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Home My WebLink About981719.tiff RESOLUTION RE: APPROVE CONTRACT FOR CHILD CARE QUALITY AND IMPROVEMENT AVAILABILITY 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 and Improvement Availability 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 July 1, 1998, and ending July 31, 1999, 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 and Improvement Availability 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 9th day of September, A.D., 1998, nunc pro tunc July 1, 1998. BOARD OF COUNTY COMMISSIONERS WELD COUNTY, COLORADO ATTEST: i ' / 4'�� •:3' ,/ EXCUSED DATE OF SIGNING (AYE) b. ' 1 �� Constagce L. Harb rt, Chair Weld County Cler 4 th-�o r jr 00 Mo.Tem J\ y W. wro ' 1. BY: CAltitt t5 a ' Aa,_,,,_ w I /'It Deputy Clerk t ` .!1- ,- `:� i 1 �+ tet9e'� Baxter O O FORM: -sv/ Dal K. Hall unty torney {i,, it {cLZ12/y�C/t^, Barbara J. Kirkmeyer/ ,/ 981719 d , '--1'� ' 3JzLk SS0024 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - (it cl(-61.- DEPARTMENT OF SOCIAL SERVICES P.O. BOX A GREsELEY, COLORADO 80632 Administration and Public Assistance (970) 352-1551 iglik Child v (970) 352-69331 Protective and Youth Services (970) 352-1923 Food Stamps (970) 356-3850 COLORADO MEMORANDUM Fax (970) 353-5215 TO: Constance L. Harbert, Chair Date: August 30, 1998 Board of County Commissioners 4 FR: Judy A. Griego, Director, Social Services O C RE: Child Care Quality and Availability Improvement Contract Between the Colorado Department of Human Services and the Weld County Department of Social Services Enclosed for Board approval is a Child Care Quality and Availability Improvement Contract between the Colorado Department of Human Services and the Weld County Department of Social Services. The major provisions of the Contract are as follows: 1. The term of the Contract is July 1, 1998 through July 31, 1999. 2. The total funding provided under this Contract is $26,990 with a $3,000 local match or a total of$29,990. The Weld Information and Referral Services provide the local match (WIRS). a. WIRS will provide a home-based education program to unlicensed child care providers through the Parents as Teachers Project - $16,990. b. WIRS will responsible planning of the project through the Families, Youth, and Children Commission- $10,000. 3. This Contract incorporates the Board approved original grant request and the amended grant request to the Colorado Department of Human Services. If you have any questions, please telephone me at extension 6510. (7y .1?7/ Waived/delegated Agency or Department Name Human Services- Div. of Child Care Department or Agency Number IHA Contract Routing Number 99-IHA-00356 CONTRACT THIS CONTRACT, Made this 30th day of June 1998, by and between the State of Colorado 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 CCLC9900356 in Fund Number 100, Appropriation Account 462, and Organization 4380; 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 26 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 March 23,1998 and Addendum #1 to Exhibit A, dated June 18, 1998. 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. b. 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. 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; iv. Improve the monitoring of, compliance with and enforcement of applicable state, local and/or tribal requirements under the federal regulations; Page 2 of 26 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 which 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. 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. Page 3 of 26 g. The contractor shall use a lawful, appropriate sub-contractor selection process which is in keeping with the county's approved procurement and 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 to low-income and newly working families so they are aware of and can access grant- funded services. 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. Page 4 of 26 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 the capacity-building 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: i. to purchase or improve land, ii. 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 4-5 of Addendum #1. 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. Page 5 of 26 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, 1999 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 in 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. Hi 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. 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 into all Page 6 of 26 b 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 federal Child Care and Development Fund (CCDF) dollars 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, 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 $26,990. 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. The term of this Contract shall be July 1, 1998 through July 31, 1999. 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. 1999. Any funds un-liquidated 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 12 months for any category of services specified herein. The total duration of this contract, including the exercise of any renewals under this 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 Page 8 of 26 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: Cynthia Trainor Judy Griego Program Administrator Director Division of Child Care Weld County Colorado Department of Department of Social Services Human Services P.O. Box A 1575 Sherman St., 1st Floor Greeley, CO 80632 Denver, CO 80203-1714 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: Cynthia Trainor Judy Griego Program Administrator Director Page 9 of 26 ► [Insert 6-51 GENERAL PROVISIONS V 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 Contingency 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 10 of 26 C. Eeneficiari 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 assicns. 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. Nothing 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, issued 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 pclicy: Not less than 31,000,000 plus agreement that the contractor will purchase additional insurance to replenish the limit to S1,000,000 if claims reduce the annual aggregate below S600,000. Revised 3197 Page I I of 26 , a 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 sea.. 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 Reoresentations - Licenses/Aoorovals/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 nonrenewai 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 do 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 3i97 Page 12 of 26 , program/project cr the delivery of services under this contract. Such flies 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 cenerally 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 maintained 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. AU 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 timeframe 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 3i57 Page 13 of 26 Any amounts which have bean paid by the State which are found to be improper in accordance with other terms of this contract s^all be immediately returned to the State or may be received in accordance with ether remedies. 2. Single Audit Clause. All state and local governments and non-profit organizations receiving more than 5300,000 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-123 (Audits of State and Local Governments) cr 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 contractor's 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 2/97 I Page to of 26 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 3197 i Pogo 15 of 26 , • 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 cf 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 seq.; • 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 orA-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 I Page 16 of 26 • performed by the contractor, cr 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. Assienment/Delecation/Subcontracting 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. 1 itigation 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. Revised 3/97 Pagc 17 of 26 S O. Disputes Except as herein specifically provided cther,vise, disputes concerning the performance of this contract which cannot be resolved by the desicnated 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 of 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 contractor. 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 4ustifies 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 not 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 18 of 26 Q. Termnnatlen 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 dive ten (10) days prior wri en 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 until 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 Devised 3/97 Page 19 of 26 . thereupon cease, but the parties shall not be released from the duty to perform their obligations up to the date of termination. R. Sever-ability 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. Proorietary Information 1. Proprietary information for the purpose of this contract is information relating to a parry'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 Complaint' 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 197 Page 20 of 26 I 6 • Colorado Department of Human Services, the Colorado Civil Rights Commission, and/cr the US Commission cn Civil Rights. V. If any of the payments hereunder are from federal funds, where applicable, the follcwinc 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 procrams 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 sources. 2. DebarmentCertification 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 govemmental 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 26 "The prospective lower tier participant certifies, by submission of this contract, that neither it nor its principals is presently debated, 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. 3. 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. Riot-Its in Data and Cooyright- Federal Reserved Richts 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 22 of 26 a �V. 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 contractorlo the State or any child support payments owed by the contractor. • • • Revised 3/97 I Page 23 of 26 These Special Provisions are required by Fiscal Rule 3-1 to be used in every State contract, including grants. SPECIAL PROVISIONS CONTROLLER'S APPROVAL 1. This contract shall not be deemed valid until it shall have been approved by the Controller of the State of Colorado or such assistant as he may designate. This provision is applicable to any contract involving the payment of money by the State. FUND AVAILABILITY 2. 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. BOND REQUIREMENT 3. If this contract involves the payment of more than fifty thousand dollars for the construction, erection, repair, maintenance,or improvement of any building, road,bridge, viaduct,tunnel, 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. Such bond shall be duly executed by a qualified corporate surety conditioned upon the faithful performance of the contract and in addition, shall provide that if the Contractor or his subcontractors fail to duly pay for any labor, materials, team hire, sustenance, provisions, provendor or other supplies used or consumed by such Contractor or his subcontractor in performance of the work contracted to be done or fails to pay any person who supplies rental machinery, tools, or equipment in the prosecution of the work the surety will pay the same in an amount not exceeding the sum specified in the bond, together with interest at the rate of eight per cent per annum. Unless such bond is executed, delivered and filed, no claim in favor of the Contractor arising under such contract shall be audited, allowed or paid. A certified or cashier's check or a bank money order payable to the Treasurer of the State of Colorado may be accepted in lieu of a bond. This provision is in compliance with CRS 38-26-106. 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 terms of this contract. DISCRIMINATION 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 April 16, 1975. Pursuant thereto, the following provisions shall be contained in all State 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, color, national origin, sex, marital status, religion, ancestry, mental or physical handicap, or age. The Contractor will 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 following: 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 in conspicuous places. available to employees and applicants for employment, notices to be provided by the contracting officer setting forth provisions of this non-discrimination clause. _ (b) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor. State Form 6-AC-02C Revised 6l97 Page IV of Z(0 pages that all qualified applicants will receive consideration for employment without regard to race. creed. color, national origin. sex. 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 be provided by the contracting officer, advising the labor union or workers' representative of the Contractor's commitment under the Executive Order. Equal Opportunity and Affirmative Action, dated April 16, 1975, and rules, regulations, and relevant Orders of the Governor. (d) The Contractor and labor unions will furnish all information and reports required by Executive Order, Equal Opportunity and Affirmative Action of April 16. 1975, and by the rules. regulations and Orders of the Governor. or pursuant thereto. and will permit access to his books. records. and accounts by the contracting agency and the office of the Governor or his designee for purposes of investigation to ascertain compliance with such rules regulations and orders. (e) A labor organization will not exclude any individual otherwise qualified from full membership rights in such labor organization, or expel any such individual from membership in such labor organization or discriminate against any of its members in the full enjoyment work opportunity because of race,creed, color, sex, national origin, or ancestry. (f) A labor organization. or the employees or members thereof will not aid, abet, incite, compel or coerce the doing of any • act defined in this contract to be discriminatory or obstruct or prevent any person from complying with the provision of this contract or any order issued thereunder; or attempt, either directly or indirectly. to commit any act defined in this contract to be discriminatory. (g) In the event of the Contractor's non-compliance with the non-discrimination clauses of this contract or with any of such rules. regulations, or orders, this contract may be canceled, terminated or suspended in whole or in part and the Contractor may be declared ineligible for further State contracts in accordance with procedures, authorized in Executive Order, Equal Opportunity and Affirmative Action of April 16. 1975 and the rules, regulations, or orders promulgated in accordance therewith, and such other sanctions as may be imposed and remedies as may be invoked as provided in Executive Orders, Equal Opportunity and Affirmative Action of April 16, 1975, or by rules, regulations, or orders promulgated in accordance therewith, or as otherwise provided by law. (h)The Contractor will include the provisions of paragraphs(a) through(h) in every subcontract and subcontractor purchase order unless exempted by rules, regulations, or orders issued pursuant to Executive Order, Equal Opportunity and Affirmative Action of April 16, 1975, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any sub-contracting or purchase order as the contracting agency may direct, 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 result of such direction by the contracting agency, the Contractor may request the State of Colorado to enter into such litigation to protect the interest of the State of Colorado. COLORADO LABOR PREFERENCE 6a. Provisions of CRS 8-17-101 & 102 for preference of Colorado labor are applicable to this contract if public works within the State are undertaken hereunder and are financed in whole or in part be State funds. b. When a construction contract for a public project is to be awarded to a bidder, a resident bidder shall be allowed a preference against a non-resident bidder from a State or foreign country equal to the 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 bid 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 necessary to prevent denial of the moneys or to eliminate the inconsistency with Federal requirements(CRS 8-19-101 and 102). GENERAL - 7. The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied in the interpretation, 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 be 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 whether by way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of this provision will not invalidate the remainder of this contract to the extent that the contract is capable of execution. 8. At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable federal and State laws, rules, and regulations that have been or may hereafter be established. 9. Pursuant to CRS 24-30-202.4 (as amended). the State Controller may withhold debts owed to State agencies under the vendor offset intercept system for: (a) unpaid child support debt or child support arrearages; (b) unpaid balance of tax. accrued interest, or ocher charges specified in Article 22, Title 39, CRS: (c) unpaid loans due to the Student Loan Division of the Department of Higher Education: (d) owed amounts required to be paid to the Unemployment Compensation Fund: and Form 6-AC-02C Revised 6/97 Page Z,S of Z62 pages (e).other unpaid debts owing to the State or any agency theruif, the amount of which is found to be owing as a result yf final agency determination or reduced to judgment as certified by the controller. 10. The signatories aver that they are familiar with CRS 13-8301. et. seq.. (Bribery and Corrupt Influences) and CRS 18-8- 401. et. seq.. (Abuse of Public Office). and that no violation of such provisions is present. 11. The signatories aver that to their knowledge. no State employee has any personal or beneficial interest whatsoever in the service or property described herein: IN WITNESS WHEREOF, the parties hereto have executed this Contract on the day first above written. Contractor: WEibCb:t.11' bep,inM ircr STATE OF COLORADO (Full Legal Name) Weld Count Board of ROY ROMER, GOVERNOR -Commissions s Constance L. Harbert (09/09/98) POR 1.HE EXECUTIVE D CTOR Position(Title) Chair Pi._ 5:C'4T41$7..; \ DEPARTMENT OF HUMAN SERVICES If Corporation:) • Vri t .?AK Attest(Se(al)� 1 �� most By !_ire, ,w3.