HomeMy WebLinkAbout20002068.tiff RESOLUTION
RE: APPROVE CONTRACT FOR CHILD CARE QUALITY EXPANSION AND AUTHORIZE
CHAIR TO SIGN
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 Contract for Child Care Quality
Expansion 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 the
Colorado Department of Human Services, commencing September 1, 2000, and ending
July 31, 2001, with further terms and conditions being as stated in said contract, and
WHEREAS, after review, the Board deems it advisable to approve said contract, 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 Contract for Child Care
Quality Expansion 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
the Colorado Department of Human Services be, and hereby is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized
to sign said contract.
The above and foregoing Resolution was, on motion duly made and seconded, adopted
by the following vote on the 30th day of August, A.D., 2000.
BOARD OF COUNTY COMMISSIONERS
WWE D COUNTY, COLORA,DO
ATTEST: LIi� — _ '�. 4.,,, ti
'i- arbara J. rkmeyer, hair 7
Weld County Clerk to the rd�" p: y
'f , � - . J ile, Pro-Temf
el
BY: f ��
Deputy Clerk to the B � o •g'� /` "/ - a
` (Z�� 1 George . Baxter
APP-RQ'VED AS TO, EXCUSED
Dale K, Hall
County Atter fey -c>;4i /et,.
Glenn Vaad '
2000-2068
SS0027
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COLORADO MEMORANDUM
#';1: Saltitivi, .1. Ki-±meyer, Chhai€ Date: August 28, 2000
Bc ,yd: of Cciinty' onntis,ion rs
il. Judy A. l go, Director. Social Services,.✓' R (., AA
l v,' :>d C Quality i}pithcior Contract Between the Weld County
D;rar of:Social Services and the Colorado Department of
Flanti' Services
Enclosed 3 Boa.; .ppi. 2 is it ChildCue Qurility Expansion Contract between the
Weld Count, iapa tment of Stern si Senrices anti the Colorado Department of Ullman
Services.
The major T o} , of:the Contract au as blr,ws:
1. The .. "the .:r,;€ is September y 1, 2000, through July 31, 2001.
2. The nur.. _f funciii5g is C .3 3d Care Development Fluid.
3. Soe3tii i:lererees _es to I:ma-vide the cm ices outlined in the original and revised
2ppliciniciis. which 1 ;< r ,timittcd, be ;:t ofUnited Way of Weld County and
United .d s Ca'atr::: , ..ims t c az an3ty College. The services to be prov.ded
by Entted Wicy and de ckrtrisactortut tlic cxransion of the incentive Program and
Me ` 'erain ei id the creation and implementation of aprofessional
d^_v ristit; plan :,r child care centerriersonnel, child care home providers, and
exe a child care ot4 e_ toviders.
4. Cc e ..ile:: .li's:partiiirint of i iimar Services agrees to re mbt'rse Social Services not
to ex t 3 "40,000.
If you have s onestions, nicese telephone me at extension 0510.
'0( 0 1 _ 38
`8:.'soc ,.'-7
Waived/delegates
Agency or Department Name
Human Services - Div. of Child Care
Department or Agency Number
IHA
Contract Routing Number
01-IHA-00366
CONTRACT
THIS CONTRACT, Made this 24th day of August, 2000, by and between the State of Cclorado
for the use and benefit of the Department of Human Services, Division of Child Care, 1575 Sherman
Street, 1st Floor, Denver, CO 80203-1714 hereinafter referred to as the State, and the Weld County
Department of Social Services, P.O. Box A, Greeley, CO 80632, hereinafter referred to as the
contractor,
WHEREAS, authority exists in the Law and Funds have been budgeted, appropriated and
otherwise made available and a sufficient uncommitted balance thereof remains available for
encumbering and subsequent payment of this Contract under Encumbrance Number CCLC0101366
in Fund Number 100, Appropriation Account 082, and Organization 4330;
WHEREAS, required approval, clearance and coordination has been accomplished from and
with the appropriate agencies;
WHEREAS, the State represented by the Colorado Department of Human Services, Division of
Child Care, hereafter 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. the contractor possesses necessary knowledge and experience in administering
and overseeing child care services and before and after school child care services in Colorado;
WHEREAS, the State desires that the contractor render such services;
WHEREAS. the contractor is willing and able to render such services upon the terms and
conditions provided hereinafter;
WHEREAS the contractor 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 parties hereto concur that contractor is the appropriate party to use and
disburse certain funds for improving the quality and/or availability of affordable early childhood care
and education services and before and after school child care programs through the CCDF locally;
WHEREAS, the contractor is willing and able to administer the use of and expenditure of
certain funds, as defined herein, for the purposes of the State; and,
Page 1 of:6
WHEREAS, as of the date of execution of this Contract, both parties meet all statutory
requirements for entering into this Contract.
NOW THEREFORE, it is hereby agreed that:
I. STATEMENT OF WORK
A) The contractor shall comply with the following Statement of Work and
responsibilities:
1. The contractor shall provide the services specified in Exhibit A, dated July 5,
2000 and Addendum #1 to Exhibit A, dated August 9, 2000.
2. Order of Precedence: In the event of conflicts or inconsistencies between
this contract and its exhibits or attachments, such conflicts or
inconsistencies shall be resolved by reference to the documents in the
following order of priority:
a. Colorado Special Provisions, pages 24 to 26.
h. General Provisions, pages 10 to 23.
c. Contract, pages 1 to 9.
d. Addendum #1 to Exhibit A.
e. Exhibit A (Contractor's original proposal).
3. In accordance with Exhibit A, the contractor shall comply with the following
requirements for programs and services:
a. 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 to meet the work
requirements under welfare reform.
b. 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.
i. Child care program start-up activities;
ii. 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;
Page 2 of 26
iv. Improve the monitoring of, compliance with and 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 child 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 based child
care and education efforts which promote CCDF goals.
c. 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.
d. The contractor shall coordinate grant activities with low-income and child
care assistance programs serving low-income families and families who
are newly working or involved in work training/preparation and with other
programs providing a range of child care and early childhood education
services in the geographic area(s) providing grant-funded services.
e. 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
Contract..
Page 3 of 26
f. The contractor shall not use funds to supplant or replace funds currently
being used, planned, or committed, for child care activities. Grant funds
shall not be used to replace existing program revenues.
g. The contractor shall use a lawful, appropriate sub-contractor selection
process that is in keeping with the county's approved procurement anc
contracting procedures.
h. 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.
i. The contractor shall demonstrate that more children and families will
receive quality services as a direct result of this grant funding.
i. The contractor's quality and availability program(s) will be monitored
and evaluated based on performance measures submitted as part of
the grant application. These performance measures are included in
Exhibit A.
j. The contractor shall start funded activities within 30 days of receiving a
signed contract.
k. 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.
I. 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.
m. 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,
ii. making effective use of community resources, and
iii. providing high quality programs, which create an environment that
enhances the age-appropriate, educational, social, cultural,
emotional and recreational development of children.
n. The contractor shall provide public awareness and outreach tc low-
income and newly working families so they are aware of and can access
grant-funded services.
Page 4 of 26
o. 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.
p. Grant funds shall not be used for direct subsidies/scholarships for child
care or for general administrative support services which are not directly
related to this capacity zP'a`% oh grant.
q. 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.
i. The contractor acknowledges it has confirmed the availability of the
local match prior to the effective date of the Contract.
ii. The contractor ensures that the local match will be met during the
term of this Contract.
r. The contractor shall cooperate with state and/or federal monitoring of the
contractor's program and costs.
s. 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.
t. The contractor shall not use funds for the following activities:
• to purchase or improve land,
• to purchase, construct or permanently improve any building or facility.
u. The contractor shall not engage in activities intended to extend or replace
regular academic programs or for tuition (in grades 1-12) or for related
expenses for academic programs.
v The contractor shall demonstrate in the final program report that more
children received quality child care services as a result of this funding.
w. 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.
4. The contractor shall receive from the State certain funds and disburse such
funds pursuant to the Budget, pages 10-12 of Addendum #1 to Exhibit A.
Page 5 of 26
5. The contractor shall provide a qualified staff person(s) to administer and
oversee the Contract and the appropriate and lawful selection of sub-
contractors, through a lawful county-approved procurement process,
awardance of sub-contracts and approved funds, ongoing oversight of the
appropriate sub-contractor obligations and expenditures of said funds, data
gathering, reporting and audit acceptable procedures.
6. The contractor shall provide the State with brief quarterly programmatic and
financial progress reports, a final program report and a final financial report
which includes discussion of sub-contractor and/or other lower tier participant
activities and costs.
a. 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 barriers which may have arisen
and which might impact the program of services; significant innovations;
copies of products or reports generated during the reporting period; and a
brief list of activities planned for the next reporting period. These reports
shall be provided in a format and according to specifications to be
provided to the contractor by the State.
b. The final financial report and the final program report shall be due by July
31, 2001 and shall include the following information:
i. 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.
ii. 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 the State.
iii. The contractor shall also provide in the final program report other
information available and requested by the State during the year and
any additional information that might be required pursuant to changes
in federal reporting requirements governing the use of these funds.
Page 6 of 26
7. The contractor shall confer with the Director of the State Division of Child
Care (DCC), or the Director's designee, as deemed appropriate by the State
or at the request of the contractor, to allow for open discussions of progress,
problem(s) encountered, and problem(s) solutions.
8. 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 Contract
that these rules and regulations will be explained to and/or incorporated intc
all sub-contractor and/or other lower tier participant agreements or contracts
as appropriate. The contractor and all sub-contractors shall operate the
Program(s) in accord with any new federal and/or State Rules and
Regulations applicable to this Contract which may hereafter be promulgated
by the State and/or federal government during the term of this Contract, upon
notification by the State, as deemed appropriate by the State and in
consultation with the contractor.
9. The contractor and all sub-contractors shall publicly acknowledge and
include an acknowledgment in publications and/or written materials
developed and disseminated through funding available under this Contract
that funding was provided by the Colorado Department of Human Services,
Division of Child Care, as the lead agency in Colorado for administering Child
Care and Development Fund funds available through the U.S. Department of
Health and Human Services.
10. Certification Regarding Environmental Tobacco Smoke: Public Law 103-
227, Part C - Environmental Tobacco Smoke, also known as the Pro-
Children Act of 1994 (ACT), requires that smoking not be permitted in any
portion of any indoor facility owned or leased or contracted for by an entity
and used routinely or regularly for the provision of health, day care,
education, or library services to children under the age of 18, if the services
are funded by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee. The law
does not apply to children's services provided by private residences, facilities
funded solely by Medicare or Medicaid funds, and portions of facilities used
for inpatient drug or alcohol treatment. Failure to comply with the 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.
B) The responsibilities of the State under this Contract shall be as follows:
1. The State shall provide guidance to the contractor, as deemed necessary
by the State, or at the request of the contractor, and monitor the
contractor's compliance and adherence to the terms of this Contract.
Page 7 of 26
II. PAYMENT AND PRICE
A) In consideration for the services provided by the contractor pursuant to this
Contract, in accordance with the budget included in Exhibit A and Addendum #1
to Exhibit A, the State shall compensate the contractor for the actual, reasonable
and necessary expenses incurred by the contractor in providing such services.
B) Billing/Payment Procedure: The State 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 the State shall establish.
•
C) Compensation/Maximum Payable: The State shall make no payment to the
contractor hereunder, in whole or in part, except as earned and from available
funds in an amount not to exceed $40,000. The liability of the State, at any time,
for such payments is limited to the unspent amount remaining of such
encumbered funds.
D) The amount of funds allocated to each line item of the budget may be
reallocated upon written request of the contractor and the subsequent written
approval of the State, subject to the limitation of the Compensation/Maximum
Payable clause.
E) In any case where the contractor's failure to perform in accordance with this
Contract results in a loss of federal financial participation (as in the case of a
federal audit exception), the contractor will bear full financial responsibility for the
loss and, if necessary, seek restoration of the funds. Financial responsibility
shall also include payment of any legal expense incurred in the defense of such
an audit exception. The State shall also have the right to implement other
available remedial actions.
F) Final payment shall be made upon completion, submittal, and acceptance of a
Final Financial Fiscal Report and the Final Program Report as described in
Paragraphs I.A. 6.b.i. and I.A.6.b.ii., respectively.
III. TERM
A) This contract shall be effective upon approval by the State Controller, or
designees, on September 1, 2000, whichever is later. The contract performance
contemplated herein shall be undertaken and performed in the sequence and
manner set forth herein and extend through July 31, 2001. In that regard, the
parties agree that services to be provided under this Contract, excepting the
preparation, submission, and acceptance of a Final Financial Report and a Final
Program report, shall be completed not later than June 30, 2001. Any funds
unliquidated by the contractor shall revert back to the State.
B) Renewal of Contract At the sole discretion of the State and when otherwise
permitted by law, the parties may renegotiate continued performance for a period
of up to 12 months for any category of services specified herein. The total
duration of this contract, including the exercise of any renewals under this
Page 8 of 26
clause, shall not exceed 5 years. Financial obligations of the State of Colorado
payable after the current fiscal year are contingent upon funds for that purpose
being appropriated, budgeted and otherwise made available. Said renewal shall
be exercised by use of an Renewal Letter substantially in the form of Exhibit B
hereto, and such Renewal Letter shall not be valid until approved by the State
Controller or such assistant as he may designate.
IV. Notice and Representatives:
Notice
All notice 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 whom
such notices shall be sent:
To State: To Contractor:
Scott Raun Grants Specialist Judy Griego
Division of Child Care Director
Colorado Department of Weld County
Human Services Department of Social Services
1575 Sherman St., 1st Floor PO Box A
Denver, CO 80203 Greeley, CO 80632
Representatives
For the purposes of this Contract, 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):
To State: To Contractor:
Scott Raun Grants Specialist Judy Griego
Division of Child Care Director
Page 9 of 26
[Insert 6-5]
GENERAL PROVISIONS
The following clauses apply to this contract. In some instances, these general
clauses have been expanded upon in other sections of this contract. To the
extent that other provisions of the contract provide more specificity than these
general clauses, the more specific provision shall control.
A. Federal Funds Conjnaencv
Payment pursuant to this contract, if in federal funds, whether in whole or in part,
is subject to and contingent upon the continuing availability of federal funds for
the purposes hereof. In the event that said funds, or any part thereof, become
unavailable as determined by the State, the State may immediately terminate this
contract or amend it accordingly.
B. INDEPENDENT CONTRACTOR
THE CONTRACTOR SHALL PERFORM ITS DUTIES HEREUNDER AS AN
INDEPENDENT CONTRACTOR AND NOT AS AN EMPLOYEE. NEITHER THE
CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR
SHALL BE OR SHALL BE DEEMED TO BE AN AGENT OR EMPLOYEE OF THE
STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED
EMPLOYMENT TAXES AND INCOME TAX WITHHOLDING, INCLUDING ALL
FEDERAL AND STATE INCOME TAX AND LOCAL HEAD TAX ON ANY
MONIES PAID PURSUANT TO THIS CONTRACT. CONTRACTOR
ACKNOWLEDGES THAT THE CONTRACTOR AND ITS EMPLOYEES ARE NOT
ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS THE
CONTRACTOR OR A THIRD PARTY PROVIDES SUCH COVERAGE AND
THAT THE STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE SUCH
COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION, EXPRESS
OR IMPLIED, TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY, OR
UNDERSTANDING EXCEPT AS EXPRESSLY SET FORTH HEREIN,
CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE WORKER'S
COMPENSATION (AND SHOW PROOF OF SUCH INSURANCE) AND
UNEMPLOYMENT COMPENSATION INSURANCE IN THE AMOUNTS
REQUIRED BY LAW, ,AND SHALL BE SOLELY RESPONSIBLE FOR THE ACTS
OF THE CONTRACTOR, ITS EMPLOYEES AND AGENTS.
Revised 3/97
Page IO of 210 pages
C. Beneficiary
Except as herein specifically provided otherwise, this contract shall inure to the
benefit of and be binding upon the parties hereto and their respective successors
and assigns.
It is expressly understood and agreed that the enforcement of the terms and
conditions of this contract and all rights of action relating to such enforcement,
shall be strictly reserved to the State and the named contractor. Notning
contained in this agreement shall give or allow any claim or right of action
whatsoever by any other third person. It is the express intention of the State and
the contractor that any such person or entity, other than the State or the
contractor, receiving services or benefits under this agreement shall be deemed
an incidental beneficiary only.
D. Insurance - Contractor
1. During the term of this contract, and any extension(s) hereof, contractor
agrees that it will keep in force an insurance policy or policies, issuec by a
company authorized to do business in Colorado, in the kinds and minimum
amounts specified below unless specifically waived herein. In the event of
cancellation of any such coverage, the contractor shall immediately notify the
State of such cancellation.
a. Standard Worker's Compensation and Employers' Liability as required by
State statute, including occupational disease; covering all employees on or
off the work site, acting within the course and scope of their employment.
b. General, Personal Injury, Professional, Automobile Liability (including
bodily injury, personal injury and property damage) with minimum coverage
of:
(1) Occurrence basis policy: combined single limit of $600,000 or
Claims-Made policy: combined single limit of $600,000; plus an
endorsement, certificate, or other evidence that extends
coverage two years beyond the performance period of the
contract.
(2) Annual Aggregate Limit policy: Not less than $1,000,000 plus
agreement that the contractor will purchase additional insurance
to replenish the limit to $1,000,000 if claims reduce the annual
aggregate below $600,000.
Revised 3/97
Page I I of Z(p pages
2. The State of Colorado shall be named as an additional insured on all liability
policies.
3. The insurance shall include provisions preventing cancellation without thirty
(30) calendar days prior written notice to the State by certified mail.
4. Upon execution of this contract, the contractor shall provide to the State
additional insured endorsements and certificates of the required insurance
coverage.
5. The contractor shall provide such other insurance as may be required by law,
or in a specific solicitation.
6. If the contractor is a "public entity" within the meaning of the Colorado
Governmental Immunity Act, 24-10-101, et seq., C.R.S., as amended ("Act");
the contractor shall maintain such insurance, by commercial policy or self-
insurance, as is necessary to meet the contractor's liabilities under the Act.
Proof of such insurance shall be provided upon request by the State.
