangible,nonexpendable personal property having a useful or this part, the Secretary will provide to the Lead Agency a wnt.en
life of more than five years. notice of a finding of non-compliance. This notice wil'. be issued
within 60 days of the preliminary notification in Sec. 98.90(b I or
Subpart 3—Monitoring,Non-compliance and Complaints within 60 days of the receipt of additional comments from the 1..sad
Agency, whichever is later, and will provide the opportunity ti r a
Sec. 98.90 Monitoring. hearing,pursuant to part 99.
(b)The notice in paragraph(a)of this section will include all
(a) 'the Secretary will monitor programs funded under the CCDF relevant findings, as well as any penalties or sanctions tc be app.red,
for compliance with: pursuant to Sec. 98.92.
(1)The Act; (c) Issues subject to review at the hearing include the ftndin. of
(2) The provisions of this part;and non-compliance, as well as any penalties or sanctions to be imp used
(3)The provisions and requirements set forth in the CCDF Plan pursuant to Sec. 98.92.
approved under Sec.98.18;
1 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 t Exhibit C
Pages 3.9981.39998 P';e.19 of 19
Sec.98.92 Penalties and sanctions. (c) The Department shall promptly furnish a copy of any
complaint to the affected Lead Agency. Any comments receiver'
(a) Upon a final determination that the Lead Agency has failed to from the Lead Agency within 60 days (or such longer period as may
substantially comply with the Act, the implementing regulations, or be agreed upon between the Lead Agency and Department) shall be
the Plan,one of the following penalties will be applied: considered by the Department in responding to the complaint The
(1)The Secretary will disallow the improperly expended funds; Department will conduct an investigation of complaints. when:
(2) An amount equal to or less than the improperly expended appropriate.
funds will be deducted from the administrative portion of the State (d) The Department will provide a written response to complain
allotment for the following fiscal year;or within 180 days after receipt.If a final resolution carmot be provide_
(3)A combination of the above options will be applied. at that time,the response will state the reasons why additional time
(b)In addition to imposing the penalties described in paragraph(a) necessary.
of this section,the Secretary may impose other appropriate sanctions, communication
Complaints are the not satead isfactorily
y resolved
ll ofe pursued through
tn th
including:Dis
(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 CHILI
under Sec. 98.61 (i.e., the Discretionary Funds) for a Fiscal Year CARE AND DEVELOPMENT
shall be withheld if the Secretary determines that the Lead Agency FUND
has failedto implement a provision of the Act, these regulations, or2.The heading oi'part 99 is revised to read as set forth above:
the Plan required under Sec. 98.16;
(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 iniwhich 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 4.1r part 99 make the following changes:
Secretary; or a.Remove the words -Child Care and Development Block Gnu t"
• (iv) The Lead Agency nay show cause to the Secretary why the and add in their place,wherever they appear.the words —Child Cc re
amount of the penalty,if applied,should be reduced. and Development Fund."
(e) If a Lead Agency is subject to additional sanctions as provided b. Remove the word "Grantees" and add in its place. wherevc .t
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 "Grant' and add in its place. whert'ie it
provided pursuant to Sec.98.91. appears,:he 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 :.heir pia:e,
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, 9 . 1aand and 98.92. this e section,and/or BILLING COD4E1818 Filed ed17-23-98;
- 3 98;8:45 am]
sanctions, as described in paragraphs(a) (b) may
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.
Sec.98.93 Complaints.
(a) This section applies to any complaint (other than a complaint
alleging violation of the nondiscrimination provisions) that a Lead
Agency has failed to use its allotment in accordance with the terms of
the Act, the implementing regulations, or the Plan. The Secretary is
not required to consider a complaint unless it is submitted as required
by this section. Complaints with respect to discrimination should be
referred to the Office of Civil Rights of the Department.
(b) Complaints with respect to the CCDF shall be submitted in
writing to the Assistant Secretary for Children and Families, 370
L'Enfant Promenade, S.W., Washington, D.C. 20447.The complaint
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
include all relevant information known to the person submitting it.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:fr24jy98-21]
EXHIBIT D
Page 1 of 4
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.
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 effect 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.
5 . No officer, member or employee of Weld County and no member o:: 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 cf race,
creed, color, sex, or national origin, be excluded from participation. in,
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Exhibit D
Page 2 zf 4
under this approved Agreement.
S. 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 tc allow authorized local ,
Federal, and State auditors and representatives to audit and moni.tcr 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 t'nis
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
___.-....._...-� .......,---- - .,,anAmont or mndification of anv
Exhibit D
Page 2 of 4
Federal contract, loan, grant, or cooperative agreement.
1? . The Contractor assures that it will fully comply with the Children's Code
regulations 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: Social Services Funds.
1E:. 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 destriction
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 knew that
the two relationships are in opposition.
During the term of the Contract the Contractor shall not enter any t: i.rd
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
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Exhibit D
Page 4 Df 4
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 Child
Protection, no information about or obtained from any applicant/recipient
in possession of Contractor shall be disclosed in a form identifiable w:,th
the applicant/recipient or a minor's parent or guardian. Contractor shall
have written policies governing access to, duplication and dissemir.at:;on
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 employees, agents and
subcontractors, if any, with a copy or written explanation of these
confidentiality requirements before access to confidential data as
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 cr indirectly without prior
written authorization any proprietary information concerning the other
party obtained as a result of this Contract. Any 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 informatior in
the course of its own business.
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