�.9 p a �! Deputy Clerk to APPROVALS: AI • ��r m-\\ ATTORNEY GENERAL STATE RO ER, 1. HALL By By TOM WRISTEN • Form 6-ACCC Revised 6/97 • • Page 26 schich is the last of 26 pages EXHIBIT A PAGE 1 OF 12 Abbreviations used in Exhibit A CDE— Colorado Department of Education CPR—Cardio-Pulmonary Resuscitation ESL —English as a Second Language GED —Graduate Equivalency Diploma TANF —Temporary Assistance to Needy Families • EXHIBIT A PAGE 20F12 COLORADO DIVISION OF CHILD CARE CHILD CARE QUALITY/AVAILABILITY IMPROVEMENT PROJECT APPLICATION SUMMARY FORM III B County Department of Social Services: WELD COUNTY DEPARTMENT OF SOCIAL SERVICES Address: P.O. Box A City/State/ZIP Greeley, Co. 80631 County Department Contact Person: Judy Griego, Director Phone Number (970) 352-1551 FAX 353-521'5 ext. 6200 Total Request(State Funds): $146,080.00 Would you accept partial finding? Yes Preferred Start Date: July 1, 1998 Preferred End Date June 30, 1999 Federal Tax Identification Number 98-03551 Description of Grant (check all that apply) Coordinated child care system T i�ning/technical assistance _Early care and education needs assessment/planning _Public/private partnership/business _Child care facility start-up/expansion involvement _Minor renovation Consumer education/parent choice x Equipment/supplies Enhanced/expanded resource and Grants/loans to providers referral _Improve provider salary or _Costs to meet licensing requirements compensation Staff/operating costs (must show in narrative how program will gradually pick up costs once grant ends) Check all that apply to the proposed project: X Early Childhood Program X Children of teen parents _School-age Program _Children of homeless families _Site Has Valid License from the X Infants/toddlers Colo. Dept. of Social Services _Colorado Pre-school Program X Children with Special Needs _Children in Chapter 1 local school _Public School Site districts _Migrant and Seasonal Workers _Family Resource Center/School Private For-Profit Center Full-week care X Evening/weekend/sick care X.Area of high crime or poverty Wrap-around child care (part to full-day) _Other(specify) • EXHIBIT A PAGE3OF12 DEPARTMENT OF SOCIAL SERVICES P.O. BOX A GREELEY, COLORADO 80632 Administration and Public Assistance (970) 352-1551 Child Support (970) 352-6933 O Protective and Youth Services (970) 352-1923 Food Stamps (970) 356-3850 COLORADO• Fax (970) 353-5215 March 23, 1998 Cynthia Trainor Colorado Department of Human Services Division of Child Care 1575 Sherman Street, 1st Floor Denver, Co. 80203 Dear Cynthia: Thank you for the opportunity to apply for the Child Care Quality and Availability Improvement Grant. Enclosed,please find one original and 12 copies of the Weld County Child Care Quality and Availability Improvement Grant proposal which Weld County proposes to contract with Weld Information and Referral Services (WIRS). If you have any questions, please telephone Judy Griego at (970) 352-1551 ext. 6200. Sincerely, J u y G go, Direc r VIeld County Department of Social Services Constance L. Harbert, Chairman Board of Weld County Commissioners ESIIIBtT A • PAGE 4 oe l2 BID NO. RFP-CC-0001 NEED FOR THE PROJECT AND IMPACTS/BENEFITS EXPECTED APPLICATION FORM IIIA C. Program Narrative a) Geographic Area The proposed project of home-based services to legally exempt child care providers will be administered by the Weld Information Referral Service (WIRS) , Child Care Resource & Referral Program (CCR&R) . This project will encompass legally exempt providers living in the geographic area of Weld County. The area includes, but is not limited to, the following communities: Ault, Briggsdale, Dacono, Eaton, Erie, Evans, Firestone, Fort Lupton, Frederick, Garden City, Gilcrest, Greeley, Grover, Hudson, Johnstown, Keenesburg, Kersey, La Salle, Lochbuie, Mead, Milliken, New Rayner, Nunn, Pierce, Platteville, Severance, and Windsor. b) Needs Statement In the recent Cost & Quality study on child care, Colorado ranked quite high, but the quality of licensed child care was found to be mediocre: the state has minimal requirements for a child care provider to be licensed. They undergo 12 hours of pre-licensing training. The trainings include topics such as child development, nutrition, child-abuse, safety, etc. , in addition, the providers have to be CPR/First Aid certified. While quality means different things to different individuals, it has been proven that brain development in children, ages 0-3 years, show the adult-child interactions during these years, the most significant factor in children's development, as the parts of the brain that develop intelligence, behavior patterns, and personality are largely formed by experience before the age of three. This brain development is strongly linked to the quality of the surrounding environment. Taking this information into account, there are approximately two hundred children in exempt care who could benefit greatly if their providers had some education and training. Youth in Weld County also have needs which are not being met. Some in the child care field, that contribute to the phenomena of latch key kids. Some youth become involved in gang activity, or take part in promiscuous sexual activity. This leads to a higher teen pregnancy rate as evidenced by the Kids Count Report 1998. The report shows a rise in teen pregnancy rates from 57.0 in 1994 to 59.3 per 1000 pregnancies in 1996. Many of these children come from low socioeconomic status families and have parents who are required to work more than one job. This makes it very difficult for parents to participate in or pay for their children's activities. Parents in Weld County, as well as other counties in the nation, continue to experience problems in finding affordable, quality child care. Some of the areas of need lie in availability of slots for infant/toddler care, special needs, nontraditional hours, weekend care, and bilingual care. There are 440 licensed child care providers in Weld County. Our data base includes 315 of those providers. Slot availability, hours of operation, and rates are updated on a monthly basis to provide the community with the most current updated information on child care providers. In 1996 there were 2,416 births in Weld County; 1,100 were Greeley residents. In 1996 there were 630 licensed child care slots available for infants; 1,786 infants are unable to be placed in care due to the lack of availability. Eighty-seven percent of our infants are not able to be placed with a licensed child care provider. In Weld County there are various corporations that operate during non-traditional hours. This makes it difficult for parents to find child care, as there are only 24 providers who provide round the clock care in the Greeley area, and 16 providers outside of Greeley who provide 24 hour care. In 1997, according to the Economic Development Action Partnership (EDAP) , there were 20, 151 households, or 37%, earning :Less than $24, 999.00 per year. This EXHIBIT A PAGE 5 OF 12 indicates a large number of families below the 185I; of the poverty level. EDAP also indicated that the unemployment rate was 3 .8 in Weld County and 3 . 9 in Greeley. c) Contributions to closing gaps In order to promote quality child care, the proposed project will encourage the connection to, and follow through of, legally exempt child care providers to educational support services available in Weld County. Some of the services currently available in Weld County in the areas of provider education or training are: ORGANIZATION );D77CATION/TPATNTNG AIMS Community College CPR/First Aid, Early Childhood, ESL American Red Cross CPR/First Aid Child Advocacy Resource Education Child Abuse/Neglect, Parenting, Support Educational Opportunity Center ESL, Higher Education Counseling Family Connects Multiple Provider Trainings Head Start Literacy, Parenting, Health, GED Heart Smart CPR/First Aid Parent Child Food Program Food./Nutrition Right to Read Adult Literacy, GED TEACH Program Education for Licensed Providers WildWood Food & Nutrition - Weld County Health Department Parenting, Immunizations, Health Families, children, and providers who have been identified with additional needs that are not met through provider education component will be referred to other resources in the areas of: Substance Abuse, Employment Services, Financial Assistance, Social Services, Health Care Facilities, Mental Health Services, Housing, Transportation Services. d) Impact to low income families, children and child care providers The impact of this project is to help ensure the following: 1) Low income and TANF families will have more options in obtaining affordable, quality child care for their children. 2) Children will have an atmosphere where they will be nurtured and encouraged in natural growth and development in a warm, loving, and safe environment. 3) Children will have access to creative educational experiences that promote growth, maturity, and self-confidence. 4) Exempt child care providers will have the option to access early childhood education classes, and/or trainings. ts EXHIBIT A • a' PAGE 6 OF 12 BID NO.RFP-98CC-0001 DESCRIPTION, ADMINISTRATIVE CAPACITY AND ACCOUNTABILITY APPLICATION FORM IIIC a) Program Description WIRS is an essential component of the community. The Child Care Resource and Referral program provides child care referrals to parents, continuing education trainings to child care providers, help through the child care maze for exempt providers who would like to become licensed, as well as advocates for children. WIRS is constantly striving towards bettering the community by increasing the quality and availability of child care. For the purpose of increasing quality child care, WIRS has teamed up with the Parents as Teachers (PAT) program. The PAT program focuses on utilizing the expertise of trained, certified home visitors to educate others regarding child development and age appropriate activities. In the proposed project the PAT program will provide three primary mentoring services. First, home visits two times per month to help providers and parents understand what to expect in each stage of their child's development. The PAT visitor offers practical tips on ways to encourage learning, manage challenging behaviors, and promote strong care-giver-child relationships. Second, monthly meetings to encourage parent and provider communication and involvement. Third, play groups will be held bi- monthly to model and encourage age appropriate activities. This collaboration will provide the opportunity for a new service to be introduced into the community. This new service involves integrating a currently existing program, PAT, that has been proven nationally successful and targeting a different population, legally exempt providers. See Appendix A. This union will provide an innovative program to the community. Goals To increase child care quality to families who use exempt care in Weld County. To encourage exempt child care providers in Weld County to become licensed. Measurable Outcomes To visit approximately 150. legally exempt providers by June 30, 1999. To use the PAT program to mentor providers. To use the PAT program Play Groups to provide age appropriate activities. To use the PAT program monthly meetings to provide collaboration between providers and parents. To certify 100 legally exempt providers in First Aid and CPR. b) Community Resources & ColIaborative Partnerships Weld Information & Referral Service has administered the Child Care Resource & Referral Program for over seven years. During this time we have established positive working relationships and partnerships with community agencies who specifically work with children's needs. In order to ensure cost effectiveness of the proposed project, we will take advantage of the appropriate resources as needed. Some of the resources that will be utilized are: Bright Beginnings, Boys & Girls Club, Weld County Association for the Education of Young Children, Child Advocacy Resource & Education, Family Connects/Part C-funding CDE, Family Support program, First Steps, Head Start, Monfort Children's Clinic, Weld County Department of Social Services, Weld County Heath Department, Youth Net c) Staff Qualifications The proposed project will be administered by Weld Information & Referral Service with the Weld County Department of Social Service as its fiscal agent. The Executive Director will provide overall guidance of daily operations for the proposed project. The Child Care Resource & Referral Coordinator will manage daily operations of the proposed project. The. AmeriCorps Member will assist and perform the daily activities of the proposed project. The coordinator for Child Find will supervise the Home visitation and mentoring piece. EXHIBIT A • PAGE 7 OF l2 d) Staff Development In order to provide quality service to clients, the staff is continually participating in various education activities. The Executive Director, CCR&R Coordinator, and the AmeriCorps Member participate in the quarterly Colorado Office of Resource & Referral Agencies (CORRA) statewide child care trainings. The Executive Director and the CCR&R Coordinator have participated yearly at the National Association for Child Care Resource & Referral Agencies (NACCRRA) Symposium held in Washington D.C. The CCR&R Coordinator participates at the Regional Association for Child Care Resource & Referral Conference held in different cities every year. Staff also participate in local trainings as needed. The CCR&R staff is well versed in licensing quality child care practices due to participation in trainings as well as technical support provided by CORRA and the Weld County Health Department. WIRS staff is expected to participate in training as often as need in order to ensure quality. All staff is required to participate in the PAT Program monthly trainings. Staff has also participated in the first annual PAT Conference. e) Outreach WIRS will provide outreach by : Collaborating with PAT to provide the outreach and home visits to begin by 60 days and will be ongoing. Providing families & providers access to the toll free number by 30 days. Distributing informational packets (Spanish & English) to parents & providers by 30 days. Utilizing AmeriCorps Member to offer licensing information, support & child care trainings, to be ongoing. f) Developmentally Appropriateness & Cultural Sensitivity Cultural sensitivity will be factored in to all levels of the proposed project. WIRS staff is bilingual. Much of our current material distributed to the community is bilingual. In order to be cost effective, staff is currently researching in libraries, book stores and networking with other Resource & Referrals nationally to obtain bilingual and bicultural materials that would benefit children, parents, and providers. The PAT program currently employs six staff who are bilingual. If this proposal is funded, PAT will be able to train two additional bilingual staff. PAT also has materials specifically designed to be developmentally appropriate. Much of their current material is in Spanish. PAT also provides play groups for children. g) Responsiveness to Special Needs Through PAT and Family Connects, the proposed project will provide quarterly screenings to review the child's specific needs. Once the needs have been identified, a referral will be made to the appropriate provider for screenings and services. This project will utilize the services of the Colorado Office for Inclusive Child Care (COFICC)on an as needed basis. h) Progress & Evaluation of Child Care Needs Each objective has been designed to be tangibly evaluated. PAT will utilize its current evaluation tools. Documentation of visits and participation records will be an essential part of tracking the progress of the measurable outcomes. The tools measure staff-to-staff and parent-to--child progress. WIRS and PAT will meet monthly to assess the progress and direction of the program. Changes may be made at this point if necessary. The WIRS Director and the CCR&R Coordinator will review the evaluations on a quarterly basis. i) How Proposed Project fits with overall priorities and the community. The proposed project fits with the overall community and the Weld County Department of Social Service priorities, which promote self-sufficiency. It also helps to ensure parents meet their TANF requirements. The proposed project will help ensure that children of low-income and TANF families receive the best child care possible. • EXHIBIT A S PAGE8 OF12 BID NO.RFP-98CC-0001 COORDINATION, COLLABORATION, AND LOCAL CONTRIBUTION TO THE PROJECT APPLICATION FORM IIID a) Bid Development The Bid was developed by the Weld Information & Referral Service Executive Director, along with the assistance of the AmeriCorps Member and a Masters Student Intern from the University of Northern Colorado in collaboration with PAT. WIRS is committed to collaboration and partnership of projects, therefore the proposed project will work with, but not limited to, the organizations listed previously. b) Coordination and Non-Duplication of Services Weld County Parents as Teachers Community board consists of many early childhood professionals and nonprofessionals and strive to ensure non-duplication of services by community surveys and quarterly meetings. c) Collaboration Process In keeping with the WIRS policy to help in identifying gaps in services as well as inefficient duplication of services, the proposed project will collaborate with PAT to provide Home Visitation and the Mentoring piece of the project. By collaborating with PAT, as well as other local agencies, we are ensuring that there is no duplication of the services. d) Collaborative Outreach Approaches to Parents PAT will provide informational packets to both the legally exempt providers and parents. The PAT Educators will meet with parents and providers to discuss any issues relating to their child care needs. The WIRS AmeriCorps Member will also be available to providers on an as needed basis. BID NO.RFP-98CC-0001 PLAN FOR CONTINUATION AFTER GRANT ENDS APPLICATION FORM 111E a) Plan For Continuation Much of the mentoring for child care providers gives information about child development which will raise their knowledge levels over the course of a year. These types of "hands on" learning are proven to have more lasting impact than single workshop style training. The objectives of this project includes licensing activities for the child care providers, who will then be aware of the ongoing activities in Weld County, such as the Weld County Family Child Care Association. The Parents As Teachers Coordinating Committee consists of business and community leaders who have collected longitudinal data over the past three years about the children and families who graduate from the home visit program. They disseminate the results of decreased incidence of child abuse and of improved social competence of participating families for the purposes of broad based community support. These positive outcomes have also been well received by such community funding agencies as: Colorado Children's Trust and Youth Crime Prevention Initiative, who provide funding for a portion of the home visit program. WIRS and PAT will continue to pursue other sources of funding from State, Local, and Federal funders as well as Foundations for ongoing services for new providers. WIRS CCR&R will continue to offer technical assistance and support. EXHIBIT A ► PAGE90F12 ► BID NO.RFP-98CC-0001 LINE ITEM BUDGET, BUDGET NARRATIVE AND COST EFFECTIVENESS APPLICATION FORM III F Child Care Quality/Availability Improvement Grants-Line Item Budget: Weld County Funding Period is July 01, 7998 to June 30, 3999 BUDGET FOR COSTS OF CHILD CARE OUALITY/AVAILABILITY PROGRAMS State Local Total Budget Cateaories Costs Match* Cost Personnel $ 116,130 $ 12,800 $ 128, 930 Fringe Benefits & Taxes $ 12,430 $ 12,430 Travel $ 4,520 $ 4,520 Supplies $ 2,500 $ 2, 500 $ 5, 000 Equipment $ 0 $ 0 $ 0 Other $ 8,500 S 2,000 $ 10,500 Sub-Total-Child Care Program $ 144,080 $ 17,300 $ 161,380 BUDGET FOR COUNTY ADMINISTRATION COSTS State Local Total Budget Cateaories Costs Match* Cost Specify Costs below S 2. 000 S 2,000 Sub-Total Admin. S 2, 000 $ 2,000 GRAND TOTAL S 146, 080 $ 17.,39.0 $ 163.380 NARRATIVE personnel Six PAT Educators - Approx. 