E. Contractor Representations - Licenses/A�provals/Insurance
The contractor certifies that, at the time of entering into this contract, it has
currently in effect all necessary licenses, certifications, approvals, insurance, etc
required to properly provide the services and/or supplies covered by this contract
Additionally, all employees of the contractor performing services under this
contract shall hold the required license or certification, if any, to perform their
responsibilities. Any revocation, withdrawal or nonrenewal of necessary license
certification, approval, insurance, etc. required for the contractor to properly
perform this contract, shall be grounds for termination of this contract by the State
The contractor further certifies that, if a foreign corporation, a limited liability
company, a limited liability partnership or a limited liability limited partnership, it
currently has a Certificate of Good Standing or Certificate of Existence to dc
business in Colorado. Proof of such certification shall be provided upon request
by the State.
F. Records Maintenance
The contractor shall maintain a complete file of all records, documents.
communications, and other materials which pertain to the operation of the
Revised 3/97
Page I Z- of do pages
program/project or the delivery of services under this contract. Such files shall be
sufficient to properly reflect all direct and indirect costs of labor, materials.
equipment, supplies and services, and other costs of whatever nature for which a
contract payment was made. These records shall be maintained according to
generally accepted accounting principles and shall be easily separable from other
contractor records.
G. Records Retention and Availability
All such records, documents, communications, and other materials shall be the
property of the State unless otherwise specified herein and shall be maintainer
by the contractor, for a period of three (3) years from the date of final payment or
submission of the final federal expenditure report under this contract, unless the
State requests that the records be retained for a longer period, 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
findings.
H. Performance Monitoring
The contractor shall permit the State and any other governmental agency
authorized by law, or their authorized designee to monitor all activities conducted
by the contractor pursuant to the terms of this contract. As the monitoring agency
may in its sole discretion deem necessary or appropriate, such monitoring may
consist of internal evaluation procedures, reexamination of program data, special
analyses, on-site verification, formal audit examinations, or any other reasonable
procedures. All such monitoring shall be performed in a manner that will not
unduly interfere with contract work.
Audits
1. General. The contractor authorizes the State or its representatives to perform
audits and/or inspections of its records at any reasonable time during the term
of this contract and for a period of three (3) years, (unless the State
determines a longer tirneframe is required) following the date of final payment
under this contract, to assure compliance with its terms and/or to evaluate the
contractor's performance.
Revised 3/97
Page (3 of Z(O pages
Any amounts which have been paid by the State which are found to be
improper in accordance with other terms of this contract shall be immediately
returned to the State or may be received in accordance with other remedies.
2. Single Audit Clause. All state and local governments and non-profit
organizations receiving more than $300,000 from all funding sources, that are
defined as federal financial assistance for single audit purposes, shall comply
with the audit requirements of OMB Circular A-128 (Audits of State and Local
Governments) or A-133 (Audits of Institutions of Higher Education and Other
Non-profit Organizations), whichever applies.
J. Confidentiality of Records
The contractor shall protect the confidentiality of all records and other materials
containing personally identifying information that are maintained in accordance
with this contract. Except as provided by law, no information in possession of the
contractor about any individual constituent shall be disclosed in a form including
identifying information without the prior written consent of the person in interest, a
minor's parent, or guardian. The contractor shall have written policies governing
access to, duplication and dissemination of, all such information. The contractor
shall advise its employees, agents and subcontractors, if any, that they are
subject to these confidentiality requirements. The 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 is
permitted.
K. Conflict of Interest
During the term of this contract, the contractor shall not engage in any business
or personal activities or practices or maintain any relationships which conflict in
any way with the contractor fully performing his/her obligations under this
contract.
Additionally, the contractor acknowledges that, in governmental contracting, even
the appearance of a conflict of interest is harmful to the interests of the State.
Thus, the contractor agrees to refrain from any practices, activities or
relationships which could reasonably be considered to be in conflict with the
contractors fully performing his/her obligations to the State under the terms of this
contract, without the prior written approval of the State.
In the event that the contractor is uncertain whether the appearance of a conflict
of interest may reasonably exist, the contractor shall submit to the State a full
Revised 3/97
Page 11 of Zic pages
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 contract.
Further, the contractor (and subcontractors or subgrantees permitted under the
terms of this contract) shall maintain a written code of standards governing the
performance of its employees engaged in the award and administration of
contracts. No employee, officer or agent of the contractor, subcontractor. or
subgrantee shall participate in the selection, or in the award or administration of a
contract or subcontract supported by Federal funds if a conflict of interest, real or
apparent, would be involved. Such a conflict would arise when:
a. The employee, officer or agent;
b. Any member of the employee's immediate family;
c. The employee's partner; or
d. An organization which employees, or is about to employ, any of
the above,
has a financial or other interest in the firm selected for award. The contractor's.
subcontractor's, or subgrantee's officers, employees, or agents will neither solicit
nor accept gratuities, favors, or anything of monetary value from contractor's
potential contractors, or parties to subagreements.
L. Conformance with Law
The contractor shall at all times during the term of this contract strictly adhere to
all applicable federal and state laws and implementing regulations as they
currently exist and may hereafter be amended. The contractor shall also require
compliance with these statutes and regulations in subcontract and subgrant
agreements, if any, permitted under this contract. Without limitation, these federal
laws and regulations include:
• 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.;
Revised 3/97
Page /O of Z(O pages
• Equal Pay Act of 1963, 29 U.S.C. 206(d);
• Immigration Reform and Control Act of 1986, 8 U.S.C. 1324b;
• 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. 1681 et seg.,
• Section 24-34-302, et seq., Colorado Revised Statutes 1993, as amended;
• The "Uniform Administrative Requirements for Grants and Cooperative
Agreements to 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 any person or organization involved in the
administration of federally-assisted programs.
The contractor also shall comply with any and all laws and regulations prohibiting
discrimination in the specific program(s) which is/are the subject of this contract. In
consideration of and for the purpose of obtaining any and all federal and/or state
financial assistance, the contractor makes the following assurances, upon which
the State relies.
1. 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 contract.
2. At all times during the performance of this contract, 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
Revised 3/97
Page /(p of Z(0 pages
performed by the contractor, or be subjected to any discrimination by the
contractor.
3. The contractor shall take all necessary affirmative steps, as required by 45
CFR 92.36(e), Colorado Executive Orders D0055 87 and D0005 94 and
State Procurement Rules, to assure that small and minority businesses and
women's business enterprises are used, when possible, as sources of
supplies, equipment, construction, and services purchased under this
contract.
M. Assignment/Deleg�tion/Subcontractinq
Except as herein specifically provided otherwise, the duties and obligations of the
contractor arising hereunder cannot be assigned, delegated nor subcontracted
except with the express prior written consent of the State. The subcontracts
permitted by the State shall be subject to the requirements of this contract, and
the contractor is responsible for all subcontracting arrangements and the delivery
of services as set forth in this contract. The contractor shall be responsible for the
performance of any subcontractor. Failure of the subcontractor to provide
services in accordance with the requirements of this contract shall be the
responsibility of the contractor. The contractor warrants and agrees that any
subcontract resulting from its performance under the terms and conditions of this
contract, shall include a provision that the said subcontractor shall abide by the
terms and conditions hereof, as well as all other applicable federal and State
laws, and rules and regulations pertinent hereto that have been or may hereafter
be established. Also, the contractor warrants and agrees that all subcontracts
shall include a provision that the subcontractor shall indemnify and hold harmless
the State. The subcontractors must be certified to work on any equipment for
which their services are obtained.
N. Litigation
The contractor shall promptly notify the State in the event that the contractor
learns of any actual litigation in which it is a party defendant in a case which
involves services provided under this contract. 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 State's Executive Director. The term
"litigation" includes an assignment for the benefit of creditors, and filings in
bankruptcy, reorganization and/or foreclosure.
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Page :7 of a(c pages
O. Disputes
Except as herein specifically provided otherwise, disputes concerning the
performance of this contract which cannot be resolved by the designated contract
representatives shall be referred in writing to a senior departmental management
staff designated by the department and a senior manager designated by the
contractor. Failing resolution at that level, disputes shall be presented in writing
to the Executive Director and the contractor chief executive officer for resolution.
This process is not intended to supersede any other process for the resolution cf
controversies provided by law.
P. Remedies
The Executive Director of the State or designee may exercise the following
remedial actions, in addition to all other remedial actions authorized by law
should s/he find the contractor substantially failed to satisfy the scope of work
found in this contract. Substantial failure to satisfy the scope of work shall be
defined to mean incorrect or improper activities or inaction by the c:ontrac::Dr
These remedial actions are as follows:
1. Withhold payment to the contractor until the necessary services or
corrections in performance are satisfactorily completed;
2. Request the removal from work on the contract of employee(s) and/or
agent(s) of the contractor whom the Executive Director or designee
justifies as being incompetent, careless, insubordinate, unsuitable. or
otherwise unacceptable, or whose continued employment on the
contract s/he deems to be contrary to the public interest or riot in the
best interest of the State;
3. 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 the State. Denial of the amount of
payment shall be reasonably related to the amount of work or
deliverables lost to the State;
4. Incorrect payments to the contractor due to omission, error, fraud, and/or
defalcation shall be recovered from the contractor by deduction from
subsequent payments under this contract or other contracts between the
State and the contractor, or by the State as a debt due to the State or
otherwise as provided by law.
Revised 3/97
Page I of c',(c pages
Q. Termination
1. Termination for Default. The State may terminate the contract for cause
without compensation for termination costs. If the State terminates the contract
for cause, it will first give ten (10) days prior written notice to the contractor,
stating the reasons for cancellation, procedures to correct problems, if any, and
the date the contract will be terminated in the event problems have not been
corrected.
a. In the event this contract is terminated for cause, the State will only
reimburse the contractor for acceptable work or deliverables received up
to the date of termination.
b. In the event this contract is terminated for cause, final payment to the
contractor may be withheld at the discretion of the State untie completion
of final audit.
2. Termination for Convenience. The State shall have the right to terminate this
contract by giving the contractor at least thirty (30) days prior written notice.
If notice is so given, this contract shall terminate on the expiration of the
specified time period, and the liability of the parties hereunder for further
performance of the terms of this contract shall thereupon cease, but the
parties shall not be released from the duty to perform their obligations up to
the date of termination.
3. Immediate Termination. This contract is subject to immediate termination by
the State in the event that the State determines that the health, safety, or
welfare of persons receiving services may be in jeopardy. Additionally, the
State may immediately terminate this contract upon verifying that the
contractor has engaged in or is about to participate in fraudulent acts.
4. Termination for Financial Exigency. The State shall have the right to
terminate this contract for financial exigency by giving the contractor at least
thirty (30) days prior written notice. For the purposes of this provision, a
financial exigency shall be a determination made by the Colorado legislature
or its Joint Budget Committee that the financial circumstances of the State
are such that it is in the best interest of the State to terminate this contract.
If notice of such termination is so given, this contract shall terminate on the
expiration of the time period specified in the notice, and the liability of the
parties hereunder for further performance of the terms of this contract shall
Revised 3/97 Page (9 of 2(6 pages
thereupon cease, but the parties shall not be released from the duty to
perform their obligations up to the date of termination.
R. Severability
To the extent that this contract may be executed and performance of the
obligations of the parties may be accomplished within the intent of the contract,
the terms of this contract are severable, and should any term or provision hereof
be declared invalid or become inoperative for any reason, such invalidity or failure
shall not affect the validity of any other term or provision hereof. The waiver of
any breach of a term hereof shall not be construed as a waiver of any other term,
or the same term upon subsequent breach.
S. Integration of Understandings
This contract is intended as the complete integration of all understandings
between the parties. No prior or contemporaneous addition, deletion, or other
amendment hereto shall have any force or effect whatsoever, unless embodied
herein in writing. No subsequent novation, renewal, addition, deletion, or other
amendment hereto shall have any force or effect unless embodied in a written
contract executed and approved pursuant to the State Fiscal Rules.
T. Proprietary Information
1. Proprietary information for the purpose 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 lawfully obtained from third parties.
that which is in the public domain, or that which is developed independently.
2. Neither party shall use or disclose directly or indirectly without prior written
authorization any proprietary information concerning the other party obtained as
a result of this contract. 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 information in the course of its own business.
U. Discrimination Complaints
Any person who feels that s/he has been discriminated against relating to the
services provided under this contract has the right to file a complaint with the
Revised 3/97
Page w of A:, pages
Colorado Department of Human Services, the Colorado Civil Rights Commission,
and/or the US Commission on Civil Rights.
V. If any of the payments hereunder are from federal funds, where applicable, the
following provisions shall apply to this contract.
1. Press Releases
Pursuant to Section 511 of P.L. 101-166, when issuing statements, press
releases, requests for proposals, bid solicitations and other documents
describing projects or programs funded in whole or in part with federal funds,
the contractor shall clearly state (i) that the activity is funded in whole or in part
by federal funds, (ii) the percentage of the total costs of the program or project
which will be financed with federal money, (iii) percentage and dollar amount of
the total costs of the project or program that will be financed by non-federal
SCRUMS.
2. Debarment Certification To the extent applicable, if any payment pursuant to
this contract is in federal funds, the following provisions apply to this contract.
a. The contractor certifies to the best of its knowledge and belief that the
contractor, its principals and authorized subcontractors: (i) are not presently
debared, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any federal department or
agency; (ii) have not within a three year period preceding this contract been
convicted of or had a civil judgment rendered against it 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; (iii) have not violated a Federal or State antitrust statutes or
committed embezzlement, theft, forgery, bribery, falsification or destruction of
records, or made false statements, or received stolen property; (iv) are not
presently indicted for, or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the
offenses enumerated in sub-paragraph (iii) of this certification; and, (v) have not
within a three year period preceding this contract had one or more public
transactions (Federal, State, or local) terminated for cause or default.
Further, the contractor shall include, without modification, the following
Certification Clause in the contract of any subcontractor obligated to perform
services pursuant hereto:
Revised 3/97
Page 21 of do pages
"The prospective lower tier participant certifies, by
submission of this contract, that neither it nor its principals is
presently decared, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation
in this transaction by any Federal Department or agency"
b. Where the prospective lower tier participant is unable to certify to any of the
statements in this certification, such prospective participant shall attach an
explanation to this contract.
c. "Lower tier participant" is defined to include the contractor and its principals,
agents, and subcontractors who are obligated to perform services pursuant to
the terms of this contract.
S. Payments made to the contractor from Federal funds under this contract shall
supplement and not supplant state or local expenditures that would have been
made in the absence of such federal support.
4. The contractor shall not use federal funds to satisfy federal cost sharing and
matching requirements unless approved in writing by the appropriate federal
agency.
5. In accordance with the requirements of P.L. 101-166, none of the federal funds
provided under this contract may be used to pay the salary of any individual at a
rate in excess of$125,000 per year.
6. Rights in Data and Copyright- Federal Reserved Rights •
Except for its own internal use, the contractor shall not publish or reproduce any
data/information, in whole or part, that is recorded in any form or medium
whatsoever and that is delivered or specified to be delivered under this contract,
nor may it authorize or permit others to do so, without the written consent of the
federal government, through the State, until such time as the federal
government may have released such data/information to the public.
As authorized by 49 C.F.R. 18.34, the federal government, through the State,
reserves a royalty free, nonexclusive, and irrevocable license to reproduce,
publish or otherwise use, and to authorize the State and others to use; a) any
work developed under this contract or a resulting third party contract irrespective
of whether or not it is copyrighted; and b) any rights of copyright to which a
contractor, subrecipient, or third party contractor purchases ownership with
federal assistance.
Revised 3/97
Page ZZ of Ft; pages
W. Exhibits - Interpretation
1 . Unless otherwise stated, all exhibits referenced herein are attached hereto and
incorporated herein and made a part of this contract.
2. The terms of this contract shall control over any conflicting terms in any of its
attached exhibits.
X. Venue The parties agree that venue for any action related to performance of this
contract shall be in the City and County of Denver, Colorado.
Y. Vendor Offset The parties understand and agree that the State shall have the right
to offset against payment due to the contractor hereunder, any debts owed by the
contractor to the State or any child support payments owed by the contractor.
Revised 3/97
Page a3 of Z, pages
These Special Provisions are required by Fiscal Rule 3-1 to be used in every Star,: :anrr:c7.
including grants.
SPECIAL PROVISIONS
CONTROLLER'S APPROVAL
This contract shall not be deemed valid until it shall have been approved b:. the Controller of the State nt C.nocdd or
such assistant as he may destonatc_ ibis provision is applicable to any contract im olving the payment of money io me 5:.r:.:.
FUND AVAILABILITY
2. Financial obligations of the State of Colorado payable abet the current fiscal year are contingent upon Smds .'cr •hat
purpose being appropriated, budgeted, and otherwise made available.
BOND REQUIREMENT
3. If this contract involves the payment of more than fife thousand dollars for the construction, erection. repair.
maintenance, or improvement of any building, road. bridge, viaduct, runnel, excavation or other public work for this State, the
Contractor shall, before entering upon the performance of any such work included in this contract, duly execute and deliver to
the State official who will sign the contract, a good and sufficient bond or other acceptable surety to be approved by said
official in a penal sum not less than one-half of the total amount payable by the terms of this contract. Scch bond shall be culy
executed by a qualified corporate surety conditioned upon the faithful performance of the contract end in addition. snail
provide that if the Contractor or his subcontractors fail to duly pay for any labor, materials, team hire, sustenance, rrovisions,
provendor or other supplies used or consumed by such Contractor or his subcontractor in performance of the work dontacted
to be done or fails to pay any person who supplies rental machinery, tools, or equipment in the prosecution of the wo-k :he
surety will pay the same in an amount not exceeding the sum specified in the bond, together with interest at the ra e or eght
per cent per annum. Unless such bond is executed, delivered and filed, no claim in favor of the Contraa-or arising undo. such
contract shall be audited, allowed or paid. A certified or cashier's check or a bane money order payab e to the Treasure: or
the State of Colorado may be accepted in lieu of a bond. This provision is to compliance with CRS 38-2d-106.
INDEMNIFICATION
4. To the extent authorized by law, the Contractor shall indemnify, save, and hold harmless the State, its employees and
agents, against any and all claims, damages, liability and court awards including costs, expenses, and attorney fees incurred as
a result of any act or omission by the Contractor, or its employees, agents, subcontractors, or assignees pursuant to the terns
of this contract.
DISCRLMINATION AND AFFIRMATIVE ACTION
5. The Contractor agrees to comply with the letter and spirit of the Colorado Antidiscrimination Act of 1957, as amended,
and other applicable law respecting discrimination and unfair employment practices (CRS 24-34-402), and as required by
Executive Order, Equal Opportunity and Affirmative Action, dated August 1987. Pursuant thereto, the following orovistons
shall be contained in all Stare contracts or subcontracts.
During the performance of this contract, the Contractor agrees as follows:
(a) The Contractor will not discriminate against any employee or applicant for employment because of race, creed, dolor,
national origin, sex, marital status, religion, ancestry, mental or physical handicap, or age. The Contractor wil'. take
affirmative action to insure that applicants are employed, and that employees are treated during employment, without regard
to the above mentioned characteristics. Such action shall include, but not be limited to the fo lowing-. employment
upgrading, demotion or transfer, recruitment or recruitment advertising; lay-offs or terminations; rates of pay or other forms
of compensation; and selection for training, including apprenticeship. The Contractor agrees to post ii conspicuous places,
available to employees and applicants for employment, notices to be provided by the contracting officer setting forth
provisions of the non-discrimination clause.
(Is) The Contractor will, in all solicitations or advertisements fo• employees placed by or on behalf of the Contractor. State
that all qualified applicants will receive consideration for employment without regard to race, creed, color, national Crum.
sec, marital status, religion. ancestry, mental or physical handicap, or age.
(c) The Contractor will send to each labor union or representative of workers with which he has a collective bargaining
agreement or other contract or understanding, notice to he provided by the contracting officer. advisiag the [also- union or
workers' representative of tie Contractor's commitment under the Executive Order. Equal Opportunity and Affirna'tve
Action, dated August 1987. and rules. regulations. and relevant Drders of the Governor.
PagcoT?
:)onortunnv and Art-runt' t 'ydlort -a :inn Ht. Wle i e tulatioes And Ut ' dt nee coseind , • :7 _....
rnereto. and will permit .ligeS7t Hcesy records. a .at,ui n pv the contracting agency i e d i a
or ahet designee I.rr purposes ot msespeamn to ascertain _r mpl tance with such rules regulation: and oders.
:e) A labor ore mization d.11 rot e.. e any individual othci wise qualified From full membership rights n sdch
er
organization. or expel any such mdrct ai trent membership If such labor ordmization tr disermunue Aga.:vt n
members in the 'sill enjoyment wor:c opportunity because of race creed. color, sov. national origin, or ors sir
n A labor organization. or the employees or members thereof trill not aid. abet incite, compel or coerce the ant , .n7
r,ned th s contract to ie d trio u a ens or obstruct or prevent any pers r from comp) ino with the pr usts: t :us
-: t tict or any 'r er issued mereunded ntemp[ either dirge ly or indirectly, to commit any act de tined r ".`is 'i t .tout
to no d iscriminarory.
In the event of the Contractor', nor _m,pliance with the non-discrimination clauses of this contras r wi t a r s :ch
rules, regulations. or orders, this cmtract ntay be canceled. terminated or suspended in whole or sit part and he t u ,p for
may be declared ineligible tot tar her Stn .contracts in accordance wilt procedures. authorized in Executive Oroe ,cal
Opportunity and Affirmative .Action August 198rand the rules, regulations, or orders promulgates m a -Jute
herewih, and such other sanchons as may be imposed and remedies as may be invoked as provided in Eke:time sirs.
Equal Opportun.ry and Affirmative Ac an of August 1987 or by rules, regulations, or orders promulgated in loser.auce
:herewith, or as otherwise provided by law-
h) The Contractor will include the prey:shuns of paragraphs (a) through rh) in every subcontract and subcontractor punt are
order unless exempted by rules, regulations, or orders issued pursuant to Executive Order, Equal Oppormmp and
Affirmative Acr.on of August 1987, so that such provisions will be binding apon each subcontractor or vendor. The
Contractor will take such action with respect to any sub-contracting or purchase order as the contracting agency ray ctr..ct,
as a means of enforcing such provisions. including sanctions for non-compliance; provided, however, that in the event the
Contractor becomes involved in. or is threatened with, litigation, with the subcontractor or vendor as a resu of such
direction by the contracting a;ency. the Contractor may request the State of Colorado to enter into such litigation to pro'ect
the interest of the State of Colorado.
COLORADO LABOR PREFERENCE
6a. Provisions of CRS 8-17-IC I & 102 for preference of Colorado labor are applicable to this contract it public vi rks
yithin the State are undertaken hereunder and are financed in whole or in part be State funds.
b. When a construction contract (or a public project is to be awarded to a budder, a resident bidder shall be allowed a
preference against a non-resident bidder from :i State or foreign country equal to he preference given or required by the State
or foreign country in which the non-resident bidder is a resident. If it is determined by the officer responsible for awarding the
aid that compliance with this subsection .06 may cause denial of federal funds which would otherwise be available or ,would
otherwise be inconsistent with requirements of Federal law, this subsection shall be suspended, but only to the extent nee es,ary
o prevent denial of the moneys or to eliminate the inconsistency with Federal requ rements (CRS 8-19-1C I and i0^t.
GENERAL
7. The laws of the State of Colorado and rules and regulations ussued pursuant hereto shall be appliec in the interprear,on,
execution, and enforcement of this contract. Any provision of this contract whether or not incorporated herein by reference
which provides for arbitration by any extra-judicial body or person or which is otherwise in conflict with said laws, rules, and
regulations shall he considered null and void. Nothing contained in any provision incorporated herein by reference which
purports to negate this or any other special provision in whole or in part shall be valid or enforceable or available in any action at law red null and void provision will noether t invalidate h of e lemainderint, eof thisrcontract to the eeteprovision nt that therconttract is capable of execution.
oy the operauon of this
8. At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable feceral ant. State
laws, rules, and regulations that have been or may hereafter be established.
9. Pursuant to CRS 2a-30-202.4 (as amended), the State Controller may withhold debts owed to Stile agencies unc.e: the
vendor offset intercept system for: (a) unpaid child support debt or child support arrearages; (b) unpaid balance of tax.
accrued interest, cr other charges specified in Article 22, Title 39 CRS: (c) unpaid loans due to the Student Loan Divis:rn of
the Department of Higher Education; (d) owed amounts requires to be paid to die Unemployment Compensation Juno; and
(e) other unpaid debts owing to the State or any agency thereof, the amount of which is found to be ow ng as a result ct anal
agency determination or reduced :.o judgment as certified by the controller.
10-The signatories aver that they are'amiliar with CRS 18-8-301, et. seq., (Bribery and Corrupt Inticences) and CRS I;-8-
401, cc. step-.(.Abcse of Public Uft:ce), and that no violation of such provisions is present.
t 1. The signatories aver that to their knowledge, no State employee has any personal or beneficial interest whatsoever it the
service or property described herein:
IN WITNESS WHEREOF, the parties hereto have executed this Contract on the coy first above written.
PageLS )tom
IL'1,: - I: I .,ciA-m,ektr/11co()ILJ f v.2ur �.. -UK--vllV
NDE?� IAIE� or .�CUAL 'l1/ice5 BILL O15'ENS, GOVERNOR
Weld ounty Board oi; Commis,ioners
By I4 th*J, u \/f� ,:7>u v . I✓
Li)
yu-
T,�ed Name: Barbara J . Kirkme er r Z"",
YkEXECUTIVE I) -CTOR
Position (Title): C it ( 8/ /
II Corporation:) : ARTMEN` OF HUMAN SERV ICES1aQ . EP
ij %.,..,,- _
cs,ccor cc Secrctury a,Eqwv.ilcn i N., i. I k 7 —)
¢
so,:..,Secu-. ,V ber or Federa W n. 17 1
APPROVALS- r`N U IN
ARTHUR L.BARNHA R s
ATTORNEY GENERAL STATE C NTROLLER
By BY
it., • o
PageVe oi&
EximL A
Pv Irn 17
Acronyms and abbreviations used in Attachment 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
0
COLORADO Ma ISIO,A OF CHILD CARE Cots' -APP' Hyv - 'Jl',1717) IT-A
P 4(4F02 f 117
I
APPLICATION SUMMARY FORM
County Department
(please give full departmental name) Weld County Department of social Services
Address: P O. Box A
Ciry/State/Zip: Greeley, CO 80632
County Department Contact Person: Judy A. Grie_o
Phone Number: (970) 352-1551 ext. 6510 Fax Number: (970) 353-5215
E-Mail Address: griegoja@co.weld.co.us Amount Requested: 559.992
Federal Employer Identification Number (FEIN):
Type of Grant ! Funds will be used for
(check one) (check all that app:yam
New child care facility start-up X Miner renovation
Existing child care facility expansion X Equtpment/supplies
Expanding the quality of care in target
X communities X Cost; to meet licensing requirements
X Trailing
X Corr,umer Education
Staff operating
If so, you must explain, as part et your
response to Section E, how the pro earn will
continue to pay these costs after grant ends
CHECK ALL THAT APPLY TO THE PROPOSED PROJECT
X Early childhood program Chil,ren of teen parents
School-age(Out of School) program Children of homeless families
Site has a valid license from the Colorado Dept. cf
X Human Services X Infarts/Toddlers
X Children with special needs Colorado Pre-school Program
Public school site Children in Chapter 1 local school districts
Migant and seasonal workers Fami y resource center/school
X Private-for-profit center X Full-week care
X Evening/weekend care Area of high crime or poverty
Wrap-around child .are(part-day) Other (specify):
I certify that the information provided in this application is, to the best of my knowledge, complete am:
accurate. If the award is made, the applicant commits to project implementation in keeping with the
proposal con:ent and budget and to adhere to all assurances, certifications, terms, conditions, and cthet
requirements contained in this application and in the RFA.
Signature of person authorized to contractually commit the County Department of Social Services:
Barbara J. Kirloneyer, Chair
Board of County ' 'Commissioners' 1---I' '' ' ' � v. - - 07/05/2 )U6
Print Name Signature Date
E S I I II \
PAUE 3 a� I-
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, /99S) including ov
4-•,000 (28%) children under the age of 18 (Kids Court in CO. /9'1';y,Y1. According to the Colorado
Children's Campaign. county report, children needing care in Weld County was 7392 and mailable
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 receive
1030 calls in 1998-99. Over the past 12 months. 35% of the calls were for infant care. At this t me
there are NO vacancies for infants in child care homes. Total vacancies for the county averze lees that
1C/0 of capacity for any given facility. Twenty percent ofhomes have wait lists for infant clue.
Compounding the problem is the attrition rate for home providers. That number has remained stagnant
fo- the past 2 years. Families seeking care for shift work often are left with few avaialble optior.s
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 slate. The
communities to be served by this project include all of Weld County including unincorporated a-e.ts.
municipalities and Greeley The 1999 unemployment rate was3.6"o for both Greeley and Weld _':punt}
Per capita income for Weld County is $21.723, compared to $29,888 for Colorado and $32.303 cr the
nation. Weld County has many low paying agriculture-related anc service sector positions sshicn
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 childrer
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 far 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 narents at 185% of poverty or below
will the availability of child care. Weld County, along with the rest of the state, strives for qualm,
developmentally appropriate programs for our children. Just three local centers are accredited V
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 improvement it 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 F 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-hc me 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 Irlant Slots Av:iilably
Home Center ; Home Center I Home (_enter
Ault 16 75 j 0 9 0 1 0
Dacono 0 0 0 0 0 0
Frederick 24 0 3 0 0
jt. Lupton 154 72 I 14 18 4 i)
Greeley —Jefferson Flom 14 62 3 l6I 0
Greeley—B. Martinez E'en] 40 10 6 10 i 1 0
Exnns,
IPvGE4U. t-
Hudson 6 0 • 2 0 ,
IKeenshure : 0 0 0 l. 0 10
Windsor 256 188* 22 117 4
*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 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.
[n order to address these gaps in service we propose to increase the .availability of affordable. quali:v
early care and education for low income families through four means:
• Increase availability of care through mentoring and incentives for start-up of licensed child care
homes
• Improve provider retention through mentoring and incentives for serving targeted gaps in availability
of care
• Improve quality of care through individualized training including; prelicensing training in distance
format
• Improve consumer education especially in rural are is.
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-?n01
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 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 income
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 parent, by
increasing awareness and amount of quality child care available in Weld County especially far difficult-
to-find services. Low income families are best able to afford licensed or exempt home care option:,
bot:-x targeted by this proposal. The current relationship of the Family Support Network and Child Care
Resource and Referral to the Child Care Division of the Weld County Department of Social Servics
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 clement in
achieving the national goal of having all children ready for school." Their findings show the quality of
children's experiences in child care affects their development and readiness for school. Chddren who
attended higher quality programs performed better on measures of both cognitive and social skills. By
improving quality of care in Weld County, we can positively affect these outcomes for our childrer
SECTION B: PROGRAM DESCTIPTION, ADMINISTRATIVE CAPACITY AND
ACCOUNTABILITY
Goals and Outcomes: Our project will serve all of Weld County and target expansic n of service
through licensed home providers for infant/toddler, bilingual, off time (evening, overnight :wc
weekend), rural care. Our proposal will also expand quality of child care through training for both ionic
and center providers. We propose a comprehensive approach to child care quality and expansion ti cr
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, in the 10 month t me frame of this grant, we propose
to (Goals and Outcomes):
EAn it
PAGE f•
I . 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 he capanded to help license > addi ion±
home providers, resulting in the creation of at least 60-90 slots ton the targeted populations. the
program helps potential child care providers to become licensed by providing financial inners yes
and a one-to-one relationship between candidate and experienced provider for up to free mot ths.
pool ofexperienced. reputable. licensed providers will he trained as mentors. They will mer: with
the candidate giving a realistic overview of licensed care responsibilities. Mentors will focus on the
licensing process and the business aspects of the profession. xext the candidates will shado a the
provider for five hours during a regular day of care. For the three months of the program, the menu -
will be available to answer candidate questions. Both mentors and candidates will have regular
contact and oversight from the Child Care Resource and Referral Coordinator. Financial incentives
of$50 will include help in initial licensing costs (are-licensing course, background checks, hr,t aid.
etc.). An additional $100 will provide improvements or supplies necessary to get licensed (fir:
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$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 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. Adcitien :I
training will be provided to mentors. Mentors will meet with t°teir 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 staff, for training, support and problem-solving. The Mentar and thei
provider will set goals together at the beginning of the mentorship, based on the providers
individual needs. Goals would be assessed monthly. Providers will receive a grant of up to $455,
$75 for training, $230 fin 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, rneesings,
and the work with the provider (see budget narrative for details). In addition, cash incentives, of
$500 will be provided to centers and homes willinz to make additional slots available to targeted
populations including ship 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 fcr the
expenses incurred by the PDP activities including workshop fees, college tuition. books, sub≤tirute
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 college cotnsework
leading to a certificate or degree in Early Childhood Professions. Major sources of training v:dl
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 .vith special needs). Train_es could
also earn an AAS Degree in Early Childhood Professions. Eacv of these programs is approved by
the State governing board for community colleges CCCOES). The content of each training session
(workshop or class) meets guidelines for developmental appropriateness. Upon successful
completion of the PDP. individuals will receive a cash stipend hr their efforts. Additional monies
EXIIIBI
P'GE 6 O I7
Will be used to revise and upgrade prelicensing distance education curriculum. Recruited hoar
providers (especially in -oral areas or the County) will have the option to complete preiicensinr
training from the convenience of their home. Given the well-researched connection between tr rinim
and quality in early care and education, this segment will result in enhanced age-appropriate
educational. social. cultural, emotional and recreational development of children - depending 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 regular
press releases to all media. The main emphasis is cn providing information to working families- and
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 1Gilcrest, and Johnstown 'dill.ken_
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 home providers in crder 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 with
United Way of Weld County. Aims Community College will act as a subcontractor is this project_
CHILD CARE QUALITY EXPANSION,
GOALS, ACTIVITIES, TIMELINES AND MEASUREMENTS
INCREASE CI-IILD 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 MEAS1REMRNT
• To support 15 child care • Provide mentorng support 5 each 3- • Completion of
home providers to become for 3 months month 7!:°') of goals
licensed period for menioring
• To support 15 child care • Grant up to $350 to each 5 each 3- • Distribution of •
home providers with stipends provider who adds slots for I month grant funds
to assist with licensing costs targeted populations period
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
OBJECIVES ACTIVITIES TIMING MEASUREMENT
• To support licensed home • Provide a mentor for up to 6 Throughout • Complet ion of
providers to remain in I months grant period 7i)°S, of is als
business • Provide training stipend for ti meutorimg
successful completion of proT�run
goals and remaining in • Distrihu icn of
•
ausiness 9 months grant times Ibr
stipend -
1.:.xauti A
PvGE7i01-
•
• To increase services to • Provide stipend for service Throughout Dsi;HHutivn o:
targeted populations by to targeted population I grant period • _ran: lines tun
m.entored providers and • Provide stipend for syn.ice .I
current providers willing to materials appropriate for aptirove
increase capacity to serve service to targeted I pact:pal,
targeted populations p o ulauons
INCREASE CHILD CARE QUALITY _
3. Create and implement a Professional Development plan for child care center personnel. child :are
come providers and exempt child care home providers. Outcome: improved quality of child c.:re
services for infants, toddlers, _ young children including children with disabilities. _
OBJECIVES 7 ACTIVITIES TIMING MEASUREMEN i
• To improve curriculum and • Revise prelicensing I • Month ' • Provide
delivery for prelicensing curriculum 1-5 prelicensi:tg
raining for child care homes • Revise prelicensing videos • Month training fpr 10
1-5 providers using
• (1kta.ice
crlucmiou
• Provide prelicensing • Month • Obtain
training for new or exempt 5-10 feedback
family child care providers rel=ardin_
using a distance education effectiveness
format oft rain ii
• :Develop and implement a I • Provide academic advising • Upon • Professional
Professional Development for providers to determine funding Development
Plan for currently practicing I mechanism for meeting ! Piar for 1')
home or center providers in professional development part icipt[vs
order to improve quality of goals
care
• Provide tuition, books, • Through • Grant funds
conference fees. cost of out grant distribution
substitute coverage, stipend period and successful
and/or child care costs for completion of
successful completion of Professional
Professional Development Development
Plan Plan
Emir r A
1'\(;t %( t'
_ CONSUMER EDUCATION
4. Develop consumer education materials to provide information on child care reso tree arat refi•ral.
quality care, subsidies and tax incentives targeted to the busines- and rural communities a We;d
County. Outcome: increased calls to Child Care Resource and Referral
OBJECIVES TIMING MIL\SIRE\IFN7
• To increase awareness of I • Develop and di;tribute • Through • ( ally to
child care availability and posters and brochures on out grant h CR&k 'viii
quality to working famil es information about child care period increase v
resources
• Distribute materials to 150 • Increase calls
businesses from idual
• Create an ad campaign for clients through
billboards, bus benches, busiuesse, by
newspapers, etc to increase
access to child care • Increase calls
• Disseminate advertising from rura.
efforts in rural treas of communities
County b, 20%
• • Provide information to rural •
school on schoc I age care
options
• To create materials to • Create recruitment materials • Through • Licensirg
educate and recruit and • Disseminate recruitment out grant inquiries will
support potential providers materials through home period increase by
visitation programs and
other means
Provider selection: The current subsidy programs operated by United Way of Weld County are pen tr
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 whether the center
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. Home
provider candidates including exempt providers will have access to prelicensing training tapes (distance
eda_ation), 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 efforts.