200 children x 2 visits/mo. , x 2 hours/visit. , x 12 months x $11.00/hr. WIRS Staff - Director 5 hours x $13.50 x 52 weeks CCR&R Coordinator 10 hours x 10.00 x 52 weeks Clerical 5 hours x 7.00 x 52 weeks Benefits This includes health, FICA and other State & Federal taxes Travel This is calculated by .24 x 18,833 projected mileage for PAT Educators and Admin Staff c tn$l I es Paper, postage, 2 Development Appropriate Kits PAT Program and other office supplies needed Other Printing - materials, fliers, Bilingual brochures and pamphlets. WIRS Directory purchase for PAT Educators Translation Services for local brochures or pamphlets Financial assistance for Exempt Providers to take CPR/First Aid Classes Staff development for to new bilingual staff County Administrative costs Betty Czapenski, Case Manager - Approximately 10% of Annual Salary EXHIBIT A PAGE lO OF 12 LOCAL MATCH NARRATIVE The PAT Supervisor's time will be an in-kind Match. PAT will utilize a few of their current Educational Kits for the proposed Project. WIRS will donate office supplies and other operational costs toward the project. If funded other resources will provide in-kind services. M:\wPFILEs\DAYrnoP\BEnTE\wccacc.WPD AppendLI A d - - EXHIBIT A r' f ) : PAGE 11 or 12 R1 . - Parents as Teachers A Home-School-Community Partnership that Works • Parents as Teachers is an early child- The Results L_. hood parent education and family In 1985, an independent evaluation support program designed to of the original Missouri pilot project ►��' • empower all parents to give their showed that Parents as Teachers } child the best possible start in life. children at age 3 were significantly + more advanced in language, problem The Parents as Teachers ' solving, and social development Support System than comparison children. / This home-school-corm unity part- L-- his provides parents with infor- The 1991 Second Wave evaluation mation on child development from of the statewide program's impact ( / H. birth to age 5 and suggests learning in Missouri showed that Parents as =t opportunities that encourage Teachers children performed `_ language and intellectual growth, significantly higher than national ` •Parents as Teachers is physical and social skills. Parents norms on measures of intellectual as Teachers is a voluntary primary and language abilities. Develop- an award-winning early prevention program that offers: mental delays were resolved for half of identified children by the age of 3. L-- childhood parent Personal Visits For all types of families,parents' Personalized home visits by certified knowledge of child development L / education program parent educators, trained in child and parenting practices significantly (__ development, help parents under- increased. I I I which supports parents stand what to expect in each stage of their child's development,and The follow-up study of the statewide In their role as their offer practical tips on ways to sample showed that,overall, the • encourage learning,manage relative levels of achievement child's first and most challenging behavior, andpromote g g children demonstrated at the influential teachers. strong parent-child relationships. completion of the Parents as Teachers program at age 3 were Group Meetings maintained in the first grade (or in Parents get together to gain new some cases,second grade). Parents insights and to share their experi- as Teachers parents were found to ences, common concerns and be highly involved in their child's • successes. Group meetings also school experiences. • "_. provide families the opportunity to - participate in parent-child activities. Evaluations of programs in other :f states, including California, North Screening Carolina and New York, confirm Parents as Teachers offers periodic the positive impact of Parents as screening of overall development, Teachers. language, hearing and vision. The goal is to provide early detection of potential problems to prevent +,. Tit difficulties later in school. • Resource Network Families can access other services friiiirNi , integrated with Parents as Teachers ' in a broader early childhood pro- j .. �cr e gram or can be helped in finding - a11 community services. Adaptations National Honors !cywiiity is kL , .o the 5uccc,. .',II ,1:., _ C.. ..,:es :1 1 lvv,,.-1 ,.i .. Tcay.lc.s 1h'h;,e it is a national rode vv a. .l AI ILveme : . : it'ai.'1 and liduc, t,cr ',;, strong design, curriculum and ,iai,In4 _..cc ti :o: Mild:Lci bA „ter program, it is ulv a local program. . ., shown In the finaiags of ?arenas as .L.,L: ars •:`95 Row lard Award :oroutstanding evaluation studies and ILSSJrS ICa.aed :.J.:' achievement and 'rot:1 St. in prevention tilt field, the ping ern is demonstrating its prog:a.ni^1. „ presented by the Nation;.'. adap1aoiiity for families of varying Lc - Mental I-:calth Association rations and circumstances. i •.AC:eJ[ed into the U.S. Department of Parents as Teachers programs arc part of L-ducar:on National Diffusion Network:n 1991, - many Even Start and other federal Title I signifying that the program had provided programs,as well as Head Start. conyinGng evidence of its effectiveness Parents as Teachers in the Child Care Center •1959 recipient of the Innovations A',va:a from enhances the quality of infant/toddler care the Council or State Governi:lcnts and the parent-caregiver relationship. •One of 10 national winners of the 1957 Parents as Teachers for Teen Parents offers Innovations in State and Local Government instruction and guidance to help teen parents Award,sponsored by the Ford Foundation:and with the difficult challenge of raising a child. the John F. Kenne:iy School of Government at Harvard University Corporations offer Parents as Teachers for - en:olovices as an investment in the present Parents as Teachers National Center,Inc and future workforce. The Parents as Teachers National Center,Inc., Funding is a not-for-profit organization which provides Parents as Teachers training and technical Funding is provided through a combination assistance;certification of Parents as Teachers of many different sources,depending oil the parent educators; curriculum and materials location of the program. Through a true development and adaptation; research and public-private partnership, Parents as evaluation coordination; international Teachers programs receive support from conferences. The Center also engages in public local,state, and federal funding streams,and policy initiatives that promote family support private sources including foundations, and parent education. churches,and businesses. Parents as Teachers Training The Parents as Teachers National Center, Inc. provides Parents as Teachers program i nplemetation institutes at specified locations throughout the U.S. and on site by special II/ � arrangement w rw..•m.n., 1� Five-day training lnstitutcs with corresponding uOIBSiIO BOfA:to LC7RJ4 • :4cu'u des a e ot�erca :n Parents P1Jen �id�MUteachers w uTeachers Birth-to-Three, Pa n Parents as Teachers ills . ^ . the Child Care Center, Parents 16 Ti .UhL.: :or fry 41.` P ecc; o Age 12 `I, :ald Paren CS as Teache:� ueta w! Y�.J \p� Ji.... ... -� Ili uzaChin r e :ee ,�it, em prison .rig' rcuis io ns. T•v o dab ,:a: i.lg on Patent:,, _s 's sallate TellCi'. _ Till c o-F..e .¢ Orlereei •tt�,. t.. U,a .S e..,c T. :cc. Sintt0ols;EOM ``..`- : on .1'9 t. .. ....,.'.c .. vah ice.• . ,,,, .. c . . +t1L•4R�1 a �r . ADDENDUNI#1 PAGE 1 OF 5 • DEPARTMENT OF SOCIAL SERVICES P.O. BOX A GREELEY,COLORADOe0632 Administration and Public Assistance(970)352-1551 O Child Support(970)3524933 Protective and Youth Services(970)352-1923 Food Stamps(970)356-3850 CO OR w DO Fax(970)353.5215 J.n.► A June 18, 1998 Cynthia Trainor • Colorado Department of Human Services Division of Child Care 1575 Sherman Street, 1st Floor Denver, Co. 80203 Dear Cynthia: Enclosed, please find one original and 12 copies of the revised work plan and budget based on the grant award for the Weld County Child Care Quality and Availability Improvement Grant proposal. The revised work plans and budgets incorporate the $10,000 for planning and$16,990 for the Parents As Teachers demonstration project. Weld County proposes to contract with Weld Information and Referral Services (WIRS) to assist in the planning and implementation of the demonstration project. The Families, Youth and Children Commission(FYC Commission) of the Weld County Department of Social Services will provide planning and monitoring oversight for the grant. If you have questions, please telephone Judy Griego at (970) 352-1551 ext. 6510. Sincerely, J y Grieo, Direct Weld County Department of Social Services Constance L. Harbert, Chairman Board of Weld County Commissioners (07/22/98) .7;�' 7.3 ADDENDUM#1 PAGE 2 OF 5 WIRS Weld County Child Care and Availability Work Plan The Weld County Child Care Quality and Availability Task Force (WCCQ&A) will be formed in cooperation with Weld Information & Referral Service (WIRS) and the Weld County Department of Social Services (WCDSS) and the Family Youth Commission (FYC). Implementation of the planning process will begin August 01, 1998. The final plan will be submitted to the State of Colorado, Division of Child Care on or before July 30, 1999. The mission of the WCCQ&A Task Force is to develop a comprehensive collaborative and coordinated child care improvement strategic plan that will respond to the present and future child care needs of low income families, working poor families, participants of Temporary Assistance to Needy Families (TANF) including migrants, students and other special needs groups. In order to support the mission of the Task Force, an aggressive planning course will be pursued. This will be accomplished through the formation of goals and by encouraging community leaders, elected officials, Child Care Providers (legally- exempt & licensed), parents and others to be involved in the process. The following is a time line for the implementation of the planning process and descriptions: Date of completion MajorArtivities Agency Responsible July 15, 1998 Submit work plan to WCDSS WIRS PAT August 14, 1998 Submit work plan to state WCDSS - FYC August 14, 1998 Solicit Bid for Facilitator position WIRS August 31, 1998 Contract facilitator position WIRS Develop a list of potential WIRS & WCDSS participants Set up meeting location WIRS August 31, 1998 Invitations mailed WIRS September17, 1998 1st collaborative meeting WIRS explanation of mission & development of vision development of Task force October 02,1998 Follow-up meeting WIRS & WCDSS-FYC w/facilitator Q '/273 • • ADDENDUM#1 PAGE 3 OF 5 October 15, 1998 2nd Task Force planning session WIRS November 06, 1998 Follow-up meeting WIRS & WCDSS- FYC w/facilitator November 19, 1998 3rd Task Force planning session WIRS • December 05, 1998 Follow-up meeting WIRS & WCDSS-FYC w/facilitator December 18, 1998 4th Task Force planning session WIRS January 08, 1999 Follow-up meeting WIRS & WCDSS-FYC January 21, 1999 5th Task Force planning session WIRS February 05, 1999 Follow-up meeting WIRS & WCDSS February 18, 1999 6th Task Force planning session WIRS March 05, 1999 Follow-up meeting WIRS & WCDSS-FYC W/ Facilitator March 18, 1999 7th Task Force planning session WIRS April 09, 1999 Follow-up meeting WIRS & WCDSS-FYC April 23, 1999 Final Task Force planning session WIRS May 07, 1999 Follow-up meeting WIRS & WCDSS-FYC May 31, 1999 Completion of Weld County plan WIRS June 14, 1999 Submit Final plan to WCDSS WIRS June 30, 1999 Submit Weld County Plan to State WCDSS ADDENDUM#1 r..- PAGE40F5 Revised Budget COLORADO DIVISION OF CRILD CARE STATE CHILD CARE QUALITY AND AVAILABILITY IlVQPROVEMENT PROJECT LINE ITEM BUDGET,BUDGET NARRATIVE AND COST EFFECTIVENESS- BUDGET FORM III F "Instructions for completing this form art on the following page.•• ' Child Care.Quality and Availability Improvement Grants-Line Item Budget County: Weld Funding Period: to • BUDGET FOR DIRECT COSTS OF CHILD CARE PROGRAMS Budget Categories State Cost Local Match Total Cost Penonncl(specify) Planning S2,862.50 0.00 PAT S13,090.00 800.00 S16,752.50 Fringe Benefits ' Planning S647.50 0.00 PAT S2,602.00 S3,249.50 • Travel (specify) 5720.00 0.00 S720.00 Supplies (specify) S1,468.00 S1,000.00 S2,468.00 Equipment (specify) 0.00 0.00 0.00 Other(specify) Facility rental S1,000.00• Consultant S4,600.00 Training Costs SI,200.00 S6,800.00 Sub Total Child Care Prog S26,990.00- $3,000.00 $29.990.00 BUDGET FOR COUNTY ADMINISTRATIVE.COSTS Budget Categories State Cost Local Match" 'total Cost Specify costs below -0- _0_ r� —Or • (salary.travel, etc.) Sub Total Admin. -0- -0- -0- Grand Total $26,990.00 $3:000.00 $29,990.00 • r .. Revised ADDENDUM#4 Budget Narrative P\G E S OF S Parents as Teachers (PAT)Demonstration Program Staff -$10,560 per 12 months 111 $100. 10,56560. Fringe—at 20% $2,530. . Facilitator—$2,530 for 9 months. — (4 to 5 bi-monthly,regional educational playgroups) 490. Fringe—at 19%* • $490. Travel- .24 x 3000 miles ma Materials—Educational handotits,consumables, children's books = $16,990.$578. . Subtotal In Kind • Staff Supervision—40hoursat$20Jhr (PAT) Program - $800. Training Costs—PAT certification and maintenance Z. $1,200. Materials—Toys and playgroup equipment - $I,000. Subtotal - $3,000. TOTAL (PAT PROGRAM) - Planning Staff - Director— 15 hours x 13.50 x 10 months $2,025. 2,025 025 R&R Staff—5 hrs x 310.X 10 mo. = 00. Clerical —5 hrs. x$6.75 x 10 mo. = $$337.50 Fringe—at 22%** - 7.50 Facilitator— 10 half day sessions(4 hrs. ea.) at$115Jhr — S4,600. • Supplies—paper,postage, planning session materials, snacks & drinks for sessions = 890. Facility rental—Avg. rental fee for 10 meetings Qo SI00Jmtg. - S 1,000. subtotal - S10.000. TOTAL (PLANNING) - 510.000, GRAND TOTAL (PAT& PLANNING) $29,990 : • * Fringe calculated at 19.3675% ** Fringe calculated at 22.62% 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)and [contractor] covering the period of through , the 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: Roy Romer, Governor By: By: Name: For the Executive Director Title: Colorado Department of Human Services APPROVALS: FOR THE STATE CONTROLLER Clifford W. Hall By: By. For (Division) State Controller or Designee Page 1ofl 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)and [contractor] coveting the period of through , the 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: Roy Romer, Governor By: By: Name: For the Executive Director Title: Colorado Department of Human Services APPROVALS: FOR THE STATE CONTROLLER Clifford W. Hall By: By: For (Division) State Controller or Designee Page l of l PULES AND REGULATIONS Rules and Regulations List of Subjects 45 CFR Part 98 Child Care,Grant program--social programs. Parental Choice,Reporting and recordkeeping requirements. 45 CFR Parr 99 Administrative practiceand procedure.Child care, Grant Program_ social programs. Dated:July 20.1992 pi Anne B.Barnhart. Assistan(Senrraryfor Children and Families. Approved:July II,1992 Lois W.Sullivan, Secretary.Deportment of Health and Human Services. For the reasons set forth in the preamble.parts 98 and 99 of subtitle A of title 45 of the Code of Federal Regulations are revised to read as follows: PART 98--CHILD CARE AND DEVELOPMENT BLOCK GRANT Subpart A--Purposes and Definitions Sac g81 Purposes. 882 Definitions. 982 Effect on State taw. Subpart B--General Apprtc..thnt procedures 9810 Lead agency responsibilities. 98.11 Administration under contracts and agreements. 88.12 Coordination and consultation. 93.13 Application content and procedures. 98.11 Plan process. 9815 Assurances. 98.18 Plan provisions. 9817 Period covered by Plan. 9818 Approval and disapproval of Plans and Plan amendments Subpart C—FBgtblary for Services 88.20 A child's eligibilitY for child care • services 9821 A child's eligibility for early childhood development and before-and after. school care services. SubPart 0—Program care Se arentat Rights anddlld Response sheets 9E30 Parental choice- GUI Parental assess. 9832. Parental complaints _ 98.43. .Consumer education_ 8834 Parental rights and responsibilities. SuapartE At;tymn Operations(child Caro Services)-.State and Provider evt>lncrnerrts 9840 Compliance with applicable State and local regntatmy rrgzdt®ea4 E7CHIBIT C �c 41 Health and safetyiegaireraents- Mid-ing fee soda, PAGE 1 OF 19 98" Paymentrates. - - - - - I - - o4r«v redcral Re gister / Vol. 57. No. 150•/ Tuesday, August 4, 1992 / Rules and Regulations 98.44 Priority for child care services. 98.45 Registration. (6) Increase the availability of early services and qualityand availability 98.45 Nondiscrimination m admissions on childhood development and before-and improvements pursuant,to section the basis of religion. alter-aches(care services. 99.47 Nondiscrimination in employment ( )The quality and availability improvements, to provide the basis for administration pursuant to sections 658E(c)(3)(C), 658C Subpart F—Use of Btodr Grant Funds of the Block Grant.These regulations and 658H of the Act. 98.5o Child care services. provide that Grantees.. 98.51 Child ties to improve (1)Maximize parental choice through (g)P provides means an individual child care and to inc-ease the quality of the use of certificates and through grants who reviles child care services availability of ear{ e and contracts; gdirectly to an eligible child on a person- child childhood and to-person basis; and before-and after. (2) Include in their programs a broad (h) Categories of care means center- developmentschooi care services, range of child care providers, including 98.52 Administrative activities. center-based care,family child care, based child care.group home childar care, 98.53 Supplementation_ home care,care provided by relatives f entity child cares and in-home care; 9855 Restriction,on the use of(ands, and sad (i) Center-based child core 9854 Cost Restrictions on_ sectarian child care providers: Provider (3)provide quality child care that means a providerlicensed or otherwise Subpart G--Financial uaihaeement meets applicable State and local authorizedfewer than 24 provide apchild dayays services eerie Availability o(fuads requirements- for 24 hours per per child 98.61 Allotments for Steles. (4)Coordinate planning and delivery in a non-residential setting, unless care 98.62 Allotments for Territories and Tribes of services at all levels; in excess of 24 hours is due to the nature 98-63 Reallotment. (5)Design flexible h isms which of the pedcare work 98.64 Financial reporting- provide for the changing needs of ()) Child care certificateeameans a seas Audits. recipient families; certificate(that may be a check or other 98.68 Disallowance procedures, (8)Administer the Block Grant disbursement)that is issued by a 9897 Fiscal requirements. responsibly to ensure that statutory Grantee directly to a parent who may Subpart H 4lopram Reporting requirements are met and that adequateuse such certificate only as a Requirements Y payment for 9e 7o information regarding the use of public child care services pursuant to § 98.30. Annual report requirement, funds is provided: Nothing in this part shall preclude the San Content o(report. (7)Maximize the impact of the use of such certificate for sectarian child Subpart t—Indian Tribes additional funding available under the carea services if purposes freely chosen by the seen General Block Grant by ensuring that Federal parent.For the purposes of this part. a 98.81 Applicationer rc d p s and requirements. hinds are used to supplement not pare care certificate is assistance ao the 9tia2 Coordination_ n. supplant,existing services and ensuring parent not assistance to the provider. 98.83 Requirements for Tribal programs, and administrative costs areminimized: (k) Child care provider that receives Subpart J--taonn assistance means a child care provider and Complaints « 'Non-Competence (8)Design programs which provide that receives funds under the uninterrupted service to families and Block Grant pursuant to grants, 98.90 Monitoring. 