United Way's involvement with the business community through its annual campaign will allow
distibution of consumer education materials to a greater number of businesses without adding cost A
communication kit is sent to the 25 largest companies ci Weld County on a quarterly basis Chile t are
information produced through this campaign will be included in these kits. All advisory committees and
supporters of this project will assist in outreach efforts. A cooperative effort with Learning Cluster
training and Weld AEYC training will give providers alditional choices for their training needs. Stared
mailing lists will facilitate access to providers.
Exun if \
P U:N 9! I' 17
Staffing:
The Weld County Department of Social Services selected its contractor, United Wac of Weld Count.-.
because of its role in the community as:
The location for the Child Care and Resource and Referral and in partnership with Aims
Community College to operate the Child Care Resource and Referral Program in Weld C.cant
• The agency involved in providing resources for families and children who require child ca-e
services beyond Social Services' capacity to serve because of income guidelines and =or
employers who need technical and direct services related to tax incentives and related acid ides
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 Krcmarik, Coordinator, Family Support-etwork
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 c child care capacity established for the pngram
and a significant increase in capacity in rural areas and shift work care. In addition t 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 Department 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 informatior about
developmentally appropriate services to children.
Licensing issues: Our project will address initial licensing issues for new home providers through
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 whl-
participate in start-up and/or training activities. Additionally, up to 270 children could benefit from this
prc gram through higher quality early care and education opportunities available to them. Our Consumer
Education efforts will impact unrolled numbers of children and families. More importantly, Moth center
ant 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 reeds of
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 eiThrt
to identity child care and youth supervision needs in Weld County. A previous planning grant funded
by :he Colorado Department of Human Services resulted in key entities in the commartity committing
their 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
ine'.uding Social Services, Head Start, and Public Health; City of Greeley; City of Evans; Weld BOCES
Aims Community Collage: School District Six; and United Way of Weld County. This tail, force is
E x 11113: 'A
P.u.v 111o1 1"'
focused on identifying gaps in services for children ages 0-3 years. -12 years and for l.3-: B year This
group provides input and access to community-based infintmation.
The Weld County Department of Social Services has had other successful collaborative ei urts inJ.tdin__
the development ofa migrant housing project and comprehensive housing plan, and welfare reform
initiatives
Each area of our plan has had input from an advisory committee. The Family Support Net v'rk. nude
❑p of business representative provides support to the incentive programs and the consumer edoca u n
pla.i. The Child Care Resource and Referral Committee made up o' providers, early childhood
educators, child agency representative and consumers also gives input to the incentive programs and has
a training subcommittee and a public relations subcommittee. The Aims Community College Earl,
Childhood Professions program has a very active Advisory Committee made up of child care pro:iders,
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 Weld
County has facilitated the Weld County Child Abuse Coalition for over ten years and the Weld Cu,nty
Family Early Intervention Collaboration for the last four years.
The Aims Community College Early Childhood Professions program has managed several grant untied
training initiatives including Great Beginnings—a U.S. Department of Education grant to train
paraprofessionals in the care of infants, toddlers and young children with special needs,, a CO
Department of Human Services Infant/Toddler Quality Expansion grant (2n° year); and most recently, a
Title V grant to serve Hispanic populations in south Weld. The College has collaboratively with Veld
AE in providing space and trainers for Learning Cluster training
Child Care Resource and Referral is managed through .t United Way of Weld County/ Aims COME-flunky
College Partnership. This project, in its second year, provides a unique, cost-effective way to coordinate
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. It is the goal
of these supporters to make best use of community; resources without duplicating efforts and ultimately
serving children and families.
Local Match: Local matchin;it resources include use ofFamily 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 cast 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 ser:i es
already started. In addition Aims Community College has committed the expertise and time of the r
grant writer to finding other sources of funding. The CORRA funding formula provides Inccntivi s 10
expansion of slots that will translate into additional CORRA resources to continue this effort. United
Wa_ 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 DIAis A OF CHIT.D CARE \ ; I a *FSil di 1
COLORADO DIVISION OF CHILD CARE
LINE ITEM BUDGET AND BUDGET NARRATIVE FORM
**Instructions for completing this form are on the following page.*'
Child Care Quality Expansion Project - Line ::em Budget
Applicant: Weld County Department of Social Services
Finding Period: 9/I/00 to 6/30/0
BUDGET FOR DIRECT COSTS OF CHILD CARE LICENSING PROGRAMS
Item State Cost Local Match l otal Cost
.Personnel Salaries $3320 311008 5143_>
2.Fringe Benefits S275 $1769 $2044
3.Travet $642 5800 SILL?
' 4. Supplies $28420 $1300 52973f
5. Equipment -0- $1000 51000
6. Other (specify) $21335 $9420 5307)
Mentor stipends:
Incentive 2325
Retention 4750
Elxpansion 5000
Tuition 3360
j Pre Licensing training 850
Substitute costs 4800
Chic: care 250
SubTotal- Child Care Frog. S53992 $25297 F $79239
COUNTY ADMINISTRATIVE COSTS
Budget Categories State Costs Local Match** Fetal Costs
Specify costs below
SubTotal—Admin. 56000 560t0
Grand Total $59992 $25297 I $85239
Incentive/Retention/Consumer Education ex,ms
Budget Narrative Pn<,r: 12°' 17
Personnel Request Match
Staff: 5 hrs. per week for 36 weeks $9.00/hr = $1.620
September 1, 2000 thru June 30, 2001
.25 Coordinator time (@$20.18 $1 0.401
Fringe Benefits
$1,620 x 17% = $275
.25 Coordinatorbenetits `.1.;n')
Sub Total $1,895 512.177
Travel
4 trips per month x 10 months x 50 miles per trio x $.30/mi. _ $600
In kind travel $800
Supplies
Incentive Grants 15 x $300 $4,500
Retention Grants 10 x $455 $4,550
Consumer Education Supplies:
Greeley Tribune Ads $90 per month x 10 momhs = $ 900
County Community papers 6 at various rates for 10 months = $1,530
Windsor Area Billboard $ 400
Ft. Lupton Area Billboard $ 400
Posters $ 800
Brochures (Development & printing for 5,00Q $ 950
Display racks for brochures (500 @ 5.50) $ 250
Flyers —500 C. $.03 = $ 150
Office supplies 5100
Incentive match $300')
Sub Total $14,430 $3100
Equipment -0-
Other
Incentive Mentor Stipends= $2,325
Orientations 15 x $30= $450
Candidate Meetings 15 x S25 =$375
Shadow Expenses 15 x $50 =$750
Phone Support = 15 x $50 =5750
Retention Mentor Stipends = $4,750
Trainings 10 x $75 = $750
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 @ $500 = $5,000
Stipend match $4000
Occupancy $6220
Sub Total $12,075 $4620
TOTAL 529.000 S20697
Extr ar
P.%GE 13 rr 17
TRAINING BUDGET NARRATIVE
Personnel Request iA_Iatch
histructor for prelicensing video curriculum development
50 hours @ S 1 Oper hour 5500
Coordination 14.. S10-hr x 120 hours (40/quartcr) 51200
Coordination cr1 310.111 x 30 hrs 530(1
Support staff @$10 x 10 hrs x 3 quarters $300
Subtotal $1700 $600
Fringe Benefits -0-
Travel
Mileage for trainer @$28/mile, 150 miles $42
Supplies
Office supplies $400
Marketing of training program, mailings and brochures $300
Stipend for 10 home providers completing
prelicensing training @$100 31000
Stipend for 20 students completing Professional Develoment
Plan goals @ 3100 $2000
Video production for revision of prelicensing training 38790
Textbooks@$50 for 10 students, 3 courses each $1500
Subtotal $13990
Equipment
Training materials S1000
Other
Tuition: S28 per credit x 10 students x 12 credits $3360
Training costs for prelicensing training @585 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 54800
Child care: 25 hours @310/hr $250
Subtotal S9260 S4800
TOTAL $24992 $6400
P GE 14 r 1'
'11°-.5,_
June 23. 2000
Scott Raun. Grant Specialist
Colorado Division of Child Care
1575 Sherman St. I" 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 consisterr
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 by
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, Juc.y Kron 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.
Sincere . -'�
-__ N.jCCA-e
carmine Truswell Paul Thompson .)Executive Director President
United Way of Weld County Aim Community College
■ ■
Exmn. A
P\criSni
United Way
of Weld County
P'1 5th Street P.O.Pax t 941 Greeley,CO 805.'8
95.4—t2 Cr35"!- ,•3": ax aC 1811'-4989 u C os Corr Bright -wrings
l ar illy Supt: 'Nerrvmk
..:f. of Value- or Ptalect
'vol mater ees'C :e;:rater
June 21, 2000 :teal :oust,i a!d Abu,. Coal tien:
.i_1.
Pratt Poject
Scott Rauh, Grant Specialist
Colorado Division of Child Care
1575 Sherman, let Floor
Denver, CO 80203-1714
Dear Mr. Raun
It is our pleasure to support the Child Care Quality Expansion grant being joirtly
submitted by Weld County Department of Social Services, Aims Community
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 ajob
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 surrey. This project will support the
efforts of all who have worked with us the last two years to develop a plan anc
institute programs to expand and improve quality child care in Weld County.
._% e ce¢.ie o n nc et/rr1 f' 'he ,„,./r. /
Ac.-/v Lilt( z cn cue eo%ee+n->.
@;X1111
I'vGEIb F1'
We the Ilxecntive Committee of the Weld L'ounty Chili. Care and Youth Stme•v, ril�r
Task Force representing our partnership, we pleased to ,upport this proposal
Sincerely.
hl
Ken)Nickerson. Facilitator. Pam Bricker
Aims Community College United Way of Weld County
c C
/ J/lam le✓
Jon Eastin Dale McCall
School District Six Centennial BOCES
N !fl
ka
Sherie Calvillo Melanie George-Hernandez
City Councilperson City Councilperson
City of Greeley City of Evans
Mike Geile
Commissioner
Weld County Goverment
Ex tiii: A
Pvu.I[ 17u
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 for
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 manner to
service children and their families.
ft is our belief that this collaboration with local control will be effective in sharing anc
delivering services that are needed within our community. Should you have any questions
concerning our support, please feel free to contact me at 970-339-9554
Sincerely,(---a\A.3ha_. • . - Kj
Patncia A. Schwindt,President
Weld County Family Child Care Association
COLORADO DIY'SION OF CHILD CARE CR.tNT.-V'Pt �. ;y nDERSLyi #1
ImP,A(:E hll-O 12
•
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 306_2
County Department Contact Person: Judy A. Grie_o _ _
Phone Number: (970)352-1551 ext. 6510 Fax Number: (9701353-5215
E-Mail Address: erieeoiaiwco.weld.co_us Amount Requested: 540.000 (revised 8/7/00)
Federal Employer Identification Number(FEIN):
Type of Grant Funds will be used for
(check one) (check all that aop L-
New child care facility start-up X Minor renovation
Existing child care facility expansion X Equ,pment/supplies
Expanding the quality of care in target
X communities X Costs to meet licensing requirements
X Training
X Consumer Education
Staf E./operating
If so, you must explain, as part of your
response to Section E, how the program will
continue to pay these costs after 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 Infants/Toddlers
X Children with special needs Colorado Pre-school Program
Public school site Children in Chapter 1 local school districts
Migrant and seasonal workers Family resource center/school
X Private-for-profit center X Fu1Hweek 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 the best of my knowledge, complete ant
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, tun's, conditions, and other
requirements contained in this application and in the REA.
Signature of person authorized to contracmy.11y commit the County Department of Social Services
Barbara J. Kirkueaver
1et 'i � , � ��'�..e � / .— 08/09( 20(..J0
Print Name Cha;_r Signature 'I Date
AUIII(\UI v 4
P.vt:It2n 12
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 l I'0,000 (FDA?, 1998) including over
44,C00 (28%) children under the age of 18 (Kids Count in CO, /99 28). According to the Lolorait
Children's Campaign. county report. children needing care in Weld lounty was 7392 and u'v3ilab e
licensed spaces was 3972 for 1990. Child Care Resource and Referral has data for 293 licensed h:ones,
serving 1053 children and 39 centers, serving 3121 children. Child are Resource and Rekrral received
1030 calls in 1998-99. Over the past 12 months, 35% of the calls wore for infant care. At _'rs time
there are NO vacancies for infants in child care homes. Total vacancies for the county average• less than
10% 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 remained stamant
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 facili y.
Openings often de 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 rate was3.6% for both Greeley and Weld 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 significart.
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 (burr- 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% of poverty or be low
with the availability of child care. Weld County, alone with the resi of the state, strives for quality.
developmentally appropriate programs for our children Just three local centers are accredited by
NAEYC standards. Turnover in child care center personnel and in gamily child care home 'Providers is
as high if not higher than the national avenge. We have lots of room for quality improvement. in Weld
County.
ivlanv individuals considering becoming a licensed child-care provider, do not pursue licensing because
they tear 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 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 !o
expand our county's licensed capacity.
F High Need Areas Capacity Total Sloe Available Infant Slots Available
Home Center Home Center Home 'C inter
I.Au.r. 1 16 i 75 0 1 9 0 0 _ -
' Dacono ' 0 0 0 I0 0 0 _ .
Frederick 24 10 i 3 0 0 !1 .
Fa Lupton : 15.4 I 72 14 I 18 I 4 0 •
•
reeiey—Jefferson Elem 14 162 3 116 1 0
Greeley— B. Martinez Elem 140 0 16 0 1 0 ,
Annt.yu' #1
Hudson 6
Kzenshurg U 0 • 0 �) 0
Windsor 148 - P — 4 • 0
*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 care)•
care for infants and toddlers; care for young children with disabilities; overall qualify 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. quality
early care and education for low income families through four means:
• Increase availability of care through mentoring and incentives for start-up of licensed child care
homes
• Improve provider retention through mentoring and incentives for serving targeted gaps in availabilil
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 Incenfive
Program 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 •
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 amo.tnt of
TANF funds to child care activities. In large part, this is due to their recent decision to increase income
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 difficult
tc--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 Care
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 in
achieving the national goal of having all children ready for school " Their findings show the quality of
children's experiences in child care affects their development and readiness for school. Children who
attended higher quality programs perfoinued better on measures of both cognitive and social skill . By
improving quality of care in Weld County, we can positively affect these outcomes for oar children.
SECTION B: PROGRAM DESCTIPTION, ADMINISTRATIVE CAPACITY AND
ACCOUNTABILITY
Goals and Outcomes: Our 'project will serve all of Weld County and target expansion of>crviCe
through licensed home providers for infant/toddler, bilingual, off time (evening, overnight and
weekend), rural care. Our proposal will also expand quality of ch Id care through training for both hom
•
and center providers. We propose a comprehensive approach to child care quality and expansior for
Weld County. In order to impact the crucial need for licensed ch id care slots to serve targeted
populations and shortages in certain types of care, in the 10 month time frame of this gram. we propos(
to (Goals and Outcomes):
AUDF\D ‘i al
Ptcr4 12
1 . Expand the Incentive Program, which provides incentives and mentorship for start-up if
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 X audit peal
home providers, resulting in the creation of at least 40-60 slots or the targeted populations_ de
program helps potential child care providers to become licensed by providing financia', incen i es
and a one-to-one relationship between candidate and experienced provider for up to three mot hs_
pool of experenced, reputable. licensed providers will be trained as mentors. They y)rill -neei with
the candidate giving a realistic overview of licensed care responsibilities. Mentors will Lcus i n the
licensing process and the business aspects of the profession. Next the candidates will shaiov: he
provider for five hours during a regular day of care. For the three months of the grog ern, the inentoi
will be available to answer candidate questions. Both mentors and candidates will have regular
contact and oversight from the Child Care Resource and Referral Coordinator. Financial Meer Lives
of$50 will include help in initial licensing costs (pre-licensing course. background checks. lint aid.
etc.). An additional $100 will provide improvements or supplies necessary to gel licensed Jim
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$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 8 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 staff. for training, support and problem-solving. The Mentor and their
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 ofthe
program (including meeting goals). Mentors will receive a stipend of S475 for training, meetings.
and the work 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 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 anal
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 fimcs 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 t could invo we completion of college coursework
leading to a certificate or degree in Early Childhood Professions. Major sources oftrainitg will
include Prelicensing Training using distance education format, Learning Cluster training co-
sponsored by Weld AEYC, Early Childhood Professions classes at Aims Commaruty Colegc
Certificates available through the ECP program include: Group Leader. Center Director.
infant Toddler Care and Great Beginnings (caring for children with special needs). Trairees could
also earn an A.AS Degree in Early Childhood Professions. Each of these protatains is approved by
the State governing board for community colleges (CCCOES). The content of each training srssior
(workshop or class) meets guidelines for developmental appropriateness. Upon successful
completion ofthe PDP, individuals will receive a cash stipend for their efforts. Additional monies
AiDEFD1 41
PAGE 5e 12
be used to cc%isc and upgrade prelicensing distance educati n curriculum. ft:cruit_d home
providers (especially in rural areas of the County) will have the !ption to complete pre:iccnsine
training from the convenience of their home- Given the well-researched connection between r �ininc_
and quality in early care and education, this segment will result in enhanced age-appropriate
educational, social, cultural, emotional and recreational development of-children—depending 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 re_ular
cress releases to all media. The main emphasis is on providing infounation to working fatnilies and
rural communities. The poster and brochure campaign is targeted at major and mid-size that, :n
Weld County The rural campaign will target media in Windsor. Ft. Lupton, Erie 'Daceno
/Frederick/Firestone, Hudson IKeensburg, Platteville /LaSalle:Gilcrest, and Johnstowniy hill:ken.