98.9I Non-compliance. providers. to the extent statutorily contracts or loans, but does not include 98.92 Penalties and sanctions Possible- a child care provider to whom Federal 98.93 Complaints. ¢98,2 Definitions. directed under the Block Grant are Authority:42 USG 9858. For the er icd only through the operation of a Purpose of this part and part certificate program; Subpart A—Pu 99: (I) Child core services. for the rposes and Definitions (a) The Act refers to the Child Care purposes of¢ 98.50,means the care ¢98.1 purposes and Development Block Grant Act of given to an eligible child by an eligible (a)The purpose of the 1990.section 5082 of the Omnibus child care provider. Child Care and Budget Reconciliation Act of 1990, The Deeans the Development Block Grant is to increase Public Law 101-508,as codified at 42 Depa)rtment of Health land Human the availability,affordability,and quality of child care services The U.S.C.9858; Services: program offers services. to (b)ACFmeans the Administration for (n)Early childhood development States.Tamers Federale. funding Children and Families; program means a program Indian Tribes.and (c) The Application is the request the requirements of¢98.51(d)t meets Tribal organizations in order to: from a potential Grantee for fun mentary school means (1)Provide low-income families wily under the Block Grant and includes such residential school that provides a day or the financial resources to find and afford quality child information a the amount of funding elementary education.as determined children, care for their requested and the projected budget for under State law: (2)Enhance the quality and ineease the edp p uano means (p)Eligible child means an individual the supply of child care for all families, Assistant Secrete Secretary the who meetsgithe requirements pro iof ce mean including those who receive nd direct Families,Department t o Health andd (1)Eligible center-basedscare dcare r meder.assistance under the Block Grant; ices; at of Heahh and (1)A child child ovid provider. • (3)Provide parents Human Servians; a m group home child care provider, a of options in address- h a broad range (e)Befom-and which meet the services family child care provider,an in-home needs: .mg their child care means-services meet the ( )Sire requirements'of§9851(e); - child care provider, or other provider of 4 Strengthen-the role of the Anil child care services for compensation (5) improve the gnalityo£and y' (� The Block means the Child that— . coordination among,gild care Care and Development Block Grant (i) Is licensed regulated,or registered .Programs and eaong, dhood Block Grant programs will be used to under applicable State or local law as development programs;and generically describe all activities under described in § 9840 or.if exempt from the HDack.Crant,including child care such requirements,is registered before EXfIIBIT Cli PAGE 2 OF 19 v�yment as des ____ cn bed in the § 98 45:and period, and pertains only to State and Islands. and the Trust Territory regwrements, incfudin r Pacific Islands meld s g those referred to (z) Obligation period means the time. Tribes unless otherwisespecified d includes in 4 'rem nts.applicableluto period during which a fiscal year's grant services it the child care must be obligated, and pertains only to Provides; or Inn) Tribe and Tribal Crania_ r(2) A child care provider who is 10 State and Territorial Grantees; Indian Tribes and Tribal organizationsstar t° years of or older who (aa) Parent means a parentas defined at too yea services ageges onlyprovides child marriage or adoption means od. Paragraphs(u) and too) of who are, to eligible children g" and also a This section: by marriage, blood legal guardian, or other person standing (°O) zed governingolion means the relationship, or decreein loco parent's: recognized body of any in r grandchild. niece, the (bb) The Plan means the or nephew of such implementation of Plan for the tribo' or any legally established provider, if such provider is registeredprograms under the organization of Indians, including a before receipt of payment and co Block Grant; consortium which is controlled, with State re complies (cc)Program period means the time sanctioned, or chartered by such child anynyerequirements that govern period for using a fiscal governing involved provided by the relative Year's grant and g g body or which is does not extend beyond the last day to democratically elected b (r)Family child carp liquidate funds; by the adult provider means (dd)Pr members of the Indian community to be one individual who provides child Programs will es used generically served by such organization and which services for fewer than care t° describe all activities under the Block 1°eludes the maximum a per child as the sole caregiver.hours per day Grant, including child care services end participation of regiver. in aIndians in all phaseso(its activities: private residence otherother activities aua it to § 9850 as Provided. that in an residence,unless �e S child's well as quality and availability contract is let or any case where a roars ' c In ex is due to the nature of the improvements Provider pursuant to § 98SI: organization top arm servnt is icee s residence. an parent's)'work tee) means the entitybenefiting (s)Grantee me providing child care g more than one Indian Tribe. arts the State, e services:fest the approval of each such Indian Tribe Territorial or governmental entity regulatory hs regulation refers to the actual shall be a prerequisite to the letting or T which a grant Tribal awarded and which 9 text contained in parts 98 and making of such contract or grant;and tos accountable for theof this chapter, provided.The use of the hinds (gg)Seconds (pp) t as of providers means the iGrantee is Secondary means a day or different fclasses For providers under each entity even if o the entire legal residential school which my a particular provides categoryloGrant n care. For the component of the entity is designated secondaryState eduration, as determined p f providers. typesPurposes of the the grant award gn led in under State law: ofproviders include (I) Croup document: p (hh) crew non-profit sectarianc 'd for-profiteidrs means p home child care provider the Department f Health and Human of elativesswho provide careers and two or more individuals who Services; provide child care services for fewer than Z4 hours per day per chit tail Sectarian organization or §98.3 En private residence otherd.in a sectarian child care act ion theate c o resideece, than the child's religiousorganizations or religious means all Nothing in construed su or tea part artless care in excess of 25providers orenerral y. or.rmsiem shall ye nypr to vision ofa Stale or hours is due to the nature of the generally.The terms embrace modify an e hours is due to y rganvation or provider that constitution or State law that prohibits parenTribe.Indian Tribe means any Indian oer that seeks to maingages in religious tain a renduct ligious suety sectarian org the anizations.public except that no band. nation, or other organized identity in some or all of its functions provision of a State constitution or State group or commrutity including any group aNative villa a There is no requirement that a sectarian law shall be construed to prohibit the Alavillage corporation asge defined or organization or provider be managed by expenditure in or by sectarian established fined in or Pursuant to the Alaska cl° 'or manaany n colrodegree of institutions of anyFederalt. funds Native Claims Settlement Act(43 religious content; management, control. or provided under this part. § 1601 et se whichU.S.C. content; eligible for rh)e special is recognized es @) if preventa State law Federalor constitution Block P Programs and tail Sure n religious purposes one o actci ivity, vends fromi gexpe ed Grant services provided by the United States means Y irgrous purpose or activity, funds be' s Indians de of their stabs including but not limited to religious mg expended t, withoutr ee Indians. worship or instruction: limitation provided in the Act, • (v)In-home child care (kk)Services for which assistance is limitation. then States must segregate an individual who re provider means provided means all child care services State and Federal funds. services inprovides child care funded under the Block Gran the child's own home; assistance t, either as Subpart 8—General Application (w)Lead Lied agency ency means the agency providers through to grants. ntra Procedures §§98.10 rev s. ( )(1), and ug grants,contracts, or 98.18 a loans, or indirectly as assistance to §98.10 Leadcan (x)Licensing or regulatoryParents through child care agency rcsponstnllloeb re9+riremenGr means (II)Sliding fee scale meansr�a sects o efe lead agency,es designated by the ne ry for a fCq`rrrements y chiefexecutive officer of the State(or by eessa provider to legally in come and viz bo a fe fam based o❑ the appropriate tl Tribal leader or provide child care services in a State or accordance with of the family, in aPP A dt , locality. including §98.42 ) shall: registration (a)Administer the Block Grant requirements established State. (mm)Ste mean any of the States, program,directlyor through ) local a meats otherunder - the District of Columbia,the ugh other State pursuant lawat to than those Commonwealth of Puerto Rico, the (b)agencie Submit a an Applicationplica with 4 9und Ce4Vtred §88.95; 13: (y)Liquidation period ins _ Virgin islands of the United States, detist.pursuant for fundingyear Liquidation atio ar,,the on Guam,American Samoa, the under this Part.pursuant to t 98.. following the obligation Commonwealth of the Northern Mariann (c)representatives with appropriate representatives of local government in [. EXPIIBIT C PAGE 3 OF 19 j developing a Plan to be submitted to the (a) Coordinate the provision of Secretary Pursu41 to ¢ 08.14(b); services for which assistance is (7) Pursuant to 45 CFR 7p.500, (d)Hold at least one public hearing in provided under this part with other certification that no principals have accordance with 4 98.14(c): and been debarred: (e)Coordinate BlockFederal.State.childhood and local child care and (A)(i) For the irn Application. or Grant services early childhood development programs. lint Application after publication of the with other Federal.Stale and local child and before-and after-school programs final rule implementing the Block care and early childhood development as provided under 4 98.10(e). programs, including such programs for the amounts exFederal.d State.supandport o the benefit of Indian children. (b)Consult, in accordance with public funds expended for the support to ¢ Pursuant § 98.14(6). with representatives ofPica of general child care and related programs during §98 11 Administration purpose local government during the base period pursuant to § 98.53(bJ; non under contracts the development of the.Plan:and and agreements. (ii) For subsequent Applications. the (c)Coordinate, to the maximum extent amounts of such funds expended during (a)The lead agency has broad feasible.with any Indian Tribes in the the applicable subsequent period: and, ion authority to share responsibilities for the State submitting Applications in administration of the programaccordance with subpart I of this part. regarding the natture, extent rand basis State agencies.In addition_ the lead withIliac agency can share implementation of the §98.13 Application content and for any reduction in Federal program with otherpublicProcedures. expenditures,and, for Tribal Grantees, local agencies:however or pnvate it expend lock I--programs the (a)An Application for Block Grant other than the Block Grant. for the (1)The lead agency must retain funds must be made by the chief responsibility for the executive officer of a State.The subsequent period: overallistration of the program, as Application must contain: (9)Assurances that the Grantee will defined in paragraph (1)The program comply with the applicable provisions admin (b)of this section: P gram period, as defined in regarding nondiscrimination at 45 CFR (2)The lead agency shall serve as the 4 ads; c), for which the Application is pad 80 (implementing title Vf of the single point of contact for issues made; Civil Rights Act of 19W, as amended), 45 involving the administration of the (2)The amount of funds requested for CFR part 84(implementing section 504 Grantee's Block Grant program;and such period: of the Rehabilitation Act of 1973. as (3)The sharing of administrative and (3) An.assurance that the Grantee will amended),45 CFR part 86(implementing implementation responsibilities must be comply with the requirements of the Act title IX of the Education Amendments of governed by written agreements which and this part 197 specify the mutual roles and (4) 2, as amended)and 45 CFR part 91 responsibilities of the lead a enc lobo Pursuant to 45 CFR part 93. a (implementing the Age Discrimination the other agencies in meet' 8 they andlobbying certification which assures that Act of 1975.as amended): in the funds will not be used for the (10)The Block Grant Plan, at times requirements of this part. purpose of influencing,and,if necessary, and in such manner as required in (b)In retaining overall responsibility a Standard Form ILL(SF—LLL)which 4 98.17:and for the administration of the program. discloses lobbying payments(Tribal (Il)Such other informs Lion as the lead agency must: applicants are not (1)Determine the basic usage and required to submit specified by the Secretary. either the certification or form): • (b)Applications must be submitted priorities for the expenditure of Block (5)Pursuant to 45 CFR 78.600.an annually or less frequently.as specified Grant funds; assurance that the Granteeprovides a by mete(2)Promulgate all rules andthe Secretary. at such time and in regulation governingdrug-free workplace or a statement that such manner as prescribed by the overall such an assurance has already been Secretary. administration of the Plan; submitted for all 1*1S grants: Colin its initial Application.an Indian Secretary;(( Submit all reports required by the (6)A budget of expenditures, which Tribe must provide a description of provides an estimate of the use and current service delivery skills. (4)Ensure that the program complies distribution of Block Grant funds during personnel,resources, community with the approved Plan and all Federal the period covered by the Application.r'e9uiremen ts; support and other necessary including: components that will enable it to (5) Oversee the expenditure of funds (i)A breakout of program phut satisfactorily carry out theproposed by subgrantees and contractors; under P gram activities cons Initial Applications insubmittedthby (6)Monitor 4>38 50•including a list of programs and services: activities to improve the availability and consortia must also contain the (7)Fulfill the responsibilities of the quality of child care,and administrative additional information required under Grantee in any:disallowance under ' costs.as described in 4 98.52(b), the 4 88.80(c)(1)and(c)(4). subpart G;complaint or compliance Grantee anticipates will be necessary to 4 98.14 plan process_ action under subpart J;or hearing or carry.out the stated appeal action under part 99 of this program; Purposes of the In the development of each Plan, as • • chapter andrequired pursuant to ¢ 98.17, the lead _(ej Ensure that all State and local to(ii) A detailed explanation.pursuant agency shall: agencies Ensure whom it shares to0&50(d)(3)•including appropriate (a)Coordinate the provision of Block documentation for the budget Grant services with other Federal. State. administrative responsibilities.including expenditures,if not consistent with the .and local child care and early childhood agencies and contractors which limitation at.4 985o(d)(2);and (iii)A break-out o! development programs.,including such determine individual eligibility,operate according to the rules established for the under Pr'ad activities programs for the benefit of India program. 4-98.51 including administrative children: costa as described is 4 9852(b),which 41M 12 � and r atyo • the Grantee anticipates will be @)Consult with approp late The leadagencynecessary to carry out the stated representatives Child al gne ens and to • muse purpose of the program, consider local child care needs and resources, the effectiveness of existing j1 EXHIBIT C PAGE 4 OF 19 wo- 150 / Tuesday. August 9. 1992 child care and early childhood develo / Rules and Regulations Pr ent services, and the methods (1i)In accordance with ¢ ices f r to velop effectively can be used providers of child a 1 eligible to receive assistance 17 shortages;and dress local cccan bere which assistance is are 9f ed don ptaterogram dr and punder this y Ya o at leastlicensing 10�Grant will comply underI the State child care assistance ny t Federal or (c)Hold hear an)opportunity uate natilest one het to . wthith applicable under regulatory requirements andPrograms: a Provision child comment on the public which(i)providers of child care local Ia a regulatory ith respect to Slate and care hick assistanceservices for requirements, health and local cal the plan ices under Block is provided under the safety requirements.ck Grant that are q menu, payment rates, and 4 99.15Assurances. regulated not licensed or registration requirements.State LusuraM� g forder Ste ate or ose of Providing promulgated or otherrequirements The Block Cr childregu carerules re ose of the ass Upon that ant Plan must include Grantee Priorequired to br to payment e beinglie law are Grant will not significantly restrict Block have in ces aroval,the Grantee will and that such provident shall made of careaochoice from among categories with provisions which complies afpeter to register with the Grantee 4 care or types of providers,pursuant to the s program the Plan: selection by the offered the Statetwhofrecev receives orbit child made,as requiredrb e such payment is a pa"Prc"!'tc^s. within eligible 4 9e.(6 child care cares Q)There Y§9845; fa)A Block Grant Plan m fuiancial assistanceservices for which are in effect within the following: must contain § fnc isgiventhe is providhec under undeor Stal or lor area cal by the Grantee). (1 Specification Of the lead option either ) care 198.50oo vit ochild with a child designed to protect tl law'health and sat whose duties and responsibilities ilitieseare that has children the health safety delineated in f 98.1Q contract forgrant or providers areat applicable i child (2)The assurances listed under or the service; which assistance services for (2)nTo under ce is made available (3) A defined a child care certificate ¢98.41fhe Block Grant,pursuant to Grant description of how the Block as tined - f Program will be 1)' im administered and as de pursuant to 4 in w the Par'ent(a), procedures are "d implemented.if the lead Bch with §ensure not directly agency does r child with a ��'elects to enroll heir child care are in effect to ensure that the program: and implement Provider providers of services P men[ will bete t with the lead agea�a grant or which assistance is provided under the and consultation A description of enrolled cl'• the child Block Grant complythe coordination provider selected the eligible State or local healt with an applicable the development of the Planrocesses involved in contra maximum acted 6ythe parent to re and safety (dJ s extent practicable; the requirements; 4 98.14 (a)and(hi: Pursuant to the (I) a fate reduces the level of Pro51 s description of the public hearing child ��nce with f 98-30stance becertificate offered to parents applicable to child carePursuant to§98.14(c); shallvalue commensurate Provided in State (6)Definitions of the following the subsidy value of elandensm'ale with areaservicese provided by then theetSe (or other for Purposes of dete i terms Provided under a grant or contract care : ova ber_5,1990, the Grantee shall ter Pursuant to §¢ gg a r d eligibility. O The Grantee, ' infothe Secretary of the ration (()Special needs child; �� §98-31,has protect accordancecedures i l with the Grasuch ntee: in the annual report ofr apptlicablei) ndi or mental incapacity(if ensure that providers of services for which assistance in d care (tn1 The Grantee will,not later than 18 (ii')Attending(a job or provided the Block C Applmonihs after submission of the fast educational Program); training children undernd toted access to their the law a on'complete a full review of (iv)lob [reining and educational theparents Providers. and regulPphceble to,and the licensingProgram; oftheir operations and wh the normal hours policies of.eachResiding with: eildrem d. cachou for story requirements and (v) whenever such gulateanhil licensingagenr:y ;bar (vi1 Working; children are e providers: in the care of such Progerdams is theta(or otherare services and (vii(viti)Protective services(if applicable§ (f)The Grantee,as required by Grantee by the Grantee)unless the ) Van'low income;and ) B8-1Z,maintains has reviewed such '(ix)in loco parentis. servsubstantiated Parental �pf andregniremeata,and polices in. ti For child care services and makes Info regarding year pen Pursod uant toding on November three- childpa Prove the availability and Information (n)pars5.received qualityof �t .S request complaints available to the public.such on through the Block Grantfunds (i)A de Pursuant to §ggSO; ,.1 o� will be scription.of such services (m nB Y to supplemeao rased activitiee; o and will be mete er education information fuamnds of Federal.State,and supplant the (ii)Specification of the the general available to patents and support otof Fede a local under which availability conditions thenal public wf State child xe servi-for theailability of in-home care ces area: served by theGrantee) (or related programsserridey and rates):limited(i.e_differences in Payment ° albce-nauig and area served within the State(or regnlremeats,complaint re8ldat°ry. other Pe ed by the Grantee): w(ici A list of political subdivisions e B�aent sbomp complaint pr�oeedures, the child care ssse�tear accordance with of aer-stub services and activities are opti alive a.and polices end practices §98.43,will be sufficienttttoeen a equal are note veil ble thr if sUch o and activities cerfi qual act ughout the entire 8�lorather axeRdces within the access for eligibiecbildreyto. service area: Grantee).ve t is requirey 4 bylhe State ulysr child fl area services�m the percent of ion for the reservation of 15 to children whose Parenteta.areprovided nht the ll mpose ell honk Craat tunas e-with a plan for oration at and prioritisation of. EXHIBIT C PAGE 5 OF 19 "i 't --W `.e.ecister / vol. 57, No. 150 / Tuesday, August 4. 