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 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 with
United Way of Weld County. Aims Community College will act as a subcontractor in this project.
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 cf licensed 1
home care providers. Outcome: recruit 8 new child care home providers.
OBJECIVES ACTIVITIES I TIMING I MEASUREMENT
• To support 8 child care home !, • Provide mentoring support 5 each 3- • Completion o?
providers to become licensed for 3 months month 701(6 of g )als
period for raen_cring
program •
• To support 8 child care home • Grant up to $330 to each I d each 3- • Dist-ibv.ton of
providers wit' stipends to provider who adds slots for month grant fuels
assist with licensing costs targeted populations period
retention of home car: roviders
_. Expand the Mentor Program an additional six months to impact p
and reduce the high turnover rate. Outcome: retain 8 child care home providers
OBJECIVES ACTIVITIES TIMING I MEASUREMENT
• To support licensed home l • Provide a mentor for up to n Throughout • Completion of !
providers to remain in months grant period 7044 of goals
business • Provide training stipend for t,r menn,ring
successful completion of program
goals and remaining in • Itistribut,on of
business 9 months _rant funds for
stipend
o increase services to • Provide stipend tor service i lu ou2h
• iuut • I):; rihui'on
t.urected populations h\ to targeted population grant period rant 6.rds G •
mentored providers and • Provide stipend for service sod
• current providers willing to materials appropriate for tpprov_g
increase capacity to serge I service to targeted 'materiel:
targeted populations populations
INCREASE CHILD CARE QUALITY •
3. Create and implement a Professional Developmen- plan for child care center personnel, chile :arc
I 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 ACTIVITIES TIMING MEASURPMTN
• To improve curriculum and • Revise preliceasing • Month • Provide
delivery for prelicensing curriculum 1-5 preliceru ing
• training for child care homes • Revise prelicensing videos • Month training for It
1-3 provider; usir=
• I Llistan.C
,:dtcaton
• Provide prelicensing • Month • Ohain
training for new or exempt 5-10 feedbaei
family child care providers regard!ng
using a distance education a 'ecti,mess
format of trahivtg
• Develop and implement a Provide academic advising • Upon • Professional
•
Professional Development for providers to determine funding Development
Plan for currently practicing ! mechanism for meeting 'I Plan for 10
home or center providers in professional development particicants
order to improve quality of goals
care
• ' • Provide tuition, conference • Through • Grant hinds
fees, cost of substitute out grant distribution
coverage, andsor stipend fcr period and successful
successful completion of completion o:
Professional Development Professional
Plan Development
?Ian
AnuttNDi (#1
Pu:r.7'' 12
• CONSUMER EDUCATION
4. Develop consumer education materials to provide information on child care reso trce trid retler-al_
quality care. subsidies and tax incentives targeted to the business and rural communities or A\e d
County. Outcome: increased calls to Child Care Resource and Referral
OBJECIVES _ TIMING ME:-\SI 'RE\LEN
• To increase awareness or • • Develop and distribute • Fhroughi• Calls to
child care availability and posters and brochures on out grant C :Mk .will
quality to working families information about child care period increase 17
resources i 1U".b
• Distribute materials to 150 • increase ails
businesses from individua:
•
• Create an ad campaign for clients though
billboards, bus benches, busiies:;e; by
newspapers, etc to increase ' 20%
access to child care • Increase calls
• Disseminate advertising from rural
efforts in rural areas of commutities
County by .20%
• 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 increase by
• visitation programs and 20%
other means '
Provider selection: The current subsidy programs operated by United Way of Welc. 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 whether the center
or home where they are employed has a license in good standing. We will strive to serve as mane
centers and communities as possible, limiting participants from each center to one to two people. 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 efforts.
United Way's involvement with the business community through its annual campaign will al.ow
distribution of consumer education materials to a greater number of businesses without adding cost. A
communication kit is sent to the 25 largest companies in Weld County on a quarterly basis. Child Care
information produced through this campaign will be included in these kits. All advisory committees an,
supporters of this project will assist in outreach efforts. A cooperative effort with Learning Cluster
training and Weld AFYC training will give providers additional choices for their training needs. Shared
mailing lists will facilitate access to providers.
ADDinsin ' 41
Purntnu, 12
Staffing:
The Weld County Department of Social Services selected its contractor. United Way of ybcid Co_cuv.
because of its role in the community as:
• The location for the Child Care and Resource and Referral and in partnership with Aims
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 recuire chili can
services beyond Social Services' capacity to sc-ve 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.
hated Way of Weld County staff:
• Judy Kron, Director, Community Problem Solving and Programs
• Rudy Pisano, Coordinator, Child Care Resource and Referral
• Susan Krcma ik, 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 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
me.ntoring, and incentives for training.
The contractor and subcontractor will submit quarterly reports and billing to the County Department 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.
Lic ensing issues: Our project will address initial licensing issues lbr new home providers througi
mentors and stipend for partial licensing costs. Mentors will also address ongoing or unmet Lcensmg
needs of existing home providers. Center licensing issues will be referred to Licensing Specialists in thr
Office of Child Care Services.
Children impacted: Our project will have the greatest direct impact on the 45 child care providers whc
participate in start-up and/or training activities. Additionally, up to 270 children could benefit from this
prcgram 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 of
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 e ort
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
their organizations to the improvement, enhancement, and ongoing development of child care and youth
supervision opportunities in Weld County. These key entities include: Weld County Goverrmea'
including Social Services, Head Start, and Public Health; City of Greeley; City of Evans; Weld i;')CE`
Aims Community Collage; School District Six; and United Way o1 Weld County. This task force is
AUUHSUI \ #1
_ f.\GF 1)1 12
LbCased on identi ing gaps in services for children aecs l d ears Ili Years and for 13- . A \ S( F;._-
>rouo provides input and access to community based information
The Weld County Department of Social Services has had other successful collaborative et-tarts irc.udinL
the development of a migrant housing project and comprehensive housing plan, and welfare re fora
initiatives
Each area of our plan has had input from an advisory committee. The Family Support Network. made
up afbusiness representative provides support to the incentive programs and the consumer education
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 prop cans and hat
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 providers_
trainers and community representatives. This committee regularly reviews curriculum anc promrarn
off rings.
United Way of Weld County through its Family Suppert Network Las been working with do nmurity
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 Weld
County has facilitated the Weld County Child Abuse Coalition for over ten years and the We d County
Family Early Intervention Collaboration for the last four years.
The. Aims Community College Early Childhood Professions program has managed several giant landed
training initiatives including: Great Beginnings —a U.S. Department of Education grant to train
paraprofessionals in the care of infants, toddlers and young children with special needs; a CO
Department of Hunan Services Infant/Toddler Quality Expansion _-rant (?°0 year); and most recently, a
Title V grant to serve Hispanic populations in south Weld. The College has collaboratively with Weld
AE:YC in providing space and trainers for Learning Cluster training.
Child Care Resource and Referral is managed through a United Way of Weld County/ Aims Communit
College Partnership. This project, in its second year, provides a unique, cost-effective way to coordinat..
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 familics in I he
county who need child care thus the use of local resources to benefit children and families. L is the got
of these supporters to make best use of community: resources without duplicating efforts and ultirnatel
serving children and families.
Local Match: Local matching resources include use of Family Connects and Learning Clus_er 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 staffmg, 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 Cure Resource
and Referral activities is committed to continuing this program as evidenced by the childcare services
already started. In addition Aims Community College has committed the expertise and time of their
?rant 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 tais effort. Crited
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 finding priority.
Am)EMU'NI#1
PAGE, 10 of 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: 9/1/0O to 6/30/01
BUDGET FOR DIRECT COSTS OF CHILD CARE PROGRAMS
Budget Categories State Cost Local Match Total Cost
Personnel $2,720 $7,565 10,285
Fringe Benefits $275 $1,235 $1,510
Travel $300 $400 $700
Supplies $21,855 $1,100 $22,955
Equipment -0- $1,000 $1,000
Other $11,450 $4,320 $15,770
SubTotal-Child Care $36,600 $15,620 $52,220
Prog.
COUNTY ADMINISTRATIVE COSTS
1
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 15,620 $55,620
ADDENDI YI#1
FACE I I OF 12
Weld County Budget Narrative
(Revised 8/9/00)
State Cost Match Total
Personnel
Staff: 5 hrs/wk x 36 weeks @$9.00/hr $1,620 -0- S1 620
Coordinator: 10 hrs/wk x 36 wks @$20.18/hr -0- $7,265 57.265
Instructor: $50/hrs x$10/hr $500 -0- 5500
Training Coordination: $10/hr x 60hrs $600 -0- 5600
Training Coordination: $10/hr x 15 hrs -0- $150 5150
Trng. Support Staff $10/hr x 15 hrs -0- $150. 5150.
Subtotal $2,720 $7,565 $10,285
Fringe Benefits
Staff: 51,620 x 17% $275 -0- 5275
Coordinator: $7,265 x .17% -0- $1,235 S1.235
Subtotal $275 $1,235 81.510
Travel
2 trips/month x 10 months x 50 miles/trip x $.30/mile $300 5300
In kind travel $400 $400
Subtotal $300 $400 $700
Supplies
Incentive grants 8 x $300 $2,400 -0- 52.400
Retention grants 8 x$455 $3,640 -0- 53.640
Consumer Education
Greeley Tribune ads$72.50/mo. x 10 mo. $725 -0- 5725
Community paper ads at various rates $1,450 -0- S 1.450
Windsor billboard $400 -0- $400
Ft. Lupton billboard $400 -0- $400
Posters $800 -0- $800
Brochures(5,000 @$.19 ea.) $950 -0- $950
Brochure display racks(300 @$.50 ea) $150 -0- $150
Flyers(5000 @$.03 ea) $150 -0- 5150
Office Supplies $300 $100 $400
Incent ve match $1,000 S 1.000
Training Program marketing $200 -0- 5200
Stipend for 10 home providers completing pre-licensing training. $500 -0- $500
Stipend for 20 students completing Professional Development Plan $1,000 -0- $I.000
goals A $50
Video production for revision of pre-licensing training $8,790 -0- S8,790
Subtotal $21,855 $1,100 $22,955
Equipment
Training materials -0- $1.000
Subtotal -0- $1,000 81,000
ADDENDUM#1
Pm,F12OF12
State Cost Match Total
Other
Incentive mentor stipends -0- -0-
Orientations 8 x $30 $240 -0- 5240
Candidate meetings$8 x 25 $200 -0- 5200
Shadow expenses 8 x $50 $400 -0- X400
Phone support$8 x $50 $400 -0- 5400
Retention Mentor Stipends -0- -0- -0-
Training 8 x$75 $600 -0- 5600
Monthly meetings 6 x 8 mentors x $25 $1,200 -0- 51.200
Mentor meetings 4 x 8 mentors x $25 $800 -0- 5800
Expansion Stipends 5 x $500 $2,500 -0- 52,500
Stipend match -0- $1,300 SI 300
Occupancy -0- $620 5620
Tuition,. $31/credit x 6 credits x 10 students $1,860 -0- 51.860
Training costs for pre-licensing training$85 x 10 students $850 -0- 5850
Substitute costs$8/hr x 60 hrs. x 10 students $2,400 $2,400 S4.800
Subtotal $11,450 $4,320 $15.770
Total 536,600 $15,620 S52,220
County Administration at 9.29% $3,400 -0- S3,400
GRAND TOTAL S40,000 $15,620 $55,620
EXHIBIT B
RENEWAL LETTER
Date:
Renewal Letter No.
In accordance with Paragraph of contract routing number , between the
State of Colorado Department of Human Services, Division of Child Care and
[contractor]
covering the period of through _ , tie
undersigned agree that the term date of the contract shall be extended for a period of
LENGTH OF TIME to DATE
The services affected by this extension are modified as follows:
The budget shall be modified as follows:
This amendment to the contract is intended to be effective as of , but
in no event shall it be deemed valid until it shall have been approved by the State Controller
or such assistant as he may designate.
Please sign, date, and return all copies of this letter on or before
199
Contractor Name: STATE OF COLORADO:
Bill Owens, Governor
By: By:
Name: For the Executive Director
Title: Colorado Department of Human Services
APPROVALS: FOR THE STATE CONTROLLER.
Arthur L. Barnhart
By: By:For (Division) State Controller or Designee
Page 1 of 1
Federal Register:July 24, 1998(Volume 63.Number 142)Rules and Regulations Exhibit C
rages 39931-39998 Page 1 of 19
List of Subjects 98.31 Parental access.
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,
Reporting and record keeping requirements. [[Page 39982[]
45 CFR Part 99 Subpart E--Program t)perations(Child Care Services 1--Lead Agenc'
and
Administrative practice and procedure, Child care, Grant program- Provider Requirements
social programs. 98.40 Compliance with applicable State and local regulatory
requirements.
(Catalog of Federal Domestic Assistance Programs: 93.575, Child 98.41 Health and safety requirements.
Care 98.42 Sliding fee scales.
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. 98.40 Nondiscrimination in admissions on the basis of religion.
Olivia A.Golden, 98.4; 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 serr 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 98.54 Restrictions on the use of funds.
amended 98.55 Cost allocation.
as follows:
1. Part 98 is revised as follows: Subpart G--Financial Management
PART 98--CHILD CARE AND DEVELOPMENT FUND 98.60 Availability of funds.
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.
Sec. 98.64 Reallotment and redistribution of funds.
98.1 Goals and purposes. 98.65 Audits and financial reporting
98.2 Definitions. 98.66 Disallowance procedures.
98.3 Effect on State law. 98.67 Fiscal requirements.
Subpart P--General Application Procedures Subpart H--Program Reporting Requirements
98.10 Lead Agency responsibilities. 98.70 Reporting requirements.
98.11 Administration under contracts and agreements. 98.71 Content of reports.
98.12 Coordination and consultation.
98.13 Applying for funds. Subpart I--Indian Tribes
98.14 Plan process.
98.15 Assurances and certifications. 98.80 General procedures and requirements.
98.16 Plan provisions. 98.81 Application and Plan procedures.
98.17 Period covered by plan. 98.82 Coordination.
98.18 Approval and disapproval of plans and plan amendments. 98.83 Requirements for tribal programs.
98.84 Construction and renovation of child care farilit es
Subpart C--Eligibility for Services
Subpart J--Monitoring,Non-Compliance and Complairts
98.20 A child's eligibility for child care services.
98.90 Monitoring.
Subpart D--Program Operations (Child Care Services)--Parental 98.91 Non-compliance.
Rights 98.92 Penalties and sanctions.
and Responsibilities 98.9? Complaints.
98.30 Parental choice. Authority:42 U.S.('.618,9858.
] From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:G24jy98-21]
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Pages 39981-39998 Page 2 of 19
Assistant Secretary means the Assistant Secretary for Children and
Subpart A--Goals,Purposes and Definitions Families, Department of Health and Human Services:
Caregiver means an individual who provides chili 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 livens cd or
programs and policies that best suit the needs of children and parents otherwise authorized to provide child care services for fewer than 24
within the State; hour; per day per child in a non-residential setting. unless care it
(2) Promote parental choice to empower working parents to make excess of 24 hours is due to the nature of the parentis)' work:
their own decisions on the child care that best suits their family's Child care certificate means a certificate(that may be a check, or
needs; other disbursement) that is issued by a grantee directly to a parent
(3) Encourage States to provide consumer education information who may use such certificate only as payment for child care :service:
to help parents make informed choices about child care; or as a deposit for child care services if such a deposit is required 01
(4)Assist States to provide child care to parents trying to other children being cared for by the provider, pursuant to Sec
achieve independence from public assistance;and 9830.Nothing in this part shall preclude the use of such certificate
(5)Assist States in implementing the health, safety, licensing, for sectarian child care services if freely chosen by the parent. For the
and registration standards established in State regulations. purposes of this part, a child care certificate is assistance to the
(b)The purpose of the CCDF is to increase the availability, parent,not assistance to the provider;
affordability,and quality of child care services.The program offers Child Care and Development Fund (CCDF) means the child care
Federal funding to States,Territories, Indian Tribes,and tribal programs conducted under the provisions of the Child Care ant
organizations in order to: Development Block Grant Act, as amended. The Fund consists or
(I)Provide low-income families with the financial resources to Discretionary Funds authorized under section 6581) o'the amender.-
find and afford quality child care for their children: Act, and Mandatory and Matching Funds appropriated under sectioi
(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 a child cart
the CCDI': prov der that receives Federal funds under the CCDF pursuant a
(3)Provide parents with a broad range of options in addressing grants, contracts, or loans, but does not include a child can: provider
their chile.care needs; to wnom Federal funds under the CCDF are directed onlp through
(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. 98.50, means the care
programs and early childhood development programs: and given to an eligible child by an eligible child care provider:
(6)Increase the availability of early childhood development and Construction means the erection of a facility that does no'
before-and after-school care services. currently exist;
(e t The purpose of these regulations is to provide the basis for The Department means the Department of Health and tlumai
administration of the Fund.These regulations provide that Lead Servces;
Agencies:
(I)Maximize parental choice through the use of certificates and IIPage 39983]]
through grants and contracts:
(2)Include in their programs a broad range of child care providers, Discretionary funds means the funds authorized under section
including center-based care, family child care, in-home care, care 658B of the Child Care and Development Block Grant Act. The
provided by relatives and sectarian child care providers; Discretionary funds were formerly referred to as the Child C are and
(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 01
(5) Design flexible programs that provide for the changing needs Sec. 98.20;
of recipient families; Eligible child care provider means:
(6)Administer the CCDF responsibly to ensure that statutory (I , A center-based child care provider, a group home child care
requirements are met and that adequate information regarding the use provider, a family child care provider, an in-honkie child cart
of public funds is provided;and provider, or other provider of child care services for compcnsatioi
(7)Design programs that provide uninterrupted service to families that--
and providers,to the extent statutorily possible. (i) Is licensed, regulated, or registered under ampiieabl- State Lii
local law as described in Sec.98.40;and
Sec. 98.2 Definitions. (iir Satisfies State and local requirements. including those referrer
to in Sec.98.41 applicable to the child care services it provides: or
For the purpose of this part and part 99: (2i A child care provider who is 18 years of age or older wig
The Act refers to the Child Care and Development Block Grant provides child care services only to eligible childrer who are. hr
Act of 1990,section 5082 of the Omnibus Budget Reconciliation Act marriage, blood relationship, or court decree, the grandchild, grew
of 1990, Pub. L. 101-508, as amended and codified at 42 U.S.C. grandchild, sibling rif such provider lives in separate residence)
9858 et seq. niece, or nephew of such provider, and complies with my applicable
ACF means the Administration for Children and Families; requirements that govern child care provided by the relative
Application is a request for funding that includes the information invorved;
required at Sec.98.13;
I From the Federal Register Online via GPO Access[wais.access.gpo.gov]
)DOCID:fr24jy98-21]
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Facility means real property or modular unit appropriate for use by Real property mean;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 and
sole caregiver, in a private residence other than the child's residence_ Human Services;
unless cant in excess of 24 hours is due to the nature of the parent(s)' Sectarian organization or sectarian child care provider means
work; religious organizations or religious providers generally. 7h: terms
Group home child care provider means two or more individuals embrace any organization or provider that engages in religious
who provide child care services for fewer than 24 hours per day per conduct or activity or that seeks to maintain a religious identity in
child, in a private residence other than the child's residence, unless some or all of its functions. There is no requirement that a sectarian
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 particular
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 uny religious purpose el
or regional or village corporation as defined in or established activity, including but not limited to religious worship or instruction.
pursuant to the Alaska Native Claims Settlement Act(43 U.S.C. Sec Services for which assistance is provided means all child care
1601 et seq.) that is recognized as eligible for the special programs services funded under the CCDF, either as assistance di-ectl ro child
and services provided by the United States to Indians because of their care providers through grants, contracts, or loans_ or ind-recth as
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 farm l based
child care services in the child's own home; on income and size of the family, in accordance with Sec. 9h.a2_
Lead Agency means the State,territorial or tribal entity designated State means any of the States,the District of Columbia,the
under Secs. 98.10 and 98.16(a) to which a grant is awarded and that Commonwealth of Puerto Rico, the Virgin Islands of the United
is accountable for the use of the funds provided.The Lead Agency is States. Guam, American Samoa. the Commonwealth oft the Northern
the entire legal entity even if only a particular component of the Mariana Islands,and includes Tribes unless otherwise specified;
entity is designated in the grant award document. Tribal mandatory funds means the child care fund; set aside at
Licensing or regulatory requirements means requirements section 418(a)(4) of the Social Security Act. The furds consist m
necessary for a provider to legally provide child care services in a between one and two percent of the aggregate Mandatory and
State or locality, including registration requirements established Matching child care funds reserved by the Secretary in each fiscal
under State, local or tribal law; year for payments to Indian Tribes and tribal organizations:
Liquidation period means the applicable lime period during which Tribal organization means the recognized governing body of any
a fiscal year's grant shall be liquidated pursuant to the requirements Indian Tribe, or any legally established organization of Indians.
at Sec 98.60.; including a consortium, which is controlled, sanctionec, or chartered
Major renovation means: (I) structural changes to the foundation, by such governing body or which is democratically elected by the
roof floor, exterior or load-hearing walls of a facility, or the adult members of the Indian community to be served r such
extension of a facility to increase its floor area: or (2) extensive organization and which includes the maximum participation of
alteration of a facility such as to significantly change its function and Indians in all phases of its activities: Provided,that in an case where
purpose, even if such renovation does not include any structural a contract is let or grant is made to an organization tc perform
change; services benefiting more than one Indian Tribe,the approval of each
Mandatory funds means the general entitlement child care funds such Indian Tribe shall be a prerequisite to the letting or making of
described at section 418(a)(11 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
Security Act: Types of providers means the different classes of providers under
Modular unit means a portable structure made at another location each category of care. For the purposes of the CCDF, types 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.sectarian
program; providers and relative: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 supersede
The Plan means the Plan for the implementation of programs or modify any provision of a State constitution or State law that
under the CCDF: prohibits the expenditure of public funds in or by sectarian
Program period means the time period for using a fiscal year's organizations, except that no provision of a State constitution ut
grant and does not extend beyond the last day to liquidate funds; State law shall be construed to prohibit the expenditure in or by
Programs refers generically to all activities under the CCDF. sectarian institutions of any Federal funds provided under this part
including child care services and other activities pursuant to Sec. (b) If a State law or constitution would prevent CCDF funds from
98.50 as well as quality and availability activities pursuant to being expended for the purposes provided in the Act. without
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 l wais.access.gpo.gov]
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Pages 39981-39998 Page 4 of 19
Subpart B--General Application Procedures (b)Consult, in accordance with Sec.98.14(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 any Indian
The Lead Agency, as designated by the chief executive officer of Tribes in the State receiving CCDF funds in accordance with subpan
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.94.13 Applying I or 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. (a) The amount of funds requested at such tune and in such
98.14(6); manner as prescribed by the Secretary.
(d) Hold at least one public hearing in accordance with Sec. (b) [he 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 furies will not he
Sec.98.11 Administration under contracts arid agreements. used for the purpose of influencing pursuant to 45 CFR part 93,and.
if necessary, a Standard Form LLL(SF-LLL)that discloses lonhving
(a) The Lead Agency has broad authority to administer the payments;
program through other governmental or non-governmental agencies. (3) An assurance that the Lead Agency provides a drug-free
In addition, the Lead Agency can use other public or private local workplace pursuant to 45 CFR 76.600, or a statement that such an
agencies to implement the program;however: assurance has already been submitted for all HHS grants;
(I) The Lead Agency shall retain overall responsibility for the (4) A certification that no principals have been deba-red pursuant
administration of the program, as defined in paragraph (b) of this to 45 CFR 76.500;
section; (5) Assurances that the Lead Agency will comply with the
(2)The Lead Agency shall serve as the single point of contact for applicable provisions regarding nondiscrimination to 45 CFR part 80
issues involving the administration of the grantee's CCDF program; (implementing title VI of the Civil Rights Act of 1964, as amended).
and 45 CFR part 84 (implementing section 504 of the Rehabilitation Act
(3)Administrative and implementation responsibilities undertaken of 1973, as amended). 45 CFR part 86 (implementing title N of the
by agencies other than the Lead Agency shall be governed by written Education Amendments of 1972, as amended) and 45 C'FL part 91
agreements that specify the mutual roles and responsibilities of the (implementing the Age Discrimination Act of 1975, is amended),
lead Agency and the other agencies in meeting the requirements of and;
this part. (6) Assurances that the Lead Agency will comply with the
(b) In retaining overall responsibility for the administration of the applicable provisions of Public Law 103-277, Part(--Environmental
program,the Lead Agency shall: Tobacco Smoke, also known as the Pro-Children met ,d 1994.
(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 tomes and in
(2) Promulgate all rules and regulations governing overall such manner as required in Sec. 98.17;and
administration of the Plan; (d)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) Ov:rsee the expenditure of funds by suhgrantees and In the development of each Plan, as required pursuan.. io Sec
contractors: 98.17.the Lead Agency shall:
(6)Monitor programs and services; (a)t I) Coordinate the provision of services funded under this Part
(7) Fulfill the responsibilities of any subgrantee in any, with other Federal, State,and local child care and early childhood
disallowance under subpart(1; complaint or compliance action under development program;, including such programs far the benefit of
subpart J; or hearing or appeal action under part 99 of this chapter; Indian children. The Lead Agency shall also coordinate with the
and State, and if applicable, tribal agencies responsible Ice I )) Public
(8) Ensure that all State and local or non-governmental agencies health, including the agency responsible for immumaatians;
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 Temnorary Assistance for Needy I amilies.
(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.
(h)Consult with appropriate representatives of local governments.
The Lead Agency shall: (c)i 1) Hold at least one hearing in the State, after at least 20 days
(a) Coordinate the provision of services for which assistance is of statewide public notice, to provide to the public an opportunity to
provided under this part with the agencies listed in Sec. 98.14(a). comment on the provision of child care services under the P:an.
}From the Federal Register Online via GPO Access lwais.access.gpo.gov]
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(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 ACE,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 arc in effect to
[[Page 39985]] ensure that child care providers of services for which 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 case services, in
described in Sec.98.16 that it proposes to submit to the Secretary. accordance with Sec. ti18.43, are sufficient V ensure equal access for
eligible children to comparable child care service, in the State or
Sec. 98.15 Assurances and certifications. sub-State area that are provided to children whose parents ,ire nor
eligible to receive assistance under this program or under tin., 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 provi(ions.
with the provisions of the CCDF Plan, and that is administered in
accordance with the Child Care and Development Block Grant Act of A('CDF Plan shall contain the following.
1990, as amended, section 418 of the Social Security Act, and all (a) Specification of the Lead Agenn whose dudes 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 sec 98.1 5
the Lead Agency who receives or is offered child care services for (c)(1) A description of how the C(-DI program will be
which financial assistance is provided is given the option either: administered and implemented, if the Lead Agent.. doe. not directle
(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 u• rr:enc private
(ii)To receive a child care certificate as defined in Sec.98.2; donated funds and the purposes for w huh w,h rood. ill he
(3) In cases in which the parent(s I,pursuant to Sec.9830,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 consult:n on or tcesses
Lead Agency, the child will be enrolled with the eligible provider involved in the development of the Plan. including a tics:np ion of
selected by the parent to the maximum extent practicable, public-private partnership activities tf;at proud re business
(4) in accordance with See. 98.30,the child care certificate offered involvement in meeting child care needs porsuarn u, see_ 9s.14(al
to parents shall he of a value commensurate with the subsidy value of and(b);
child care services provided under a grant or contract; (e) A description of the public hearing process pursuant to See
(5) With respect to State and local regulatory requirements (or 98.14,c);
tribal regulatory requirements), health and safety requirements, (f) Definitions of the following terms for purposes of determining
payment rates,and registration requirements, State or local(or tribal) eligibility,pursuant to Secs.98.20(a)and 98 441
rules, procedures or other requirements promulgated for the purpose (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)Attending(a job training or educational program
Sec.98.31(0. (4)Job training and educational program;
(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 children
pursuantta Sec.98.53(h)(1) in foster care are considered in protective services for purposes or
(b)The Lead Agency shall include the following certifications in child care eligibility and whether respite care is provided to
its CCDF Plan: custodial parents of children in protective services.
(I) In accordance with Sec. 98.31, it has procedures in place to (8)Very low income;and
ensure than: providers of child care services for which assistance is (9)in loco parentis
provided ander 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 (1)A description 01 such services and activities;
normal hours of operations and whenever such children are in the (2) Any limits established for the provision of in-home care and
care of such providers; the reasons for such limits pursuant to Sec.98.30(eH 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 and
substantiated parental complaints and makes information regarding activities are offered, ,f such services and activities arc not available
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 needs ui
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 celinition'
(4) There are in effect licensing requirements applicable to child established pursuant to Sec.98.20(h):
care services provided within the State(or area served by Tribal Lead (h) A description of the activities to provide comprehensive
Agency), pursuant to Sec.98.40; consumer education, to increase parental choice, and to improve the
(5)There are in effect within the State for other area served by the quality and availability of child care,pursuant to Sec. 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)flan 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 shah
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
0) A description of the health and safety requirements, applicable agreement to extend that period has been secured. Ie) 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 determ nation
(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. wthin 60 days
Sec.98.30(c). after the date of receipt of notification of such determination file a
(I) 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 conforms to the
requirements for approval under the Act and pertinent I ederal
Page 39986)] regulations.
(2) Within 30 days after receipt of such petition, the ,Assistant
market rate survey,relied upon to determine that the rates provided Secretary shall notify the applicant or Lcad Agency of the time and
are sufficient to ensure equal access pursuant to 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 days. 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 he Assistant
in the care of the provider,pursuant to Sec.98.31; Secretary described in paragraphs (a) and (b) of this section 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 ncorrect, the
98.40; Assistant Secretary shall certify restitution forthwith in a lump sum
(p) Pursuant to Sec. 98.33(b). the definitions or criteria used to of any funds incorrectly withheld or otherwise denied. The hearing
implement the exception,provided in section 407(e)(2)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 or Services
six;
(q)(I) When any Matching funds under Sec. 98.53(h) are claimed, Sec. 98.20 A child's eligibility for child care services.
a description of the efforts to ensure that pre-Kindergarten programs
meet the needs of working parents; (a)In order to be eligible for services under Sec.9'8 511,a child
(2) When State pre-Kindergarten expenditures are used to meet shall:
more than 10% of the amount required at Sec. 98.53(x)(1), or for (I)(i)Be under 13 years of age;or,
more than 10% of the funds available at Sec. 98.53(6)., or both, a (ii).kt the option of the Lead Agency,he under age 19 and
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 family whose income does not exceed 85 percent
of the State's median income for a family of the same size:and
Sec.98.17 Period covered by Plan. (3)(t)Reside with a parent or parents(as defined in Sec. 98.2)who
are working or attending ajob training or educational program or
(a) For States.Territories, and Indian Tribes the Plan shall cover a (ii) Receive, or neec to receive, protective services and reside with
period of two years. a parent or parents (as defined in Sec. 98.2) other than the parent(s)
(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 (a)(2) of this
section, al such time as required by the Secretary in written section and in Sec. 98.42 may he waived for familie; eligible for
instruction;, child care pursuant to this paragraph. if determined to he net essary
on a case-by-case basis by, or in consultation with, an appropriate
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 in
foster care when defined in the Plan.pursuant to Sec. 98.16()(7).
(a) Plan approval.The Assistant Secretary will approve a Plan that (b) Pursuant to Sec 98.16(g)(5). a grantee or other administering
satisfies the requirements of the Act and this part. Plans will be agency may establish eligibility conditions or priority rules in
approved not later than the 90th day following the date on which the addition to those specified in this section and Sec.98.14 so long as
Plan submittal is received, unless a written agreement to extend that they do not:
period has been secured. (I) Discriminate against children on the basis of race, national
origin_ ethnic background,sex,religious affiliation,or dtsabi lit v;
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(2)Limit parental rights provided under Subpart D;or requirements promulgated for purposes of the C('DF 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 in
Rights and Responsibilities Sec. 98.2;or
(3) Excluding a significant number of pros iders in any category of
Sec.98.30 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:
(I)To enroll the child with an eligible child care provider that has The Lead Agency shall have in effect procedures to enure 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 he providers
(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 Lead
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 be 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: (b) Make information regarding such parental compla:nts available
to the public on request;and
((Page 39937)) (c)'f he 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)(I)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 ss ill collect and disseminate to parents and the
(4) May be used for child care services provided by a sectarian general public consumer education information that will promote
organization or agency, including those that engage in religious informed child care choices including, at a minimum. information
activities, it-those services are chosen by the parent; about
(5) May be expended by providers for any sectarian purpose or (I)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; (b) Inform parents who receive TANF benefits about the
(6) Shah not be considered a grant or contract to a provider but requirement at section 407(e)(2) of the Social Security Act that the
shall be considered assistance to the parent. TANI- agency make an exception to the individual penalties
(d) Child care certificates shall be made available to any parents associated with the work requirement for any single custodial parent
offered child care services. who has a demonstrated
(e)(I)For child care services,certificates under paragraph(a)(2) inability to obtain needed child care for a child under six years of
of this section shall permit parents to choose from a variety of child age. he information may be provided directly by the I cad Agency_
care categories, including: or-pursuant to Sec. 98 I I,other entities,and shall induce:
(i)Center-based child care: (I) The procedures the TANF agency uses to determine if the
(ii)Group home child care. parent has a demonstrated inability to obtain needed child care.
(iii)Family child care;and (2) The criteria or definitions applied by the TANF agency to
(iv) In-hame child care,with limitations,if any,imposed by the determine whether the parent has a demonstrated inahi ity to obtain
Lead Agency and described in its Plan at Sec.98.16(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. (ii) "-Reasonable distance":
(2) Lead Agencies shall provide information regarding the range (iii) "Unsuitability of informal child care";
of provider options under paragraph (e)(1) 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 during the time an
care services. eligible parent receives the exception referred to in paragraph (b) 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 religious
agency uses in implementing the exception to the work requirement grounds;and
specified in paragraph(b)of this section. (D) Children whose medical condition contrf indicates
immunization;
Sec. 98.34 Parental rights and responsibilities. (iii)Lead Agencies shall establish a grace period in which children
can receive services while families are taking the necessary actions to
Nothing under this part shall be construed or applied in any 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 standards and
and Provider Requirements requirements under paragraph(a)of this section that are inconsistent
with the parental choice safeguards in Sec. 98.30(1).
Sec. 98.4C Compliance with applicable State and local regulatory (c)The requirements in paragraph (a)of this section shall apply to
requirements. all providers of child care services for which assistance is provided
under this part, within the area served by the Lead Agenc., 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 in effect to
applicable to child care services provided within the arca served by ensure that child care providers of services for which assistance is
the Lead Agency; provided under this part, within the area served by toe 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(a)of this section_
enforced. (e) For the purposes of this section, the term "child care
(b)(I) 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 pros iders live in a separate residence). aunts, or
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.98.30(1). (a) Lead Agencies shall establish, and periodically revise, by rule, a
sliding fee scale(s) that provides for cost sharing by families that
Sec.98.41 Health and safety requirements. receive CCDF child care services.
(b) A sliding fee scale(s) shall be based of income aid the size of
(a) Although the Act specifically states it does not require the the family and may be based on other factors as appropriate.
establishment of any new or additional requirements if existing (c) Lead Agencies may waive contributions from families whose
requirements comply with the requirements of the statute, each Lead incomes are at or below the poverty level for a harm) of the same
Agency shall certify that there are in effect, within the State(or other size.
area served by the Lead Agency), under State, local or tribal law.
requirements designed to protect the health and safety of children 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 to
(1) The prevention and control of infectious diseases (including ensure equal access, for eligible families in the area served by the
immunizations). With respect to immunizations, the following Lead Agency, to child care services comparable to those provided to
provisions apply: families not eligible to receive CCDF assistance or child care
(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 (b) The Lead Agency shall provide a summary of the fact-. relied
CCDF are age-appropriately immunized. Those health and safety on to determine that its payment rates ensure equal access At a
provisions shall incorporate (by reference or otherwise) the latest minimum,the summary shall include facts showing.
recommendation for (1) How a choice of the full range of providers. e.g.. renter.group.
family,and in-home care,is made available;
[[Page 39988]] (2) How payment rates are adequate based on a local market rate
survey conducted no earlier than two years prior to the effective date
childhood immunizations of the respective State or territorial public of the currently approved Plan;
health agency. (3) How copaymeniu based on a sliding fee scale are affordable,as
(ii) Notwithstanding paragraph (a)(I)(i) of this section, Lead stipulated at Sec.98.4_.