1992 / Rules and Regulations u such funds for such services and care. including a description of the e substantial change in the program single system for providing child care occurs. A plan amendment must be (v) Any additional eligibility criteria pursuant to § 98.43(e)(2): or priority rules (with appropriate submittedtefthwithin . la days m the definitions) established pursuant to process. A description of Ihe, registration date of the change. Plan emendmenls effective § 9initio ;and process. including the timeframes within will be approved not later than the 90th (vi) Any eligibili! - which payment will be made. pursuant day following the date on which the y er tens or priority to § 98.45; rules for the receipt of grants and amendment is received. unless a nen contracts; (14) If the Grantee does not permit the agreement to extend that period has (8) For activities to improve expenditure of State funds for child care been secured. child care a to ve thehese the services unless it is first verified that qualityavailabilityof of child earlyr and ndttoin certain requirements are met(e.g.. a ( amendmentdI of disapprovalI) Anpli a t or or and before- certification process). a description of Planr te dissatisfied(d)with applicant or school pare development and be and after- the applicable process and timeframes: Grantee f a y pursuant to 98.51: determination pa agra Assistant becretor (i)A description of such activities: (n A to description of activitiespriatet are pursuant with paragraphs tos any or(b) r this (ii),A list of political subdivisions in Planned to encourage public-private which such activities areoffered. r in Partnerships which promote business section respect Plan or d If amendment may.within 60 days after activities are not available throughout rr. n feting child care needs the entire service area; pursuant to §98.71(b)(4J; the date of receipt of notification of such (iii)Provision for the reservation of 25 (16)A description of the methodolo Assistantdeterrninatioir.file a petition with the percent of overall Block used to establish the level of effort. if Secretary asking for ock Grant funds for the Grantee chooses to use other than a reconsideration of the issue of whether such purposes, together with a plan for allocation of,and prioritization of such level of government basis,pursuant to such Plan or amendment condor to the funds for such services § 98$3(b)(1); requirements for approval under the Act cos and activities: and pertinent Federal regulations. (iv)Any additional eligibility criteria (17)Such other information as (2) Within 30 days after receipt of or priority rules for children receiving specified by the Secretary.and - such services established (b) For Indian Tribes: • HUch petition, the Assistant Secretary §98.21 pursuant toshall notify the applicant or Grantee of (b), with appropriate definitions. (1)The Plan must include the basis for and determining family eligibility the time and place at which the hearing to § 93.8001 Sl Y pursuant for the (v) A sera-lotion of any eligibilityPurpose of reconsidering such e for the receipt of (2)Tribal programs are not subject to criteria or priority nda issue will be held. grants and contracts,inea addition to Paragraph(a)(6)(vitt) and prioritization (3)Such hearing shall be held not less those in § 98.51(c)(2J; under paragraph(a)(8)(iii)of this than 30 days,nor more than 90 days. (9) A description of the sliding fee section. after the notification is finished to the acale(s) (including any(actor other (3)Plans for those Tribes specified at applicantsista or Grantee, curlers the than income and family size used in other § 98.83(f1 (i.e..Tribes With small grants) lira tee Secretary and the applicant or establishing the fee scale( e that are not subject to the requirements in Grantee agree in writing on another provide(s)(oncost abating by the paragraphs(a)(7)(iv). (a)(8)(iii),and time. families that receive child care services (a)(It)of this section, unless the Tribe (4)Action pursuant to an initial services for which assistance is provided under chooses to Include such services,and, determination by the Assistant the Block therefore, the associated requirements. Grant for child camSecretary described in paragraphs (a) under § and §98-51,pursuant to in its program. and(b)of this section that a Plan or § 98.4E if applicable: §9e.17 a amendment is not approvable reconle shall not (10)A description of the minimum crate covered by plan• be stayed pending the reconsideration. health and safety requirements, (a)For Stateaand Territories, the but in the event that the Assistant applicable to all providers of child care 1nitial Plan must cover a period of three Secretary subsequently determines that services for which assistance is yeare, and all subsequent'Plans must the original decision was incorrect, the provided under the Block Grant,in cover a period of two years. Assistant Secretary shall certify f effect to § 9&41; (b) For Indian Tribes. the initial Plan restitution forthwith in a lump sum of � (act A pursuant to § of the child care and any subsequent Plans must cover a any funds incorrectly withheld or the certificate paymenttotm of the childd)care including pa(e)The lead riod of two yagency must submit a procedures are described. otherwise denied.The in p part 99 of certificate,pursuantm to §96�n); new Plan prior to the expirationof the this chapter. (12)(1)Payment rates end a time period specified In paragraphs(a) eseition of the methodology used to and(Is)of this section,at such dine as Subpart C--Efigtbllky for Se,vh-es d esc ipti such rates for reimbursement reg1ired by the Secretary in written of child care services instructions FHB A chikrs eligibility for cued care pursuant to §98.43:and if applicable, §9a-18 Appro„a1 and disc[ii)Based ono methodologically mot plan amendmeMa,disapproval of pisrn (a)In order to be eligible for services sound system for Bete -under§98..50.aa child must Y determining market- (a)Plan approval.PProval.The Assistant (1)(i)Be under 13 years of age:or {AJ Justification of the Grantee's Secretary will approve a Plan that •satisfies the re (ii)At Grantee optite so on,be under age 16 decision not to provide for differences in this part.Plans will be approved not and derfinitio of d 19,tf the ependea%vides in its bild in Its plan payment based on the se (categories of caie),age of the child or later than the kith day following the' Act)and be A of the or Soda]Securityadditional costa of providingdate on which the Plan submittal is Act)and be physically ormmentally with special n care for received,unless a.written agreement to- Incapable of caring for himself or (B)children with setting r extend that period hat been secured herself.or under court supervision; rates(s)within hag differential (Wien amendments.Approved-Plans (2)Reside with a family whose -particular categories of must be amended whenever a income does not exceed 75 percent of EXHHIBIT C PAGE 6 OF 19 rnc slate's - - - - - - - - - - - - - - - - au" I. la`J1 / Rules and R . I of the same s median income for a (a E&'v•ations 34-:13 size-and family care services under§ 98.50 must be �' (as i si Reside size; a parent or parent offered a choice: and registration Grant menu under defined inrequirements lot § 982(aaj) who (1)To enroll the child with an eligible § 98.45. Block funds will not wording o attending a job harechild care provider that has a g available e a nsor Grantee if be educational program: training or contract for the provision of such grant or rules. proceduresState or local g m• oror other re ill) Receive-or need toservices, if such services are available: Grant Ig'ted for purposes o omen is protective receive, a' ble: Block services reside with a Or se Grant y parent Ior va se is significantly restrict parental § rote as s and defined in (2)To receive a child care certificate choice pr ( )) other than the a as defined in § 98.2(j). (7) Expressly or effectivelyoexcluding. described in P rent(s) Such choice mustbe offered any time section At Grantee (aj(3)(i)of this that fi) Any category of care or type antes option, the child care services under Provider. as defined pr iniinof requirements in made available to a parent. § 98.So are § 98.2:or sectionuiands paragraph(a)(2)of this (b) When a parent elects to enroll the (��) Any type of provider within a families § �•�may be waived for child with a category of care:or eligible for child care pursuant contractprovider that has a grantor re Having the effect of limiting to this paragraph. if determined to be services.for the parental access to or choice from among necessary on a the child will beenrolled with g case-by-case b Ices• such categories of care or types in consultation basis by, or the provider selected bytheproviders. as defined in of protective services an appropriate the parent to maximum extent practicable. §9f (b)' Uve se i ces worker. (3) Excluding a significant number of to §99.16(a)(7 v (c) ha cases in which a parent elects to providers in any category Cronies or other administering a use a child care certificate, such any I g ry of care or of may establish eligibilityddnistering agency certificate: type as defined in § 982 priority conditions or (1)Will be issued directly to the Y rules in addition to those §98.3I Parental access. specified effect o m this section and §98.44 so parent()Must be of a vGrantees must have in as they do not: with the slue commensurate procedures to ensure that whichpr assistanceders of (1)Discriminate against children on services providedvunde of r Para child care child care services for the basis of race national isprovidedaccessotafford background sex. origin.ethnic . of this section; paragraph Ph (a)(1) parents unlimited disability; religious affiliation, or (3)May be used for child careproviderscaring children,and to the (2)Limitprovided by services for their children. under Subpart rights Provided agent • including a sectarian organization or during normal hours of theider part parentalor Y Including those that engage in operation and whenever children arc (3) Violate the provisions of this religious chosen b activities.p es, if those services are in the care of the provider. section. §98-44, or the Plan In Y the parent Particular,such conditions Or (4)May be expended by providers for §98.32 Parental complaints. Hiles may not be based on a priority any sectarian purpose or activitywhich Grantees must: preference for a category of carec ors is part of the child care services. (a) Maintain a record of substantiated of provider.In addition,such additional instruction: worship or parental complaints: and conditions or rules tional 1 Shall and Make information regarding such a parent's choice may not be based on (5)Shall not be considered a grant or parental complaints available to the certificate, rice of a child care contract to a considered assistance butt l shall be public on request. §9t�t A eligibility for carry (d)Child care certificate programs §9a.33 ^zcmer education. otter l care child's eUvices.ment before-and under paragraph(a)(2 of this section rents and the aervteea and ) make available to (a)eIf a operation by October 1. 1992. Parents end the general public consumer Grantee subsidizes (e)Child care certificates must be education information about all parental grants or contracts through made available to anyoptions. includinginforthe optionsdevelopmentservices.or98.50. available before-and after-school (�(I)For servicesto certificates,pursuant for an ,and duel chi! care services §98-50,certificates provided under practices § 98.30(f).and other policies and meet the eligibility d.the child must (e)(2)of this section musundet r Paragraph sery Icessincluding relate to child care § 9et the). Y conditions under to choose from a variety of child care parents ad c licensing any applicable (b)Grantees categories•including. care and complaint tregulatory requirements conditions of eligibility set additionalCenter-basedP procedures. for ditions or hgibility o riority stiles ( Group home care:; • families (ii) Family home §9a.14 Parental rights and f orvtceaditioin underces funded §gg receiving so long as (iv) e child care.and reaoonatanttea. such do.not child care,as limited. construed under this part shall be sprovisions of violate the pursuant to 9816 a 7 coNothin or applied t the b d do of off 9 1ete).or the Pla a b eraOO(o) nsbi in any manner to _ against children each of the above categories, l g on or usurp the moral and legal ethnic ba of ram naboaal.°rigiay limited or excluded.an Provider may not be responsibilities of parents or a h i c b round.sex religious (2)-Grantees m provide informationlegal guardians. n.or disability. options Subpart under �the range-of provider options Subpart ElcProgramandP Operations(Child rain (f)(1 of this secIIo C8fe cervices)—State and Provider Operations ) }'Parental Rights.(Chad d relatives, care by sectarian providers Requirements Sec loq Care S slbUttlu. relafives, to families offered §98.3a atdea .services� � der§9a,50. • §98.40 regulatoryComillnx applicable state (a) respect to State and local and total �ulrertae Far'eatorPer'eiitsof hgtble rh'eStdator'Yrequiremeats § � (a)Granteesmustprovideassur�nces • l chal)The is vea'oris offered rhfld §e th P y arc sa d rner�run that: the area served by the t L 8 (lj Wi Gantee•all providers of child care • • EXHIBIT C PAGE 7 OF-19 f : I "`e_._. t out. 5%. No. 150 / Tuesday, August q, 1992 / Rules and Regulations services for which assistance is provided under this art served by the Grantee, unless i he ry licensing regulatory mply with Grantee has reviewed such law. (2)The additionalrchildren costs ospc requirements and policies between child care for children with special requirements, as defined in §9t12(x) November 5, 1987, and November 5. needs. applicable under State,local.and Tribal 1990. The Findings of this review are to law: and of(hi Payment rates be consistentnder with(a) be included in either the first or second the safeguards sectionardmust ntal c choice (2) Providers that are not required to annual report the safeguards for parental choice in be licensed or regulated under State. P pursuant to § 98 :t(dJ local, or law are required (e)The requirements in paragraph § Nothing(d)98.3 local. or Tribal as lawi areed ain ired to be of this section must apply, al (al ns tid in this private shall be with the Grantee prior to any98 45(al, eP y toes action. to create a priva to right of providers of child care services for being made under the Block payment which assistance is provided under this action. (b)(1)This section does not prohibit a Pan' within the area served bythe (e) Upon petition to the Department State from imposing through the Plan demonstrating the need more stringent Grantee, except the relatives specified for an alternative rate schedule.and standards and licensing or regulatory in paragraph requirements on 4' P (g) of this section. subject to affirmative demonstration services for which child care providers of (t)Each Grantee shall assure that that the rate schedule will not result in provided under ch assistance is than the - procedures in effect to ensure that dip the Blockents to providers child care providers of services for within categoriesatory of care,a Grantee may standards or requirements imposed on which assistance is provided under this set a payment rate schedule which other child care providers. part, within the area served by the includes variation in the payment (2)Any such additional requirements Grantee, comply with all applicable within a category of not more thanr10e must be consistent with the safeguards State or local health and safety percent only if: for parental choice in §9830(g) requirements described in Para of this section. 1 graph (a) (1)Such variation is based on a ¢98.41 Health and safety requirements. (g)For the methodologically sound system for (a)Although the Act specifically Purposes of Mils section. determining provider rates, as described states it does require the y the term chilrand care providers does not in the Plan,pursuant to § 98.16(a)(12)(ii); establishmentnot anyenew include grandparents. aunts. or uncles. and establishment ofn or additional pursuant to §982(q)(2). q existing requirements (2)The Grantee is operating a child comply with the requirements of the §98.42 Sliding fee scales care program which includes child care statute, each Grantee must providefunded under tide IV- shall establish. and Security Act and the Block Grant ais l (a) Granteesa assurances that there within the State o other are m effect. Periodically revise, by rule. a sliding fee single system.To be considered a single l scale(s) that the Grantee), under State, ocal or Tribal provides families that receive Block Grant child Grantee must operate with: sharing by system for the purposes of this section. a law,requirements designed to protect care services under§§98.50 and 98.51. (i)The same a the health and safety of children that are (b)Sliding fee scale(s)shall be based (ii)The same sliding fee applicable to childpayment rates; care providers of on income and the size of the family and the extent permissible under pplicable services for which assistance Is may be based on other factors as statutes and regulations;and provided under this part Such requirements shall include: appropriate. (1)The prevention and (c)Grantees may waive contributions selection of an(iii)The d payment to for infectious prevention d control l of from families whose incomes are at or including a certificate program. providers. immunization); below the poverty level for a family of to §98.30(a)(2J. P gr m,pursuant (2)Building and physical premises the same size. safety;and (f)A Grantee may establish a (d)The Grantee may apply different Payment schedule which does not (3)Minimum health and safety sliding fee scales to services under reflect differences in provider rates touting appropriate to the provider §§ 98.50 and 98.51. based on the setting(categories of care). setting. - age of the child or the additional costs of (b) Grantees may not set health and §98.43 Payment rates. providing care for children with special safety standards and requirements (a)The Grantee must assure that the needs,but only if such payment rate under paragraph(a)of this section that payment rates for the provision of child schedule is based on a methodologically are inconsistent with-the parental choice care under this part are sufficient to sound system for determining provider safeguards in§ 98.30(g) ensure equal access,in the area served rates,as described in the Plan,pursuant (c)If the Grantee reduces the level of by the Grantee,for eligible children to to § 98.16(a)(12)(ii). standards applicable to any child raa comparable child care services provided services provided in the State after to children whose parents are not §98•H. Prt,,,fty for a,ttd care service,. November 5,1990. the Grantee must eligible to receive Block Grant inform theGrantees must give priority for Secretary of the rationale for assistance or child care assistance services provided under¢98.So(a)(I) to: such reduction in its annual report: under any other Federal.State, or Tribal (a)Children of families with very low pursuant to§98.71(e). Programs • (d)Not later than eighteenfamily income(considering family size): after submission of i months (b)In establishing payment rates, and initial Grantees must take into acootmt (b) Children with special needs. Application in accordance with§98.13, (1)Variations in the cost of providing §08.45 Re'$stratlon. each-Grantee must complete a full -• child care: review.of the law a/Saicable to,and the (i)Between different categories(Le (a) Graateesimust assure that or li q roViders of child care services for meats aad.p lip and of.regulatory center-based.group home.family.in- which assistance is provided under the licensing agency that home); regulates child . (ii)To children of different a Block Grant who are not licensedl. care services and programs bathe area - and a8 groups; regulated under State mt focal law for EXHIBIT C the purpose of providing child can are PAGE 8 OF 19 - —sister / vat. 57, No. 250 / Tuesday, Aggust 4, 1992 Rules and Regulations registered with the Grantee Prior to 31 "me Payment under the Block §98.47 Nondiscrimination In employment recei Grant. on the bays of religion. P Y"ie"t described under paragraph(b)Grantee registration protect (a)In general, as provided in section and P lid of this n. (1)Should facilitate a procedures: paragraph(b) of except section. nothing in se(3)Administrative prompt pa appropriate and this p costs under this payment to providers described art modifies other affects the m Paragraph of this section: Provision of any applicable (b)Child care services must be (p)Should (a)armll the Grantee to Federal law and regulation relatingto Provided: tam) S Could eLon to each discrimination in employment (I)To eligible children. providers, basis of religion. p yment on the in §)Toe as described of healthincluinformation on the availability (I) Child care providers that receive (2) sliding ofas e tance,and safety e relevant cal assistance.through grants or contracts des) Using ngfu di 42, fee ods p, as requirements:applicable and cahle regulatory discriminate°on tGrant he basis shall f religion. in (3) Us ed lithe methods provided for) §sed and pertaining • (3)Must allow providers to register the employment of caregivers as defined (c) Based on the priorities in ¢ 98.44 with Grantee after selection by the m § 9�(g)• parent the of eligible chi] (2)If two.or the availabilitye te n ndties e t ed to improve the payment de nand before more prospective quality of child care scribed inemployees are qualived for anyinclude but are not limited to the of this section is made paragraph(a) with a child care position activities specified in §98.51(c)Registration under the Block Grant shale of the Provirovi this section (2). (b) (1)and .must be a s' employing a prospective emeloyee who ta)(7 i which which e a simple.timelyp thethrough is already (2)m Pursuant to §98un )( ) Grantee autho • Y participating employee Plan must specify the activities which to basis in other activities on the mar care provider to receives. . Payment for child organization the Grantee will fund under this r8 ration that owns or operates the paragraph' aaddth)��the s�uOp requirements provider. (On pon States must spend a registration process under (3J paragraphs(a)(1)and(2)of this preponderance of the remaining funds paragraph is of this section shall not apply to employees of underparagraph with the safeguards must t be child Care providers if such em to services. h the)of this section for consistentorental choicewere em employees pa Y provide pursuant to §aren in §�30(a November 1 the provider on paragraph( )(1) thiso( section.They her 5,1 should spend a minimum amount on pon the basis of religion. h admissions (b)Notwithstanding paragraph activities authorized under paragraphs (a)Child care Provider this section.a sectarian organization of (a)(2)and(a)(3). P graphs family care providers, than the may requirethat employees adhere to (2)Except as provided in paragraph in§family child thatr receiveas defined hat • tenets and teachings of echo of this section, to meet the assistance such religious ttionee and to rules requirements of paragraph Hugh grants andforbid P graph(d)(1)of this Block Grant shall not ricotta under the ding the use of drugs or alcohol. section: admissions discriminate in (C) Notwithstanding paragraph(b)o f (i)At least 90 percent of the funds against any child on the this section,if 80 percent or more of the reserved for assistance of religion_ opera(, n under this (b)Paragraph ng budget of a child care provider section must be expended for services not basis of hildthe section does comes from Federal and State funds. section, to paragraph(a)(I)of this selecting children care Provider from including direct and indirect assistance Section and that are not fundeddrenfor child care slots `ruder the Block Grant,the Grantee must (ii)Not more than 10 directly assure that before anyfunds mayPercent of the grants or contracts to y(i.e.,through Grant assistance is given to the be further Blockexpended for activities as 8S51S be Provider)with described in paragraphs(a)(2)and(a)(3) provided under the Block provider, of this section. Grant because such children or their (i)The grant.or contract relating to petition to the Department in family members the assistance,or (3)Upon e P basis in otherparticipate on a regular its annual Application. a organization activities of ate o (2)The em to ex a a. Grantee may vier that owns or operates such e provider specifically policies of the firnds reserved for assistance onal five rbe under in this provider. YProvis tn. the no (c)Natwiths person with responsibilities in section for activities as described in tandmg paragrapb(b)of operation of the child care rreliprogram will paragraphs(a)(2)and(a)(3).of this this aectioti,if 80 percent or more of the discriminate,on the basis of section it in the application required operating budget of a child care provider the employment reitgron in PP comes from Federal or State ymeat of any individual as a pursuant to§ certificate the Grantee including direct or indirecthmd5• �'egrver;as defined is §gg11$) demonstrates that the expenditures for under the Block Grano th Grantee Subpart F—Use operation of the certificate program raatee must of Bfo k.Gra related consumer P gram and assure that before anylit Funds educa ion as required Grant assistance is furthergiven Block §9a_So Cnttd care services- Grant in �s part equal or exceed 10 percent provider. (a)After rese of the hinds available under this section. ndng 25 percent of the §mist A the The grant or contract relating amount provided under the Block Grant r:av(ue to Improve the quality or assistance,or act to for each fiscal year for the fviues child�e and to Increase the availability of (2)The admission polities ofspecified in ended.the rem avtdnood devNoP are the shall be remaining funds before-endh°Ger proprama and aPeaScallY provide that no expended for. - �+oot care services. 2-5 person provider ap dfi f3, d t the (1)Childcare' services which are percent t of then me shall reserve under 'operation awe d progr pro sded oaccordance with the ` the Block Grant the amount provided ar prof •1' (b)of this the Bloc{(Grant for each fiscal year for the bails of eft.religion.is the rote on ' Sectionthe activities specified in this section. theany Gild. - admission of (2)Activities to improve the crate ah.Grantee receivirtg.funds to availability and quality of child care,as operate less than: under'this part Shall • use a°t less than; EXHIBIT C PAGE 9 OF 19 - - - - - - - - - - - ---o� . .. .;,a,: ( Rules and Regulations (1) 18.75 percent of the total amount of Elements and Seconds a fiscal year's Block Grant funds toElementary Secondary lion (iii) Establishing and operating a establish or expand and conduct. Act of 1965: and establish through the provisionCu) Then give priority to anyother certificatev) Proplug,local of grants or citizens Providing local officials and contracts: areas with concentrations of poverty, with information about the (i) Early childhood developmentand any areas with very high or very program including(i) arloperated acco low population densities. the conducto(puhlic the pr programs. ope of atedrs c hrdance with (d)�.ly dtildhood development heannre thetp o: gr p (d) of this programs funded under this section: ( J Preparing tPl Grantee's section: and after-school (1)Must consist of services that are Application and Plan: programf.Before-an a in after-school child care intended to (vi)autoDevmated frmn systems,a including provide an environment t reel systems: information management the provisions of paragraph(e)of this enhances the educational nodal, section;or cultural emotionaL and recreational systems: (iii)Both and development of children: (vii)Developing agreements with n:and administering agencies in order to carry (2)Five percent of the total amount of (2)Are not intended to serve as a a 2) per Block Grantsubstitute for compulsory academic out(Ali) Mom activities; or fiscalc ofyear's followinglo funds on one programs - Monitoring program activities for improve the the activities to compliance with program requirements: quality care: (e)Before-and after school programs (ix) enter orts and other (I) Operating directly or providing funded under this section: documents related to the program financial assistance too (1)Must be provided Monday through submission to the substantiated Secretary: m for (including private non-profit rations Friday including school holidays and oBaauations,public o vacation periods other than legalpublic complaint substantiated units of general rganizations,and holidays,to children attendingc requirements o in accordance with the government)for the purpose childhood development earlys. ( Coordinating¢ the overnmpment kinds arte P Pry orms, ock ranervc the with otherrn eof d establishment expansion,operating n.or elementary i Block and l serviceds Federal. and coordination of resource and times secondary school droes during such State,ild ood localod opment programs.cape,early referral programs specifically related to of the day and on such days that cell referhild Cara: the regular instructional services are not before-nand after-school care programs; and ( J Making grants or providing _ in sessions and p grams; to child care providersanoto assistvidn lsuoa (2)Are not intended to extend or ( )and monitoring the resolutionns: of toproviderscin meeting replace the audit aluat ngipr re; applicable State, istativ academic program, (xiii)Evaluating program results:and local,and Tribal child care standards. (�Administrative coats associated including Tribal applicable health and dsafety with activities funded under are with re Managing or described ed persons (a).(b)(1),andparagraphs pa a responsibilities)(1))ti ) drough(x in 98Al requiremeats,pursuant to §§98.40 and to be included with amountssection are section: (b)(1)(7 through[Rill)of this expended section: (iii)Improving the monitoring of for program activities in determining compliance with,and whether Grantees have met the business Traveln costscarrying gout the for official enforcement of, bun)Adis ou applicable State.local,.and Tribal paragraphs. of those respective iIIg t program: requirements pursuant toa paragraphs. (3)services services,including regal §§.98.90 and (g)Pursuant to §9Alti(a)(8)(i), the such services as accounting services. (iv)ProvidingPlan must specify the activities which Performed by Grantees or subgrantees training and technical the Grantee will fund under this section- or under assistance in areas appropriate to theagreements with third parties: provision of child care (4)Audit services as required at services.such as §9a52 Administrative activities. § 98-65: training in health and safety,nutrition, (a)Block Grant hinds may be used for (5)Other costs for goods and services first aid. the recognition of administrative activities,as limited by requiredgm for lud ng rentalintalro administration of the communicable diseases,child abuse detection and §9a�(d)•' program,including or office supple of prevention,and care ofequipment utilities,and supplies: children special needs:and _ (b)As p�t.of its Applira[ion,as and PP -es; (v)lenwith salaries ne and provided in § 98.13(4)(6),a Grantee must (61 Indirect costs as determined by compensation Improving on salars sings otherrfits provide an estimate of total funds that indirect cost agreement or cost an for full-and part-time staff who provide by both the Grantebe used e and iubve activities allocation plan pursuant to §98.55. child care services for which assistance d gramteea is procured under this during the program period.A list of all )Expendituresa . it any Anr additional an one s part one-quarteradministrative activities-on which the administrativeuex§98-50 activities relatedto the percent of the to estimate is based must also be provided requires under a§ limitation are u under to the dal funds received under with the estimate.These activities may requirements aph(d)of f together the Block Grant may be-used at the include but are not limited to: discretion of the Grantee for any of the Paragraph °(§gg 5p•and to ether _ • purposes allow (1)Salaries and related costs of the with aexpendituresilit . sfor exceed and (b)(2)sofe this section Paragraph(b)(1)or staff of the lead'agency.or other availability.li ." ry.must not exceed the (c)For programs described in agencies engaged in the edminfatratioa limitation under.¢98.50(d)(2),except as paragraph and implementation of the program provided under§98-SO(d)(3) • - (b)(1)of this.section. pursuant to Grantees must: §98.11.Program 198.53 Supptementatlwt (1)Provide fumdiagt]rro administration and implementation (a)Grantees must provide assurances contracts:and = ' a8h'grants and (mcudes.the following types of :i= - (2)(i).Give Activities: - that funds be used under the Block • highest priority to .(i)ire Grant will be used only to supplement 7 geograpbic areas within_ the area servedeligibilityrmining for child not supplant.the amount ofer Federal • by the Grantee that ere carei services: State.and locald receive eligible to (ii)Planairrg,devel funds'ottrerwiil grants under Section 10(1e of the designing the Block and. 'expended for the support of child care program services and related programs. _ ,L` EXHIBIT C PAGE 10 OF 19 - - - - - - - - - - - - - ...:. .t.egtster / Vol. 57. No 150 / Tuesday, August 4• 1992 (b)The / Rules and Regulations = Grantee must determine separate total amounts of determine Paragraphs Op) through and local funds expendedFederal. Slate, section. g (d) of this specifically required b far such ) agreements re these by these se neesmanng an initial base period las accordancce with applicable, exa St intplans and ngreemen(s are subject to rrae•,,,section)and duringagraph(b)(zq of this local laws, except Stale and de subsequent periods as superseded by Subpart G—Flnanclal Management Programs.The Grantee m (bl Construction. (I) For State and *98-60 Avaltanxt the amounts of furs must assure that local agencies and nonsectarian tc of with th from motheue ding for such services agencies or organizations, no funds shall apportionment(a) to n of fu wily the aubse u °User sources far each q ant Period ere be expended (or thefMang of funds from n e subjectee least at the 1perio maintained at improvement of lane o purchase or the or of Management availabilitylabnt o appropriations. leastthebase of effort established to the eC and period. Purchase.construction,or permanent Secretary °f sPproprialions. the • (1) base period will be a twelve- improvement of any building or facility.month Thee;-ion a elve- However,funds may be expended for a May withhold notmore funthad one which o ( 8 the State fiscal year), minor remodeling,and for upgrading a va lab of one percent of the funds made the includes lees the month one year prior child care facilities to assu a� nth for which available for a fiscal year for the toApplicationfitfor the initial providers meet State and local child Provision award the massistance;niB and made-Subsequent Grant funds is care standards,including applicable equent periods are each (2) Will award the remaining Block twelve-Month period periods °h health and safety requirements. Grant fundsAto Grantees thatlhave an Preceding period Grantees may the (2)For sectarian agencies or approved lots G lion and Plan. establish base ees orgsaizationa, the prohibitions (b)The Block Grant program periods and associated paragraph ssection in P gram does not levels of effort on: (bill)of this section a I re(c)The State or loco(match. (i)A level of government however,funds maybe expended Y• (c) Federal.Ag ernment basis(e.g., minor remodelingonly necessa forSecretary may make payments Slate and lots!);_ bring Y if necessary to Ln usstalbments,and in advance or by (ii)A Stateandl the facility into compliance with way of reimbursement. with necessary program-by-program basis:or the health and safety requirements adjustments due to ova (iii)An alternative basis that provides established pursuant to §98.41 overpayments or for fiscal accountability. C underpayments. (2)Should a GranteeO Tuition.Funds may not be (d)(1)State and Territorial Grantees establish base-period d levels of to expended for students enrolledgrades must obligate (hest allotments in the e•period of effort on I through 12 for. in a basis other than a level of fiscal year in which hinds are awarded basis, that basis will be government (1)Any service provided to such or in the suttee reflected in the students d the Unli succeeding fiscal year. Plan.Pursuant to §98.16(a)(16). (2)Any service ce for regular school day, quidated obligations as of the end of ( )For Purposes of this section,child &adept receive e ei ve academic toward liquidated the su ading wit}rinscal year must be one year.Except for care services and related programs are those services and Programs which ere (3)Any¢ssotructional services which determinaph tion of whether 2)of this coon. included by the Grantee for date (undo have under Its Block Grant Plan, funding supplant or duplicate the academic been obligated and liquidated will be (4)Amounts gram of any public or private school. based on; established for the base (d)Sectarian Purposes and Activities. (i)State or local law;or. period will be included in the initial Funds Application. Provided under grants or n,or First subsequent contracts to providers may not be (ii) If there is no applicable State or Application pursuant to §subsequent t : expended for any sectarian local law,the regulation at 45 CFR 92.3. Apamplication unts expended for toubsequ(a) )O activity,indu sectari purpose or Obligations bga and Outlays lude subgrants periods will be included in subsequentworship or (2) Obligations acs Applications, 1 ss istan n.Pursuant to §gg-2(]), may include aubgrants Pursuant to assistance or contracts which I 9813(a)(3)(ii]. certificates r notded to parents through of funds from the G reqhue the thirdpayment de(5)(5)Grantees must amend the Funds provided grant or contract. party (e- su Grantee to a third Grantees inmusta paragraphamounts through child care r. bollowin orcontractor).arees o section.when (b)of this Certificates may ebes expended for However, the following not n, necessary, to reflect more sectarian purposes or activities, considered third party subgrantces or accurate data or program changes. Including sectarian worshipcontractors: (6)Reductions in Federal funding for child c Instrucvon when as part of the (i)A.local office of the lead agency: Programs Included in the base period care whezt provided• (ii)Another entity at the same level of computation included be taken into (e)Block Grant hands maygovernment as the lead agency, or comidetatioa is date as the non-Federal share not r used iii A 1 has met this� �whether a Federalprograms. Cor other - ( ) local.office of another entity at GranteeTribal G requirement For grant the same level of government as the lead rantees,re- duct' in State §MSS Cori a°aunon. agency. funding will be similarly considered funding formation (a)Grantees and subgrantees (31 For purposes of the Block Grant, and basis for theregarding the nab'extent. keep must funds for child care services provided reduction must be on file cost allocation plans or through-e included to the-Grantee's indirect agreements.as a child care certificate will be pursuant.CO APPlicatioa.. whichappropriate. e. considered obligated when a Grantee or mily in writing 4-98.19(s)(g](iu)- been amended to include sub antes issues to aa that costs allocated to the Black Grant a child care certificate that indicates: I � F�'1etlaaa On the use of hmCa (b)Subgrantees that do not already (i)The amount of funds that will be (a)�erat.:(1)Block C Gor rant t funds have negotiated ov government uurd to with the a paid to a child care y. may not be not be ezed endeIn r any activity keepon Pans oe and and provider or family. whichnotm e?egnlationa,or Me allocation pleas or doesset the additional indirect agreements,as a (ii)The apedfit length of time covered restric fos od.meet the additional (c)Approval of the cast allocation ate. by the escertificate,which is limited to the plans or Indirect cost date mily'ss igi for redetermination bumubno of agreements Is not the familyb eligibility, but must be no EXHIBIT C PAGE 11 OF 19 ..,:.., r<egster /.VoL 57, No. 150 / Tuesday. August 4. 