Agencies may exempt: (e) A Lead Agent, may not establish different payment rates
(A) Children who are cared for by relatives (defined as based on a family's eligibility status or circumstances.
grandparents, great grandparents, siblings (if living in a separate (d) Payment rates under paragraph (a) of this section shall he
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 private
right of action.
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(c) Notwithstanding paragraph (b) of this section, if 80 pittcent or
Sec.98.44 Priority for child care services. more of the operating budget of a child care provider conies 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 i;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 specifically provide
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 religion, in the
or tribal law, it is required to maintain a list of the names and employment of any individual as a caregiver,as defined 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 care services.
(a)Child care providers(other than family child care providers, as (a)Of the funds remaining after applying the provisions of
defined in Sec. 98.2) that receive assistance through grants and paragraphs (c), (d) and (e) of this section the Lead Agency shall
contracts under the CCDF shall not discriminate in admissions spend a substantial portion to provide child care services 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)Child care services shall he provided:
provider from selecting children for child care slots that are not (1) To eligible children,as described in Sec.98.20,
funded directly (i.e., through grants or contracts to providers) with (2) Using a sliding fee scale,as described in Sec.98.42:
assistance provided under the CCDF because such children or their (3) Using funding methods provided for in Sec. 9830.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 :unds expended (i.e.
(c) Notwithstanding paragraph (b)of this section, if 80 percent or Discretionary, Mandatory, and Federal and State share of Matching
more of the operating budget of a child care provider comes from Funds), no less than four percent shall be, used for activities to
Federal or State funds, including direct or indirect assistance under improve the quality of child care as described at Sec 98.51.
the CCDF. the Lead Agency shall assure that before any further (d) Of the aggregate amount of funds expended (i.e..
CCDF assistance is given to the provider. Discretionary, Mandatory, and Federal and State share of Matching
(I)The grant or contract relating to the assistance,or Funds), no more than five percent may he used tier administrative
(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 Matching Funds
program, project. or activity will discriminate. on the basis of shall he used to meet the child care needs of families who.
religion,in the admission of any child. (I) Are receiving assistance under a State program under fart A of
title IV of the Social Security Act,
Sec. 98.47 Nondiscrimination in employment on the basis of (2) Are attempting through work activities to transi.ion off such
religion, assistance program,and
(3)Are at risk of becoming dependent on such assistance program
(a) In general, except as provided in paragraph (b) of this section, (f) Pursuant to Sec. 98.16(g)(4), the Plan shall specify how the
nothing in this part modifies or affects the provision of any other State will meet the child care needs of families described in
applicable Federal law and regulation relating to discrimination in paragraph(e)of this section.
employment on the basis of religion.
(I) Chili care providers that receive assistance through grants or Sec.98.51 Activities to improve the quality of child care.
contracts tinder the CCDF shall not discriminate, on the basis of
religion,in the employment of caregivers as defined in Sec.98.2. (a) No less than four percent of the aggregate funds expended by
(2) If two or more prospective employees are qualified for any the Lead Agency for a fiscal year, and including the amounts
position with a child care provider, this section shall not prohibit the expended in the State pursuant to Sec. 98.'_3(6), shall be expended
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 cemprehcnsi"e consumer
(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 l Activities designed to improve the quality and availability ol
(b) Notwithstanding paragraph (a) of this section, a sectarian child care, including, but not limited to those described in paragraph
organization may require that employees adhere to the religious (2)ol this section.
tenets and teachings of such organization and to rules forbidding the (2) Activities to improve the quality of child care services may
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 required 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 determined 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 amount of the
pursuant to Sees. 98.40 and 98.41; limitation at paragraph (a)of this section dots not apply to Tnbes 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. 93 53(c) (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)1'ederal matching funds are available for expenditures in a State
(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 thi;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. (Cl In order to
receive Federal matching funds for a fiscal year under 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(6), shall be is greater)under sections 402(g)and (i)of the Social Security Act as
expended for administrative activities. These activities may include these sections were in effect before October I, 1995 ant
but are not limited to: (2) The expenditures shall be for allowable services or activities,
(I) Sala'ies 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 See. 98.11. Program administration and (3) Ml Mandatory 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 same expenditure may not be used to meet the
Development Fund program; requirements under both paragraphs (b) and (c) of rho section in a
(ii) Providing local officials and the public:with information about fiscal year.
the program, including the conduct of public hearings; (c) an expenditure in the State for purpcses of this subpart may
(iii)Preparing the application and Plan; be:
(iv) Dec eloping agreements with administering agencies in order (I)Public funds when the funds are:
to carry out program activities; (i) .appropriated directly to the Lead Agency specified at Sec.
(v) Monitoring program activities for compliance with program 98.10, or transferred from another public agency to that Lead Agency
requirements: and under its administrative control, or certified by the contributing
(vi)Preparing reports and other documents related to the program public agency as representing expenditures eligible for federal
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 autherized by Federal
(viii) Coordinating the provision of Child Care and Development law to be used to match other Federal funds; or
Fund sem ees with other Federal, State, and local child care, early (2) Donated from private sources when the donated finds
childhood development programs. and before-and after-school care (i)Are donated without any restriction that would recuire their use
programs; for a 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 (iii)Are not used to match other Federal funds;
(xi) Managing or supervising persons with responsibilities (iv) Shall be certified both by the donor and by the Lead Agency
described in paragraphs(a)(I)(i)through(x)of this section; as available and representing expenditures eligible for Federal match.
(2) Travel costs incurred for official business in carrying out the and
program; (v) Shall be subject to the audit requirements in Sec. 08.65 of
]From the Federal Register Online via GPO Access(wais.access.gpo.gov�
[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 duel:carte the
expenditure eligible to receive Federal match under this subsection. academic program of any public or private school.
They may be given to the entity designated by the State to receive (d) Sectarian purposes and activities. Funds provided under grants
donated funds pursuant to Sec. 98.16(c)(2) or contracts to providers may not be expended for any sectarian
(g)The following are not counted as an eligible State expenditure purpose or activity, including sectarian worship or instruction_
under this Part: Pursuant to Sec. 98.2, assistance provided to parents through
(I)In-kind contributions;and certificates is not a grant or contract. Funds provided through child
(2)Family contributions to the cost of care as required by care certificates may be expended for sectarian purposes or activities.
Sec.98.42. including sectarian worship or instruction when provided as part of
(h)Publ.c pre-kindergarten(pre-K)expenditures: the child care services
(I) May be used to meet the maintenance-of-effort requirement (e) The CCDF may not he used as the non-Federal share for 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.98.55 Cost allocation.
Plan, as provided in Sec. 98.16(q), a description of the efforts it will
undertake to ensure that pre-K programs meet the needs of working (a) The Lead Agency and subgrantees shall keep on file cost
parents. allocation plans or indirect cost agreements, as appropriate. ;hat 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 negotiate° indirect rate
subsection. In any fiscal year, a State may use other public pre-K with the Federal government should prepare and keep on file cost
funds for up to 20% of the expenditures serving as the State's allocation plans or indirect cost agreements,as appropriate.
matching fends under this subsection. (c)Approval of the cost allocation plans or indirect cost
(4) If applicable, the CCDF Plan shall reflect the State's intent to agreements is not specifically required by these regulations. hut these
use public pre-K funds in excess of 10%,but not for more than 20%, plans and agreements are subject to review.
of either its maintenance-of-effort or State matching funds in a fiscal
year. Also. the Plan shall describe how the State will coordinate its [[Page 39991]]
pre-K and child care services to expand the availability of child care.
(i) Matching funds are subject to the obligation and liquidation Subpart G--Financial Management
requiremerts 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 availabiidy of
(a) General. (I) Funds authorized under section 418 of the Social appropriations, in accordance with the apportionment of funds from
Security Act and section 6588 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. and
pursuant to section 404(d) of the Social Security Act, shall be Tribes,
expended consistent with these regulations. Funds transferred (2)Mandatory and Matching Funds are available to Sates.
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 act ordwnce with
(2) Funds shall be expended in accordance with applicable State the apportionment of funds from the Office of Management and
and local laws,except as superseded by Sec.98.3. Budget,the Secretary
(b)Construction.(I)For State and local agencies and nonsectarian (1) May withhold no more than one-quaver of one percent of the
agencies or organizations, no funds shall be expended for the CCDF funds made available for a fiscal year for the pro'r,ion of
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 grantee,:that have an
funds may he expended for minor remodeling, and for upgrading approved application and Plan.
child care facilities to assure that providers meet State and local child (c) The Secretary may make payments in installments. and in
care standards,including applicable health and safety requirements. advance or by way of reimbursement, with necessary adjustments
(2) For sectarian agencies or organizations, the prohibitions in due to overpayments or underpayments.
paragraph (b)(I) of this section apply: however, funds may be (d) The following obligation and liquidation provis ons apply to
expended for minor remodeling only if necessary to bring the facility States and Territories:
into compliance with the health and safety requirements established (1) Discretionary Fund allotments shall he obligated in the fiscal
pursuant to Sec. 98.41. year n which funds are awarded or in the succeeding fiscal year
(3)Tribes and tribal organizations arc subject to the requirements Unliquidated obligations as of the end of the succeeding fiscal year
at Sec. 98.34 regarding construction and renovation. shall oe liquidated within one year.
(c) 'Vuitton. Funds may not be expended for students enrolled in (2)'i) Mandatory Funds for States requesting Matching funds per
grades I through 12 for: Sec.08.53 shall be obligated in the fiscal year in which the lends are
(I) 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 Matching
Fund;are available until expended.
] From the Federal Register Online via GPO Access]wais.access.gpo_gov]
[DOCID:fr24jy98-2I]
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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 shal be full)
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 he recovered Com the pans
(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.58.61 Allotments from the Discretionary Fund
(5)Obl igations 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 Columoia. and the
However, the following are not considered third party subgrantees or Commonwealth of Puerto Rico an amount equal to the funds
contractors: appropriated for the Child Care and Development (flock Grant, less
(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. 98.60(h) and paragraphs
Agency;or (b) and (c) of this section, shall he allotted based upon th.: formula
(iii) A local office of another entity at the same level of specified in section 658O(h)of the Act.
government as the Lead Agency. (b) For the U.S. Territories of Guam. American s amoa. the Virgin
(6) For purposes of the CCD', funds for child care services Islands of the United States, and the Common w raft, o-the Northern
provided through a child care certificate will be considered obligated Mariana Islands an amount up to one-halt or one rcrcent of the
when a e'aild care certificate is issued to a family in writing that amount appropriated for the Child Care and Is'.rdopnum Block
indicates: Grant shall he reserved.
(i)The amount of funds that will he paid to a child care provider (I) Funds shall he allotted to these I c^ruonc based won tin
or family,and following factors:
(ii)The specific length of time covered by the certificate, which is (i) A Young Child factor--the ratio of the number it dti•dren in
limited to the date established for redetermination of the family's the Territory under five years of age to the number nt such r hildren
eligibility, but shall be no later than the end of the liquidation period. in all territories;and
(7) An) funds not obligated during the obligation period specified (ii) An Allotment Proportion factor--det:nnmed bs do Laing the
in paragraph(d)of this section will revert to the Federal government. per capita income of all individuals in all the Territories h' the per
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 be:
Federal government. (I) Equal to the average of the annual per capita mannes for the
(e) The following obligation and liquidation provisions apply to most recent period of three consecutive years for shah soli.factor
Tribal Discretionary and Tribal Mandator) Funds: data are available at the time such determination is mad_. and
(I) 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 us paragraph
funds not obligated during this period will revert to the Federal (h)(I)(ii)(A) of this section, will be applied in esiabli'hung the
government allotment for the fiscal year for which it in: deterntmsd and for the
(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 naragrapf
Any tribai. 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]J
needed and shall be timed to be in accord with the actual, immediate
cash requirements of the State Lead Agency, its subgrantee or (I) Exceeds 1.2, then the Allotment Proportion factor of the
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 facia! of the
(g) Funds that are returned (e.g., loan repayments, funds Territory shall be considered to he 0.8.
deobligated by cancellation of a child care certificate, unused (2) The formula used in calculating a Territor) s allotment is as
subgrantee funds) as well as program income (e.g., contributions follows:
made by =amilies directly to the Lead Agency or subgrantee for the (ii) For purposes of the formula specified at.paragraph (b)i 21(t) of
cost of care where the Lead Agency or subgrantee has made a full this section, the term "YCF<INF>t</INF means the '!erritory'r
payment to the child care provider)shall. Young Child factor as defined at paragraph I b)(I)(i)of this section.
(1) if received by the Lead Agency during the applicable (ill)For purposes of the formula specified at paragraph(- )(2)(i)o!
obligation period, described in paragraphs Id)and (e)of this section. this section, the tens ''APF<INF>t</INF>" means the l erritory'i
be used far activities specified in the Lead Agency's approved plan Allotment Proportion factor as defined at paragraph (h)(1)uit of this
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. including am
described at paragraphs(d) and (e) of this section-be returned to the Alaskan Native Village or regional or village corporation as defined
Federal government. in or established pursuant to the Alaska Native Claims Settlemen
(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 Block
Grant shall be reserved.
]From the Federal Register Online via GPO Access[wais.access.gpo.gov]
[DOCID:t'r24jy98-21 1
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Pages 3 998 1-39998 Page 13 of 19
(I) 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;
(i)A base.amount as set by the Secretary: and (5)Association of Village Council Presidents;
(ii) An additional amount per Indian child under age 13 (or such (6)'fanana Chiefs Conference;
similar age as determined by the Secretary from the best available (7)Cook Inlet Tribal Council;
data), which is 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 Prihilof Islands Association;
(c)(1)(i) of this section, by the number of all Indian children living (10)Chugachmuit;
on or near Tibal reservations or other appropriate area served by the (11)Tlingit and Haica Central Council:
tribal grantee.pursuant to Sec.98.80(c). (12) Kodiak Area Native Association;and
(2) Grans to Tribes with fewer than 50 Indian children that apply (13)Copper River Native Association.
as part of a consortium,pursuant to Sec. 98.80(h)(I), are equal to the (c)(I)Grants to individual Tribes with 50 or more Indian children.
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(6)(1).will be equal;o 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 best 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 t.
(ii) An additional amount per Indian child, pursuant to paragraph (2)Tribal consortia will receive grants that are equal to the st.im
(c)(I)(ii)of this section. of the individual grant,of their members.
(3)Tribal consortia will receive grants that are equal to the sum of
the individual grants of their members. Sec.98.63 Allotments from the Matching Fund.
(d) All funds reserved for Territories at paragraph (b) of this
section will be allotted to Territories, and all funds reserved for (a) fo each of the 50 States and the District of Columbia there 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 at her organizations, up to $2,000,000 may he reserved State hears to the national total of children under age I3.The number
from the tribal funds reserved at paragraph (c) of this section. From of children under 13 is derived from the best data acailabn 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
Ilawkins-Robert T. Stafford Elementary and Secondary School section 418(a)(3) of the Social Security Act excludes the amounts
Improvement Amendments of 1988 (20 11.S.C. 4909(4)) and to a reserved and allocated under Sec.98.60(6)(1)for technical assistance
private non-profit organization established for the purpose of serving and under Sec. 98.62(a) and (h) for the Mandatory Fond. ((ft
youth who are Indians or Native Hawaiians. The Secretary will Amounts under this subsection are available pursuant ro 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.98.64 Reallotment and redistribution of funds.
Sec.98.62 Allotments from the Mandatory Fund.
(a) According to the 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 418(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(6)(1) and the amount reserved for Tribal funds 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
(I) the Federal share of its child care expenditures under
subsections(g)and(i)of section 402 of the Social Security Act(as in [(Page 39993](
effect before October I, 1995) for fiscal year 1994 or 1995
(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 (b) Any portion of a State's Discretionary Fund allotment that is
under the subsections referred to in subparagraph (at(I) of this not required to earn out its Plan, in the period bir which the
section for fiscal years 1992 through 1994. allotment is made available, shall be reallotted to other States in
(b) For Indian Tribes and tribal organizations up to 2 percent of proportion to the original 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, and
Security Act shall be allocated according to the formula at paragraph the Commonwealth of Puerto Rico. The other Territories and the
(c) of this section. In Alaska, only the following 13 entities shall Tribes may not receive reallotted State Discretionary Funds.
receive allocations under this subpart, in accordance with the formula (I) Each year. the State shall report to the Secretary either the
at paragraph(c)of this section: dollar amount from the previous year's grant that it will le unable to
(1) The Metlakatla Indian Community of the Annette Islands obligate by the end of the obligation period or that all funds will he
Reserve: obligated during such time. Such report she be postmarked by April
(2)Arctic Slope Native Association; 1st.
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[DOCID:fr24jy98-2I]
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Pages 3998;.-39998 Page 14 of 19
(2) Based upon the reallotment reports submitted by States, the (i)lithe total amount available for reallotment is 525.000 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 he reallotted to States in proportion to each State's Sec.98.62(c).
allotment for the applicable fiscal year's funds, pursuant to Sec. (ii) If the total amount available for reallotment is less than
98.61(a). $25,000,the Secretary will not reallot any funds, and such funds wilt
(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 1 ribs 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 (i) The Secretary will determine that Tribe does not have any
for report submittal,either: funds available for reallotment'or
(i) The Secretary will determine that the State does not have any (ii) In the case of a report received after the deadline established
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 and :xpend
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 per od 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 and financial reporting.
(c)(1)Any portion of the Matching Fund granted to a State that is
not obligated in the period for which the grant is made shall be (a) Each Lead Agency shall have an audit conducted atter 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(e) in the period for which the grant was first made. For (b) Lead Agencies are responsible for ensuring that sot-Trainees
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. Lead
receive redistributed Matching Funds. Agencies shall submit a copy of their audit report to the legislature of
(2)Matching Funds allotted to a State under Sec. 98.63(a), but not the State or, if applicable, to the Tribal Council(s). Lead Agencies
granted. shall also be redistributed in the manner described in shall also submit a copy of their audit report to the IIIIS Inspector
paragraph(I)of this section. General for Audit Services, as well as to their cognizant agency. it
(3) The amount of Matching Funds granted to a State that will be applicable.
made available for redistribution will he based on the State's (d) Any amounts determined through an audit riot to hate been
financial report to ACF for the Child Care and Development Fund expended in accordance with these statutory or regulatory pro,isions.
(ACF-696) and is subject to the monetary limits at paragraph (b)(2) or with the Plan, and that are subsequently disallowed by the
of this secs ion. 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 C_DF binds to
also use the ACF-696 to request its share of the redistributed funds, if which the Lead Agency is or may be entitled.
any. (e) Lead Agencies shall provide access to appropriate books.
(5) A Slate's share of redistributed Matching Funds is based on the documents, papers and records to allow the Secretary to verify that
same ratio as the number of children under 13 residing in the State to CCDI' funds have been expended in accordance with the statutory
the number of children residing in all States eligible to receive and and regulatory requirements of the program, and with the Phan
that request the redistributed Matching Funds. (f) The audit required in paragraph (a) of this section snail he
(6) Redistributed funds are considered part of the grant for the conducted by an agency that is independent of the State,Territory or
fiscal year in which the redistribution occurs. Tribe as defined by generally accepted government auditing
(d) Any portion of a Tribe's allotment of Discretionary Funds that standards issued by the Comptroller General. or a public accountant
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 ne:essar.
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 the Act, the
obligate by the end of the obligation period or that all funds will be implementing regulations, or the approved Plan, will be subject to
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:f 24jy98-21]
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(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 variation of the
the Lead Agency of this decision in writing provisions of this part.
(c)(I) 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:
(i) By requesting reconsideration from the Assistant Secretary. (a)Quarterly Case-level Report--
pursuant to paragraph(f)of this section:or (I) 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-level report of
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 monthly if they
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-month federal
disposition of unobligated balances- fiscal period preceding the required report. The first report snail he
(t) The '..cad Agency's request for reconsideration in (c)(2)(i) of submitted no later than August 31, 1998, and quarterly thereafter
this section shall he postmarked no later than 30 days after the receipt The first report shall include data from the third quarter of FEY 1998
of the disallowance notice. A Lead Agency may request an (April 1998 through June 1998). States and Territorial Lead
extension within the 30-day time frame. The request for Agencies which choose to submit case-level data monthly must
reconsideration, pursuant to (c)(2)(i) of this section, need not follow submit their report tor April 1998 no later than lu y 30, 1998
any prescrined form,but it shall contain: Following reports must he submitted every thirty days thereafter.
(1)The amount of the disallowance; (3) State and territorial Lead Agencies choosing to submit data
(2)The lead Agency's reasons for believing that the disallowance based on a sample shall submit a sampling plan to ACE for approval
was improper;and 60 days prior to the submission of the first quarterly report. States arc
(3) A copy of the disallowance decision issued pursuant to not prohibited from submitting case-level data for the entire
paragraph lb)of this section. population receiving CCDF services.
(g)(1)Upon receipt of a request for reconsideration,pursuant to (4)Quarterly family case-level reports to tie 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 assistance
(2)The Assistant Secretary or the designee will review any under CCDF shall prepare and submit to :he Secretary at annual
material submitted by the Lead Agency and any other necessary report The report shall be submitted, in a manner specified by the
materials. Secretary, by December 31 of each year and shall cover the most
(3) If the reconsideration decision is adverse to the Lead Agency's recent federal fiscal year(October through September).
position, the response will include a notification of the Lead (2) The first annual aggregate report shall be submitted no later
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 the
(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. (I) Tribal Lead Agencies that receive assistance under CCDF shall
(i) The appeals process in this section is not applicable if the prepare and submit 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 the
the findings of which have been appealed by the Lead Agency. Secretary by December 31 of each year and. shall cover services for
(j)Disallowances under the CCDF program arc subject to interest children and families served with CCDF funds during'he preceding
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 Secretary shall include the
information listed in Sec.98.71(c).
Sec.98.67 Fiscal requirements.
Sec.98.71 Content oi-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 quarterly
accounting for their own funds, case-level report to the Secretary, as required in Sec 98.70. shall
(b)Unless otherwise specified in this part,contracts that entail include the following information on services provided under CCDF
the expenditure of CCDF funds shall comply with the laws and grant funds, including Federal Discretionary (which includes any
procedures generally applicable to expenditures by the contracting funds transferred from the TANF Block Grant), Mandatory, and
agency of its own funds. Matching Funds; and State Matching and Maintenance-of-Effort
(c)Fiscal control and accounting procedures shall be sufficient to (MOE)Funds:
permit: (I)The total monthly family income for determining eligibility:
(1)Preparation of reports required by the Secretary under this (2)County of residence;
subpart and under subpart H; and (3)Gender and month/year of birth of children:
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(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 IV of An Indian Tribe or tribal organization (as described in Subpart G
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 'unds shall be
(7)The month/year child care assistance to the family started; subject to all the requirements under this pan, unless otherwise
indicated.
Page 3999511 (b) An Indian Tribe applying for or receiving CCDF fund: shall.
(I) Have at least 50 children under 13 year; of age (or such similar
(8)The type(s) of child care in which the child was enrolled(such age, as determined by the Secretary from the best available data) in
as family child care, in-home care,or center-based child care); order to be eligible to operate a CCDF program. This limitation does
(9)Whether the child care provider involved was a relative; not preclude an Indian Tribe with fewer than 50 children under 13
(10)The total monthly child care copayment by the family; years of age from participating in a consortium that receives CCDf
(II)The total expected dollar amount per month to be received by funds and
the provider for each child; (2) Demonstrate its current service delivery capability. in.luding
(12)The total hours per month of such care; skills, personnel, resources, community support, and other necessary
(13)Social Security Number of the head of the family unit components to satisfactorily carry out the proposed program
receiving child care assistance; (c) A consortium representing more than one Indian Tribe may he
(14)Reasons for receiving care;and eligible to receive CCDF funds on behalf of a particular Tribe if
(15)An additional information that the Secretary shall require. (1) The consortium adequately demonstrates that each
(b) At a minimum, a State or territorial Lead Agency's annual participating Tribe authorizes the consortium to receive CCDF funds
aggregate report to the Secretary, as required in Sec. 98.70(b), shall on behalf of each Tribe or tribal organization in the consorti m;and
include the following information on services provided through all (2)The consortium consists of Tribes that each meet the eligibility
CCDF grant funds, including Federal Discretionary (which includes requirements for the t'CDF program as defined in this part. or that
any funds transferred from the TANF Block Grant), Mandatory, and would otherwise meet the eligibility requirements if the 'I robe of
Matching Funds:and State Matching and MOE Funds: tribal organization had at least 50 children under I3 years of aye:and
(I)The number of child care providers that received funding under (3) All the participating consortium members arc in geocraphic
('CDF as separately identified based on the types of providers listed proximity to one another (including operati an in a multi-Stoic area:
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 the managerial.
(2) 'The number of children served by payments through technical and administrative staff with the ability :o administer
certificates or vouchers, contracts or grants- and cash under public government funds, manage a CCDF program and comply v.ith the
benefit programs, listed by the primary type of child care services provisions of the Act and of this part.
provided curing the last month of the report period(or the last month (d) The awarding of a grant under this section shall not attest the
of service for those children leaving the program before the end of eligibility of any Indian child to receive CCDF services provided by
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 of he r umber of
provided to parents and toe number of parents to whom such children in the Tribe pursuant to paragraph (h)(1 I oi'this section.
information was provided; shall include Indian children living on or near reservations with the
(4)The total number(without duplication)of children and families exception of Tribes in Alaska,California and Oklahoma._
served under CCDF; and (t) In determining eligibility for services pursuant to
(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 (I)85 percent of the State median income for a tami y of the same
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 size
awards. residing in the area served by the l7ibal Lead Agency_
(1) Unduplicated 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 shall
(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(6)(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 described
(6) Average hourly amount paid for care; at Sec. 98.16,with the following additions and exceptions:
(7)Children served by level of family income;and (I) The Plan shall include the basis for dctemining family
(8)Children served by type of child care providers. eligibility pursuant to Sec.98.80(f).
(2)For purposes of determining eligibility,the following terms
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shall also be defined: (3) If a Tribe elects to participate in a consortium arrangement to
(i) Indian child;and receive one part of the CCDF (e.g., Discretionary Funds), it may not
(ii) Indian reservation or tribal service area. join another consortium or apply as a direct grantee to receive the
(3)The Tribal Lead Agency shall also assure that: other part of the CCDF(e.g.Tribal Mandatory Funds).
(i)The applicant shall coordinate.to the maximum extent feasible. (4) If a Tribe relinquishes its membership in a consonium et an>
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 tc 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 (d) Tribal Lead Agencies shall not be subject to the requirements
children,pursuant to Sec.98.83(b). at Secs.98.41(a)(l)(i). 98.44(a),98.50(e).98.52(a), 98.`;3 and 98.63.
(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(h)(1). quality expenditure requirement at Sec. 98.51(a). The host, 'mount
(5) Plans for those Tribes specified at Sec. 98.83(1) (i.e., Tribes may he expended fa any costs consistent with the purpooes and
with small grants) are not subject to the requirements in Sec. requirements of the CCDF.
98.16(g)(2)or Sec. 98.I6(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 established 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)and (111;and
(6) The Plan is not subject to requirements in Sec. 98.16(O(8) or (3) The requirements for quality expenditures at Sec. 98.51(a).
Sec.98.16(g)(4). (g) Not more than 15 percent of the aggregate CCDF funds
(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 renew anon in
(8)A consortium shall also provide the following: accordance with Sec 98.84, but not including the base amount
(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)(1); activities. Amounts used for construction and major renovation in
(ii)A description of how the consortium is coordinating services accordance with Sec. `'8.84 are not considered administrative r osts.
on behalf of its members,pursuant to Sec.98.83(c)(I): and (h)t I)CCDF funds are available for costs incurred by the'lr Thal
(iii) As part of its initial Plan, the additional information required Lead Agency only after the funds are made available by Congress for
at Sec. 98.80(c)(4). Federal obligation unless costs are incurred for planting activities
(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 (2)Federal obligation of funds for planning costs,pursuant to
this part arid shall be fora two-year period,pursuant to paragraph(h)(1)of this section is subject to the actual availability
Sec.98.170O.t. of the appropriation.
Sec.98.82 Coordination. Sec. 98.84 Construction and renovation of child care fact limit
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 Sees.
(a) To the maximum extent feasible, with the Lead Agency in the 98.61(c) and 98.62(bt to make payments for construction or major
State or States in which the applicant will carry out the CCDF renovation of child care facilities (including paying, the ,.ost of
program;and amortizing the principal and paying interest on loans).
(b) With other Federal,State, local,and tribal child care and (b)To be approved by the Secretary,a request shall he made in
childhood development programs. accordance with uniform procedures established by program
instruction and, in addition,shall demonstrate that:
Sec. 98.83 Requirements for tribal programs. (I)Adequate facilities are not otherwise available to enable 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 renew aliot will not
programs and activities shall be carried out on an Indian reservation result in a decrease in the level of child care services provided by the
for the benefit of Indian children. Tribal Lead Agency as compared to the level of services provided by
(c) In the case of a tribal grantee that is a consortium: the Tribal Lead Agency in the preceding fiscal year
(I)A brief description of the direct child care services funded by (c)t 1) Tribal Lead Agency may use CCDF funds for reasonable
('.CDF for each of their participating Tribes shall be provided by the and necessary planning costs associated wi:h assessing the need for
consortium in their two-year CCDF Plan;and construction or renovation or for preparing a request. in accordance
(2) Variations in CCDF programs or requirements and in child with the uniform procedures established by program instruction. 10
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 CCDI' finds to pay for
Tribe. the costs of an architect, engineer, or other consultan' for a project
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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 of possible non-compliance. The Secretary shall consider
comply with the following: comments received from the Lead Agency within Ell days (or such
(1) Federal share requirements and use of property requirements at longer period as may be agreed upon between the Lead Agency and
45 CFR 92.31; the Secretary).
(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 the appropriate entity. _neluding
(5)Program income requirements at 45 CFR 92.25: subgrantees and contractors,upon reasonable request.
(6)Procurement procedures at 45 CFR 92.36;and; (d)t 1) Lead Agencies and subgrantees shall retain a I CCDI-
(7) Arty additional requirements established by program records, as specified in paragraph (c) of this section, and and other
instruction, including requirements concerning: records of Lead Agencies and subgrantees that are nacded to
(i)The recording of a Notice of Federal Interest in the property; substantiate compliance with CCDF requirements, for the wriod 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 providt through an
(iii)Insurance and maintenance; appropriate provision in their contracts that their contractors will
(iv)Submission of plans, specifications, inspection reports, and retain and permit access to any books, documents, papers. and
other legal documents;and records of the contractor that are directly pertinent to tha specific
(v)Modular units. contract.
(e)In lieu of obligation and liquidation requirements at (e)Length of retention period. (I)Except as pros.idec in paragraph
Sec. 98.60(e),Tribal Lead Agencies shall liquidate CCDF funds used (e)(2) of this section, records specified in paragraph (c) of this
for construction or major renovation by the end of the second fiscal section shall be retained for three years from the day the Lead
year following the fiscal year for which the grant is awarded. Agency or subgrantee submits the Financial Report; required by the
Secretary,pursuant to Sec.98.65(g),for the program period.
[Page 394'97]] (2) If any litigation, claim, negotiation, audit, disallowance action.
or other action involving the records has been started before the
(f) Tribal Lead Agencies may expend funds, without requesting expiration of the three-year retention period, the records shall be
approval pursuant to paragraph (a) of this section. for minor retained until completion of the action and resolution of al: issues
renovation. that arise from it, or until the end of the regular three-year period.
(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.
renovatior. 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 Sec
renovatior. (i.e., direct services, quality activities, or administrative 98.90 or Sec.98.93,a final determination is made that:
costs). (I) There has been a failure by the Lead Agency, or by an entity
(h) A construction or renovation project that requires and receives providing services under contract or agreement with the Lead
approval by the Secretary must include as part of the construction Agency, to comply substantially with any provision or requirement
and renovation costs: set forth in the Plan approved under Sec.98.16;or
(I)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, of
the facility;and by an entity providing services under contract or agreement with the
(3) initial equipment for the facility. Equipment means items Lead Agency, to comply substantially with any provision of the Act
which are tangible, nonexpendable personal property having a useful or this part, the Secretary will provide to the I..ead Agency a written
life of more than five years. notice of a finding of non-compliance. This notice will ne issued
within 60 days of the preliminary notificai ion in Sec 98 90(b). m
Subpart J--Monitoring,Non-compliance and Complaints within 60 days of the receipt of additional comments from the Lead
Agency, whichever is later, and will provide the opportuti'v for
Sec.98.90 Monitoring. hearing,pursuant to part 99.
(b)The notice in paragraph(a)of this section will and lode all
(a) The Secretary will monitor programs funded under the CCDF relevant findings, as well as any penalties or sanctions to he applied
for compliance with: pursuant to Sec. 98.92.
(1)The Act; (c) Issues subject to review at the hearing include the finding of
(2)The provisions of this part;and non-compliance, as well as any penalties or sanctions .o be imposes
(3)The provisions and requirements set forth in the CCDF Plan pursuant to Sec.98.92.
approved under Sec.98.18;
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Sec.98.92 Penalties and sanctions. (c) The Department shall promptly furnish a copy of an}
complaint to the affected Lead Agency. Any comments received
(a) Upon a final determination that the Lead Agency has failed to from the Lead Agency within 60 days(or such longer period as mac
substantially comply with the Act, the implementing regulations, or be agreed upon between the Lead Agency and Department) shall he
the Plan,one of the following penalties will be applied: considered by the Department in responding to the complaint. The
(I)The Secretary will disallow the improperly expended funds; Department will conduct an investigation of complaints. where
(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 complaints
allotment for the following fiscal year;or within 180 days after receipt. If a final resolrtion cannot he provided
(3)A combination of the above options will be applied. at that time,the response will state the reasons oh) .additional time is
(b)In addition to imposing.the penalties described in paragraph(a) necessary.
of this section,the Secretary may impose other appropriate sanctions. (e)Complaints that arc not satisfactorily resolved through
including: communication with the Lead Agency will he pursued tluuugh the
(I) 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 I IEARINi IS FOR Ind 1.'1111.1)
• 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 failed to implement a provision of the Act, these regulations, or
the Plan required under Sec. 98.16; 2. 1 he heading of part 99 is revised to read as sei rorta ah'w e:
(ii) This penalty will be withheld no earlier than the second full 3. 1 he authority citation for part 99 is rev ived to real as
quarter fol lowing the quarter in which the Lead Agency was notified follows:
of the proposed penalty;
(iii) This penalty will not be applied if the lead Agency corrects Authority: 42 U.S.C 618,9858.
the failure or violation before the penalty is to be applied or if it
submits a plan for corrective action that is acceptable to the 4. In part 99 make the following changes.
Secretary; or a. Remove the words"Child Care and De%elopmen; Block Grant'
(iv) The Lead Agency may show cause to the Secretary why the and add in their place. wherever they appear. the word Child Care
amount of the penalty, if applied,should be reduced. and Development Fund."
(c) If a Lead Agency is subject to additional sanctions as provided b. Remove the word "Grantees" and add in its ;dace_ w iieiever it
under paragraph (b) of this section, specific identification of any appears,the words—Lead Agencies."
additional sanctions being imposed will he provided in the notice c. Remove the word "Grantee" and add in its plan. vv hcrcver it
provided pursuant to Sec. 98.9I. appears,the words—Lead Agency."
(d) Nothing in this section, or in Sec. 98.90 or Sec. 98.91, will d. Remove the words -'Block Grant Plan' and add in them place.
preclude the Lead Agency and the Department from informally wherever they appear,the words"CCDF Plan"
resolving a possible compliance issue without following all of the
steps described in Secs. 98 90, 98.91 and 98.92. Penalties and/or [FR Doc.98-19418 Filed 7-23-98; 8:45 am]
sanctions, as described in paragraphs(al and (b)of this section, may BILLING CODE 4184-01-P
nevertheless he
Page Page 39998 1]
applied,even though the issue is resolved informally.
(e)It is it the Secretary's sole discretion to choose the penalty
to he 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 I wais_access.gpo_gov]
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