1992 / Rules and Regulations later than the end of the liquidation on (ii)If State or local laws or procedures which satisfactory data are available at (4) Any funds Burin the do not permit such use, be returned to the time such determination is made: (4) Any period not obligated paragraph g the Federal government or and l obligation o his nod specifiedp i inrevert ro the ph 13) If received by the Grantee or (2) Determined every two Federal government t.Any fundssubgrantee after the liquidation periodrmi years. Y not specified in paragraph (d)(1)of this rs Per capita a income( determined. liquidated by the end of the liquidation section: Pursuant to paragraph period specified-in paragraph (d)(I) of this section, will be applied(r the of this section will also revert to the (u)Be used for activities specified in establishing the allotment for the fiscal Federal goverment. the Grantee's approved Plan if State or year for which it is determined and for (el Tribal Grantees are not subject to local laws or procedures permit such the following fiscal year. the requirements tino paragraph (d)of this Use;or (ii)If State or local laws or procedures (C) the Allotment phoportion factor section. Such Grantees must obligate do notP determined at paragraph (s)(l)(ii) of this and liquidate their allotments by the end permit verh use. returned to section: of the second fiscal year following the Federal gent oflo government:or (1)Exceeds then theT Allotment fiscal year for which the wing the (i)Repayment of loans made grant is by Pe ido factor of the Territory shall • awarded.Any funds Grantees and subgtantees,pursuant to be considered to be 12 or awi rd d. by the end that re remain period f 98.51(b)(2)(ii);may be made in cash or (2)Is less than 02, then the Allotment will revert to the Federal government in services provided in-kind.Payment Proportion factor of the Territory shall (() Cashrt advances to Granteesgovernment or byprovided in-kind must be-based on fair be considered to be 0.a Grantees to u market value.All loans-must be fully bgrantees or contractors repaid. Y (2)The formula used in calculating a T shall be limited to the minimum amounts (i)Grantees must recover child tarn (rritory s allotment is as follows: il needed and shall be timed-to be in accord with the be immediate payments which are the result of fraud requirements of the Grantee,subg cashntee; These payments must be recovered from or contractor in carryingpurpose the parties)responsible for committing YCF,x APF, amount reserved for of the programout the the fraud. Territories at In accordance with 311 (YCF,xAPFJ x paragraph(a) of this CFR part 205. ¢98..81 Ais.b.,e,rts for States section. (g)(1)Block Grant funds are available (a)An amount equal to the funds for use by the Grantee only after the appropriated for the Block Grant. less (ii)For hinds are made available by Congress Purposes of the formula j for Federal obligation artless: amounts reserved for technical specified at paragraph(a)(2)(i) of this (i) Costs are incurred for assistance and amounts reserved for the section. the term"YCF," means the ! planning Territories and Tribes;pursuant to Territory's Young Child factor as activities related to the submission of an ¢¢98.60(a)and98.62(a)and(b) shall be defined at paragraph(a)(1)(i)of this initial Block Grant Application and Plan allotted to States_For purposes of this section. and (ii)The planning activities occur after section and §98.83;the term`State" (iii)For purposes of the formula • means the 50 StateS,`the District of specified at paragraph(a)(2)(i)of this 1 November 5,1990. (2)Federal obligationof funds for Columbia:and the Corumonwealth of section. the terra-APE,-means the planning rostra,pursuant to Paragraph P°erto Rico. Territory's Allotment Proportion factor (gJ(1) this is subject to the (k1)FFends will.be allotted to States as defined at-paragraph(a)(1)(ii)of this I actual ofthssectionof the a based upon the formula-specified in section. availability appropriation. (h) Funds that are returned to section 0580(b) of the'Act (b)An amount up to three percent of tia,.62 Ain the amount appropriated for the Block Grantees and eubgranteea(e.g.,loan ¢ repayments,fundsT°rri2oru`s and Grant shall be reserved for Indian deobligated by Tribes. cancellation of a child care certificate. aTribes and Tribal organizations. unused subgrantee funds)as well as ( )An amount up to.oae-half of one (I)Except as specified in paragraph tpercent of the amount.appropriated for (b)(2)of this section.grants to individual program income(e.g_contributions the Block Grant shall be reserved for the Tribal Grantees will be equal to the sum made by families directly to the Grantee U-S.Territories of Guam.American of: ( or subgrantee for the cost of care where Samoa,the Virgin Islands of-the'United (i)A base amount as set by the - (( the Grantee or subgrantee has made-a •States.:the Commonwealth-of the Secret full payment to the.child care provider) t :Northern Mariana Islasa+Y:and shall: Terris des and the Trust (ii)An additional amount per Indian (1)11 received by-the G Territory of the Pacific Islands(Palau). chdd.undenage 13 (or Such-similar age aubgrantee(1)If d Y rt atee or. • (Z).Funclishall beallotted.to. ..sting the obligation.period ! :-Territories basedupon the-followingas best vrmedata). Secretary-from h is• . the 1 specified in paragraph(d)(1).af-this , , . ,factors: • , i - ; • , ; : -:- . • - availableed dividiwhfch is section,be used-for activities specified : + (i)A.Y . ds availaydless amounts the amount id in the Grantee's approved Plan aid must °ro childrenhild e la theherr t o of funds available.less rsu nt is set aside 'the namber of la the Territory for eligible Tribes:.prusuant to be obligated by the end CI the:obltgation, 'under-five years-ofage td the number of paragraph(b)(1)(i)of this section by the I ••period or . .. . , : • such.cliildrea Ia'ell:T (2)If received by the Grantee or- d caititien and.- •o near ribll Indian coons o living on E subgrantee during the liquidation en ( )iAa Allo�anFProhe a factor— •or r p ate al'reservations the Tribal - { specified in paragraph(d)(i):ofthu period,- determined 6 drvidliig.the all the its appropriate area irervEd 67i the Tcibel ) section - - • ' 'income of all iadtviditala la all the. Grantee;pursuant to¢98.80(e)-: . . . (i)Be aced for activities a Teriitories by tlie'per iapttarinoome.of (2)Gr'ants td Tribes�dith.fewer than the Grantee's a pecified fn ' :all Individuals in the-Temtory.-' : • So Indian ci fldren which'a as Pproved plan if State or- (A)per-capita Inane shall be: pPIY pint. local.-laws or procedures permit such ' 198 conJ(1),t m, equal rat to - use:These feeds rate bs. (I)capita the enrage mostof the annualent - - : ¢TB kplo(1),_a1e Equal to the earn of • . .the end nitre llquldaba¢a�ndad by� - per capita Iaoomea foe the recent . � - {i)A�po1-hdn oCihe baee'shrouat - 'perod;or. _ ... periodbf three consecutive years for. - - pursuant tore�P P a h'(WOW)t of tin' EXHIBIT C PAGE 12 OF 19 :. uesuay. August 4. 1992 / Rules and Regulations d 3.3-4.=5 section, that bean the same ratio as the number of ai an children sae e Tri 6 (I)The Secretary will determine that accordance with these statutory or liug or near the reservation_in thee or State does not have any funds available re lato other appropriatefor reallot men!: or �' provisoes, or wilt; the pros area served by the and which are subsequently disallowed pursuant to § 98.80(e). (n) In the case of a report received by the Department shall be repaid to ti.,,r does Tribalt Grantee,and after April 1st. any funds reported !o be Federal government. or the Secretary (ii)An additional amount per Indian the Fedeeral r realnmennt shall revert ;o will offset such amounts against any goverchild pursuant to paragraph(b)(I)(ii)of (h)States receiving reallotled funds other Block Gran! funds to which the this section. must obligate and expend these funds in Grantee is Granteesor may be provideen tied,Tribal consortia.will receive grans accordance with § 98.50.The (e) patebo must access to that are equal to the sum of the reallotment of funds does not extend the a and records books, documents, papers individual grants of their members. records to allow Grant the Secretary to obligation period the program period(c)All funds reserved for Territorial for expenditure of such funds. expended that Block Grant funds have been Grantees at paragraph(a)of this section in accordance with the will be allotted to Territorial Grantees. §�-� Financial reporting. statutory and regulatory requirements of and all funds reserved for Tribal , (a)Beginning 93 days after the end of the Program,and with the Plan. Grantees.at paragraph(b)of this section fiscal year 1992,and within 90 days after will be allotted to Tribal Grantees.Any the end of each succeeding fiscal year, §t ea y exp wance Pro°edu ad such funds that are returned after they all Grantees must submit to the (a)Any xpendi lures not made in have been allotted will revert to the. extary a Standard Form 289 or 289A, accordance with the Act the Se Federal government. Financial Status Report• to report the implementing regulations,or the §>ie government. L status of each fiscal year's grenL Final Grantee's approved Plan_ will be subject reports for a fiscal year will be due after to disallowance. (a)Any portion of State's allotment the end o(the program period. (b) If the Department. as the result of (b) The Secretary reserves the right to an audit or a review, fords that that is not required to carry out its plan, in the period for which the allotment is require financial reports leas frequently expenditures by a Grantee should be than specified in paragraph(a) of this disallowed the Department will notify made available,shall be rea(lotted to otherState Grantees in proportion section. of allotments.For P porLon to the (c)If a Grantee or subgrantee earns (°)(I)If the Grantee agrees with the the Grantee of this decision in writing. purposes of this section and§98.81,the term program income(e.g..utntributiona .. means the 50 States,.the District oft made by families directlyto the Grantee foreleg that amounts were not expended Columbia;and the or subgrantee for the cost of care. in accordance with the Act. these Puerto Rico.Reallotmen tt doesanothapply regulations,or the Plan,the Grantee of pursuant to * 98.42(a)). this income must shall fulfill the provisions of the to Territorial or Tribal alotments,and be reported Territorial and Tribal Grantees may (d)Funds returned to a Grantee or disallowance notice and repay any receive reallotted State funds, not subgrantee,pursuant to ¢ 98.80amounts improperly expended or be reported as follows: (h), shall (2)The Grantee may appeal the (1)Each year: the State shall report to (1)If the funds are returned before the the Secretary either the dollarfinding from the previous year's grant Which amountt close of the period covered by the (i)By requesting reconsideration from will be unable to obligate by the end of financial report, theyt to total be included the Assistant Secretary,pursuant to the obligation period or thafall hinds as a net adjustment total paragraph(l)of this section:or expenditures in the report or (ii)By following the procedure in will be obligated during each time.Such (2) If me funds are returned after paragraph(d)of this section. report must be postmarked,by April 1st submission of the final financial report, (d)A Grantee may appeal the (2)Based upon the ceallotment reports they should be reported ants revised disallowance decision to the submitted by States,the Secretary will report for the same period and be reallot Block Grant funds. included es a net adjustment to total accordance Departmental Appeals Board in (i)If the total amount available for expenditures, accordance with 45 may appeal part 18. reallotment is S25,000 or more,funds (al The Grantee a will be reallotled to States in proportion ¢sa•65 suers. disallowance has del costs that the to each State's allotment for the (a)Each Grantee must have an audit Department determined to be applicable fiscal year's hinds,pursuant conducted after the-close of each unallowable under determinationan award.A Grantee to 98.BI(b)_ _ - program period in accordance with • may not appeal the disposition fof (ii)If the"amount available for OMB Circular A-128. award amounts or disposition of reallotment is less thaw S25,000, the (b)Grantees are responsible for unobligatGr balances. Secretary will not real oteny''d ,and ensuring that subgrantees are audited in (o The Grantee's request for such funds will revert to the Federal accordance with appropriate audit reconsideration inparagraph c government ed not) of requirement. this section must be postmarked later Mini an,individual.reaQdtnent awar• d (c)Not later than 30 days after the than 30 days after the receipt of the to a J If , Jessidu4 reaU Iheent award completion.of the audit:Grantees must disallowance notice.A Grantee may will State is l the award, arY. submit a copy of their audit re art to-the request an extension within the 30-day will revert t° ard,4ndaar3.funds , legislature of the State or, ifapplicable, econaid e,The request for the Federal government (ry)_If a. St9 the ea not accep4itashare to the Tribal•Council(s):Grantees must reconsideration.:pursaant to paragraph of the ceahotted.firgds,thug also submits copy of-their audit report (c)(2)(i)of this section,need not follow be retuned ttear faders eRinds avill to the HHS Inspector Generel-for Audit : any prescribed form;but it shnH contain_ IS°Yernment -: Services as well as to their cogn¢adt' (1)The amountofthe disallowance: (3)I£aState does.aot euhmit:a.. . reallotmeat repart;bye�hrdeadliae for-. agency.If applicable. (2)'The Grantee's reasots'f°r. - . report-submittal•either (d)Any amouata determined through - believing that the 3fsallhwahce was an audit not to'have been expended in • Improper,and - ' ' EXHIBIT C PAGE 13 OF 19 . - nu. lay / A uesday, August 4. 1392 / Rules and Regulations • (3) copy of the disallowance through September 30. 1892, and shall be carry out programs for the decision Issued pursuant to paragraph submitted no later than December 31, increasing the availabilit y. lity (b) of this section. Purpose of (g)(1) receipt of a request for 1992. and quality of child care and childhood reconsideration.( irl Uponre pursuant toparagraph (c) Annual reports to the Secretaryt shall include the information listed in development programs subject to the (c)(2)(f) of this section, the Assistant following conditions: Secretary or the Assistant § 99.E 1 designee will inform the Grantees thats § 98.71 Content of report. (a) `n Indian Tribe ock Grant fundsapply shngall for or the request is under review, subject to alll the requirements undera At a minimum,a Grantee's report to (2)The Assistant Secretary or the the Secretary, as required in § 98.:V, this Pen- unless otherwise indica r oi. r designee will review any material shall: le Indian Tribe a I in for or submitted by the Grantee and any other (a)Specify the uses for which the recei An ving Block Grant funds must:necessary materials. Grantee expended funds under(3)If the reconsideration decision is through 9&52 and the amount of§funds 0 (1)Have at least 50 children under 13 adverse to the Grantee's position. the expended for such uses, pursuant to years availablef age [or such similar age. as response will Include a notification of 4 98.13(a)(8));and determined by the Secretary from the the Grantee's rightbest data) in order to be to appeal to the (b)To the extent data are reasonably eligible to operate a Block Grant Departmental Appeals Board pursuant available, contain available data on the program.This limitation does not to paragraph(d)of this section. manner in which the child care needs of preclude an Indian Tribe with (ewer (h) If a Grantee refuses to repay families In the area served by the than 50 children under 13 years of age amounts after a final decision has been Grantee are being fulfilled.including participating in a consortium which made, the from artici ng amounts will be offset against information concerning:• receives Block Grant funds:and future payments to the Grantee. (i)The a (1)The number of children being (2)Demonstrate that it has the ability process in this section assisted with hinds provided under the (including skiffs, personnel, resources. appeals is not applicable if the disallowance is Block Grant and under other Federal community support and other necessary part of a compliance review.pursuant to child care and pre-school programa: components) to sa tisfa ctoril carry § 98.91(b),the findings of which have (2)The type and number of child care program- been y rrY out appealed by the Grantee. r thens p regains:child carep providers. Cc)A consortium representing more (J) Disallowances under the Block caregivers, and support personnel than one Indian Tribe may be eligible to Grant program are subject to interest located in the area served by the receive Block Grant funds on behalf of a regulations at 45(S'R part 30.Interest Grantee; will begin to accrue from the date of (3) Salaries and other compensation particularI Thconsoertium if: notification paid to full-and art p (1)The tea that adequately part-time staff who • demonstrates that each participating provide child care services;and Tribe authorizes the consortium to ¢99.67 focal raqutreraent� (e)Grantees must expend and account p (4)Activities top encourage public- receive Block Grant funds on behalf of for Block Grant funds in accordance ovate artnershi a thatpromote each Tribe or Tribal organization in the with their own laws and business involvement in meeting child consortium and • expending procedures for care needs: • P ding and accounting for their own (c)Describe the extent to which the w(1)The consortium consists of Tribes funds. kith each meet the eligibility affordability and availability of child requirements for the Block Grant (b) Unless otherwise specified in this care services has Increased; part.contracts which entail the program a defined in this part or which expenditure of Block Grant funds shall (d)If or second desdibe_in either would memorise meet the eligibility comply• with the laws and procedures fin fuss or second annual report the requirement/if the Tribe or Tribal generally a findings of the Grantee's review of its organizationea had at least 50 children • applicable to expenditures by licensing and regulatory requirements under 13 years of age;and the contracting agency of its own funds. and policies,pursuant to 4 9&41(d), I (c)Fiscal control and accounting including a description of actions taken f3) All the participating consortium procedures must be sufficient to permit: b members are in geographic proximity to I (1)preparation of reports required y iee Grantee in response to each one another including operation in a p P q reviews; under 4 98.84 and under subpart H;and multi-State area) or have an existing (2)the tracing of funds to a level ofle) Contain,if applicable;an consortium arrangement and 1 expenditure adequate to establish that which explanation of any Grantee action such funds have not been used in which reduces ilia level'of childcare (4)The consortium demonstrates that violation of the provisions of this part. standards,as-required la. 4 28-41(c); it has the managerial. technical and (f)Describe the_standatds and health administrative got/staff with the ability to adminisSubpart 11 Ps ugram Reporting and safety requirements applicable to manage ter government program properly. I Requirements child care providers in the State or other manage a Block Grant program and area served by the Grantee,Including a comply with the provisions of the Act 4 94. m 70 Annual report requireerrt. description of Grantee efforts to and of this part (a) Grantees that receive assistance under the Block Grant shall prepare and improve the quality of child care;and (g)Any additional information that (d not affect The awarding of a grant under this section shall not af the eligibility of submit to the Secretary an annual the Secretary shalllrequire. se Indian child to receive or Grant i repore report wit] be submitted in services provided by the State or States the manner specified by the Secretary Subpart t—I^plan Tribes in which the Indian Tribe is located. t.Th by December 31 and will cover the•most ¢9a.a0 General (e)For purposes of the Block Grant, recent program period which ended.on r+gwm r. entt. � ret a� the determination of the number of September 30 of that year. An Indian Tribe-or Tribal organization paddies In the Tof pursuant to I (b)The first such report shall be an (as defined at B paragraph(b)(1)at then section will I interim report covering expenditures may be awsrdad-grants)topla9n and )) reservations:Include with them exception a on r r near EXHIBIT C • PAGE 14 OF 19 —h....:. / got. s. No. 150 / Tuesday. August 4, 19921 Rules and•Regulations 34422 Tribes in Alaska California and Oklahoma. for child care services at paragraph P n P gb with one e more provisions of the Act (Q In eligibilityof this section.The base amount may be or implementing regulations, the services determiningern to for expended for any costs consistent programmay § 98'SQ(a)(I), a with .oche tart' wille issue a use either. the purposes and requirements of the topreliminary noti,:,, 1) percent the State median Block Grant. thepl Grantee of possible non- Tribalincome for a familyntof (� Tribal Grantees whose total compliance. The Secretary shall (-) 7e percent of the me same size; or allotmento consider commentsnd received froin the median income than an amount established 98.6by)theless Grantee within e0 agreedr upon such tween for a family of the same size residing in Secretary which approximates the area served bP.riod as maybe between y the Tribal Grantee. amount which could be allotted tto anhe y least the Grantee and the Secretary). §98.8 t Application and plan, individual State or Territory (c) Pursuant to an investigation- (a) In order to receive pursuant to conducted under paragraph (a)o Block Grant §§ 98.61(a) and 98.621a)shall not be section, a Grantee shall make this funds, Indian Tribes(as defined at subject to the folio § 982(u))must subwing requirements: (as defined at submit an Application (1)The assurance at § 98.15(b); appropriate books,documents,popes that: § 98.13)which provides (2)The requirement.30(for certificates a t manuals, to the one and records § 98.30(s)and §98.30(e); available to the Secretary, or any duly (1)The appp twill coordinate, to (3)The requirements for allocation of authorized representatives, for the maximum extent feasible,with the funds at ¢requirements (a)and(d);and examination or copying on or off the lead agximum e)in the State(s) which (4)The re - premises of suttee appropriate lea a li q51(a and for allots t:on of reques . entity, applicant wrlhcarry out Block Grant funds Tribal ¢ l Grantees to and(b). including aubgrantees and contractors. programs or activities;and • (g)Tribal Grantees described in upon reasonable request. (2) In the case of an applicant located paragraph(f)of this section must (d1 (I)Grantees and subgrantees must in a State other than Alaska,California, reserve at least 63.75 percent of that retain all Block Grant records,as or Oklahoma Grant and portion of their total per-child amount, specified in paragraph (c)of this section. or Oklahoma. ivities will Blockbe carried out on programsa as allotted pursuant to ¢38.82(6)(1)(1i and any other records of Grantees and Indian reservation for the benefit of for Tribes or§9&62 b ) ub me which are needed to acIndian children. consortia, for direct child carer Grant substantiate compliance with Blockk (b)The initial Application under as defined at §98.2(1).The services are Grant requirements, for the period of paragraph(a)of this section must to be provided to: time specified in paragraph include a Plan whi (1)Eligible childrer�as described in p gran (e)of this ch meets the section. provisions of this part and be for a § 9(22) and Using (2) Grantees and aubgrpriatetees must two-year period,pursuant to ¢shall be for describedsliding fee scale, as provide through an appropriate §96.82 Coordinatiotu in §98.42. provision in their contracts that their (h)Tribal Grantees described in contractors any b retain and permit Tribal applicants will coordinate: paragraph (f)of this section may use the access to books,documents,papers. (a)To the maximum extent feasible, remaining 3625 percent of that Portion and records of the contractorec which are with the lead agency in the State or of their total r- cntrap States in which the a Pe child amount as directly pertinent to that specific PPlirant will ca allotted pursuant to-§98.82(b)(1)(ii) for contract. out theBlock Grant a Tribes or¢98.82 Program;and for child cares (b)(2)(u)for consortia. (e)Length of retention period. (1) (b)t With other Federal,State.local, Except as providedparagraph n ) and Tribal childservices or for activities to P in e s care and childhood improve the availability and quality of of this section,records specified in programs. child care and for administrative costs. Paragraph(c)of this section must be §development R Such services,activities and costs must retained for• three e Requirements for tribal programs, be consistent with the Grantee or auhgrantee submits to from the dj}a1e the (a)The Grantee mustdesignate an requirements of the Block purposes and agency, de Secretary its final Financial Status leaddepartment or unit to act as the (i) cA care services costs associated Report (Standard Form 269 or 269A) for agency to administer theBlock with child care services funded under the program period. Grant program. / (b) With the exceptionParagraph(g)o(th s section must be (2)If any litigation,claim, negotiation. of Alaska, included as costs under paragraph (h)of audit,disallowance action, or other California.and Oklahoma,programs this section or as costs under the base action involving the records has been and activities must abe te Indian reservation forthe benefit of ant started before the expiration of the carried out on an amount: Indian children Subpart J—,t{onttorfn No three-year retention period. the records (c)In the case of compliance and Complaintsmust be retained until completion of the a Tribal Grantee action and resolution of all issues which which is a.consortium.variations:in §98.90 Monitoring Block Grant programs or requirements arise from it or until the end of the er. and in child care licensing,regulatory (a) The Sem�taiy will monitor r etiar three-year period,whichever is and health and satiety requirements programs funded under the Block Grant must be specified in written a for )The Act: with: must b spa agreements 1 §9a.) If Non-compliance. ble. d°nsorUpm.and the Tribe, OThe Act' (a) after reasonable notice to a (d een:th Grantees shall dn the (2)The provisions of this part; and Grantee,subject to-the rantees shall • (3)The Provisions and requirements final determination pursuant is§m de tthatse.93.° su lect to-a requirement set forth in the Block Grant Plan .9 The band-544 ant afan . - - approved under ¢98.18; Grantee There has ne entitya providingro n :: grantl ) is e b s e am n y Tribal.. . (b) If a review or inv a ' services underor by co tt -: re nis {ect..to the e?cpendrtm,e. evidence that the Grantee 8oraan entity!: withthithe Gran to co Cr agreement 9 ents.at-§.98.,5a(al, the- requirement to reserve fundsa) the-under providing services under contractor the Grantee,to comply. o - § quire ),or the a agreement w requir nUally with any provision or percentage requirement to substantially coomplantes,has failed approe d under forth16:the Plan Y comply the Plan or approved under§ 98.18:or EXHIBIT C PAGE 15 OF 19 • . - - i i iuesaay. August 4. 1292 / Rules and Re (z)If is the o g 1a lions for which thefunding operation of any program compliance issue without following for Gums d g is provided under the of the steps described in In 9 all Sanest/e—preu n u ere la s failure by the ¢3 fix c 9d91 and Parties rY Wanes—Nou(O BlockGrant G.or by an entity and 98 ed penalties and/Or sacctioas.as 99.n Notice of hearing services tinder con ty providing described in ng or o tract or Paranraphs el s b(e)of Time opportunity for with the Grantee,to comply ere❑t his aectien,may nevertheless be 99.0 l me o(hea hearing. substantially with any Provision of the applied. even though.the issue is 89.1s Place. Act or this Part. the Secret resolved informally, 99.74 Issues at hearing. to the Granteewill 49.15 Request to partiopeae in heanng provideof a fin a written notice 4 9e-93 Comptvnts ding of non-compliance This subpart C—t-tear4q proceeures notice will be issued within 60 days on (a)This section applies to any 9921 Rights on of presiding the preliminary notification inI. complaint.(other than ae complaint 9922 Authority P d ng o r er or within 80 days of the receipt of alleging violation of the �� D�a ofparties_ additions!comments from the Grntee, nondiscrimination provisions) that a 99.24 Evidentiary purpose. whichever is later,end will provide the Grantee has failed to use its allotment in oo Evidence, - opportunity for a hearing•pursunt to accordance-with the terms of the Act. 89'� U official ored written materie I. the implementing regulations.or the 99'9 Gffi�l for decision. (b)The notice in Paragraph(a)of this Parr.The Secretary is not �-� Record deda;an. section will include all relevant findings. consider a complaint unless Its is ulred to Subpart D � bad Procedure� be a well hm any Penalties or submitted as required by this section.as Dad' PP ed,pursuant to ¢91ii8Z Complaints with respect to 99_t1 Pw inearing briefs. It)lessee subject to review at the discrimination should be referred to the 9132 Fm ing lo follow hearing hearing include the Ending of non- Office of Civil 9923 Effective date of Assistant S<vec compliance,as well as any penalties or (b)C L of the Department decision. ary s sanctions to be impose Complaints with respect to the ¢ 9&92 _ posed pursuant to Block Grant must be submitted in Aurhamty:u USG sass ¢98-92 •writing to the Assistant Secretary for Subpart A—General PanalTleeirW sanctions. Children and Families,370 L'Enfnt (e)Upon a final determination that the Promenade.SW.,Washington.DC 20447. ¢g9.m Pe of nAcx has fadednl ao er inatio substantially The complaint must Identify the Granteet with the Act,the implementing (a)tiThe rules procedure in this provision of the Plan,the Act,or thissection govern the practice for Grnhearings regulations,or the.Plan,one of the part that was allegedly violated,specify afforded, Pursuant tbyo the Department t9 Grantees following pena No further ties will be applies ndthe binclude all rasis for eleleevvant Informatione practice relating to the or decisions and o(such P ➢manes under the known to the person submitting it hearings. Block Di Grant will a made to sucharing Grantee or. (c)The Department shall promptly (b)No (2)Is.the rays of onto h furn sh a cog in thus part is intended to mp 'ante la the P➢of any complaint to the Preclude or limit negotiations between operation of a Program or activity no affected Grantee.Any.commeats the Department and the Grantee. further Payments to the Grantee will be received from the Graatee.withia gp whether before during or after the made activity.with respect to such program or date(or such longer period ns may be hearing,to resolve-the issues considered which are, agreed upon between the Grantee and or otherwise would be,considered at the (b)The penalty provided under Department)shall be.considered by the hearing.Such negotiations and Department in responding to the resolution of issues are not part of the paragraph(a)of this section will Department continue until theSecretary,is satisfied complaint The Department will conduct hearing and are not exceptgov ased by the that therein no longer any such failure an iavestigationof complaints, rules in thisexpressly to comply or that the noncompliance appropriate. mplainta, where provided herein. ez reset will be promptly corrected, (d)The Department will provide a (c)In,additioa to imposing the written response ¢99.2 Thep officer.. Pe(c)ba a described In to complaints within this section, the paragraph(a)of 180 days after receipt-If t.if a final (a)(1)The presiding officer at a other a Secretary may impose resolution cannot be provided at that or the shall be the Assistant Secretarye. Fpropriate sanctions,including time, the response will ette the reasons or the he designation Lion of the designee.recoupment of.moneyimproperly why additional time is necessary. (2)The designation of presiding .expendedFmposes prohibited or not (e)Complaints which are.not officer shall be in writing.A copy of the authorized by the Act or the designation shall be served on all implementing and satisfactorily resolved through I implementing regulations of Grantee from the communication with the Grantee will be parties. disqualification t f further fundingpursued through the protege deathbed hearings.' The presiding officer.for all Block Grant under the in ¢98.90. hearings,shall and rag by all applicable laws and regulations_ (d)If a Grantee is subject to PART 89—PROCEDURE FOR additianalaan(ctionsas provided under HEARINGS FOR THE CHILD CARE ¢ Al Recatds to be pubttc Paragraph(c)of-this section;specific AND DEYELOPNEM BLOCK GRANTexhibits,An plat nsa correspondence. identiticahoa of say gdditioaal Raps xiptsoFtestimony. sanctions bcurg7�Poaed w(Ilbe baartA al exceptions,.briefa decisions,and other ' - prrvtdedm'thehchceprovidedPursuant• set pocumding Mai be. a lei in any (11 �I°T7 . .. • -'rp1 Scope of L ..• proceeding innshelnssstnt e copied. ¢4 e) o aectin,or m . ,sir .Pre . in the eg m y:be made et the Sanatory. I _ qr'98-91thril Preclude the t nbc pub lnquures ma be made at Grantee and�tbti_ 9s� Recoils m4�pates. ➢ 'De�martmeat$rim •.A nnhea atioa.for ildien and infonndllyreabl' a ,. gas Sr:pep,togofivlea Poas$Ie' gas *ltbg'icd ecvt°a of Families,SJDL'Fnf 447.Promenade SW.. P%Pai ..Washington,DC 2n447. I EXHIBIT C PAGE 16 OF 19 August a, Hitt.: / Rules and Re '.§99A Suspension of turn ° la!ions 3.f,1�. With notice to all parties, thereceived or on such later date as agreed governing Federal statute and Assistant Secrets to by the Assistant Seceta Familiesstaor the Secretary for Children and (b) If.as a resultryt re(2) Any in to pending sidingecs, '. with between the Department and ther`) Any individual or respector waive y modify Grantee, the submittal of a Plan participate as a art group wishing to determination rule in this art u party shall file a petition nation rule no P upon amendment, a change in the Grantee aftertth the presiding officer within en doss dndulyinatio i party will be program,or other action nonce of the hea undjustice 1 prejudiced and theby the Gn pan, published ry in the on Register has been of will thereby be served. of any issue is resolved in whole or in part, shall serve a copy and but new or modified issues are on each party of¢�-59 and saytoe of Dopers. presented as specified byrecord at that time, in accordance ( ) original and two Secretary. the he the Assistant On gg.5(b).Such petition shall concisely e papers Anin the copies of all such new or.modified ll slate: Proceedings shall be filed such new or modified Sues.A notice of ��the presiding officer.For e (i) Petitioner's interest in the exhibits published in the Federal issues shall be proceeding: o d transcriptsbe filed. testimony,only the notice is received by the Grantee less (i', o will appear for petitioner: rid a need @)All papers in the procee than 20 days before the date of the she The issues on which be served on all dings shall hearing,a postponement of the hearingwishes to participate:and petitioner esent witnesses. delivery or by Ptifiee m8 personal shall be granted at the request of the petitioner intends to the service on Grantee orper (iv) Whether thdeempa t.s designated attorney will be shy benotihel on date 20 days aftee r receipt of(3)Any Party may,within 5 days of service on the Subpart later date as ce ssreceived or on such receipt of such petition,file co Notice and partinmtnary Matters— r�� agreed to by the Assistant on it. comments (c)(I)Ili at any (4)The Presiding officer shall ¢49.11 Notice of time, the Assistant promptly determine for nearing_ ^9 or opportunity Secretary finds that the Grantee has petitioner has whether each come into compliance with the proceedings the requisite interest in Proceedings co re statutes th Federal P ings and shall permit or deny Assistant matence when the whales andin regulations on any issue, in Participation aces Secretary mails a notice ofpart. the Assistant Secretary made to participate parties are Crar orThe opportunity for hearing tothe shallemove such issue from the may by individuals or made notice shall state the groups with and place for the heappropriate.ssist If etllissu s are removd common esfecest 4e the prep ors which acing.and the issues the Assistant Secretofficer's discretion. will be considered pry, shall terminate may request that all such iding officer notice shall be published in copy of the the hearing. petitioners Register. the Federal designate a single representative or may (2J Prior to the removal of any issue recognize one or more of such I99.12 hum the hearing in whole or in part, the pet ones to represent all such ITime of hearing. Assistant Secretary The he shall provide all Petitioners.The presiding officer shall wring shall be scheduled not parties other than the Department and decision each petitioner written notice of the less than 30 nor more than 90 days the Grantee(8ee 99.15 on the petition.after the date daysof the noticemeY notice of the intention. (b))nd the writtenP n,and ifthe unlesafurnished to otherw the agreed to.in the proposed BIing for it.Such B shall include a copy of shall iefly state the petition is denied. thepresiding rids for denial. applicant or Grantee. by the parties. meting• on which the Grantee°�Grant Plan provision the petition is denied the presiding 4 99.7J P Secretary have settled and Assistant officer may recognize the petitiones SecreThe parties shall`' have 15 daysan amicus curiae. The hearing shall from the receipt of such (c)(I)Any interested person or w,��the rutg beheld in the city in notice to file their views or any organization wish' Iregrona!office of the information on the merit of the wishing to Participate as an Department Proposed Plan amicus curiae shall files petition with the Grantee is responsible lorf o such other of of the Assistantr provision and the merit the presidin g before the place as the Assistant Secretary removing the issue front the he reasons for commencement of the hearing.Such determines,considering (d)The issues acing. petition shall concisely state: ring both the considered at the (i) The petitioner's interest in the circumstances of the case and the . hearing shall be limited to those issues g: convenience and necessity of the of which the Grantee is notified.as hearing: or their representatives. .parties Provided in d (ii) Who will represent the Paragraph(a)of this section. and petitioner. �•1� !sense at hewing. . and new or modified issues described in (id)The issues on which petitioner [a)The Assistantsecstar},may.P Paragraph(b)of this section they shall intends to present argument to fait) riot not include issues or parts of issues An amicus curiae is not a art notify ther Grantdee in� of this pact, removed from the proceedings mayparty but durg .Pursuant Participate as provided in this egi additional issue to is r be Paragraph(c)of this section. parag raph. considered et the'h 19t1s -Request to participate b hearing. (21 The presiding officer may shall be published tee the F notice ner (a)The Ilean petition upon fine grant the Register.If such notice received by are Parties to a bear d the Grantee has aa legitimate interest in theatitn will t the Grantee less then 20 days before the along a specific request to Proceedings,that such participation will date of the hearing,a postponement (b)(1 Other Participate. not unduly delay the outcome•and it the hearing shall be eat of may.be?ecogn(zed as parties, the may contribute materially to the proper Wanted at the. die request of Grantee or h'ae a to be considered et_the hearing Position of the issues. of the any other ( )An amicus date 20 days aftersnail be held on a te?eedireetit L 6aed them injury andcuriae may present a such notice was them In ins ediatel 'within brief oral statement at the hearing,at zone of hiterest to be a thiy the the point in the protected by the the presiding officer.T�hegamicvn curiae by EXHIBIT C PAGE 17 OF 19 - - - - - - - - - - - - - - - - - - - - - - - - - - .-.. , r , uesdn V. August 4. maysubmita0 1992 i Rules and Regulations position to wntten statement of presiding officer (a) Appear by '� the beginning the of a se prior to authorized representative.or in ahll hen riot; °r post Such stipulations. serve a copyhearing and shall r pulatlons,or any exhit on party.Thee proceedings: n Prexchangedoposed by any party, shall be series may also eachacmit a y. miens (b) Participate in anyh at the statement at such brief or written conference held by Pesidi rig or otherwise r Preheating confereni submit briefs and shall as the Parties the presiding officer, c c` !O the qu hearing if the (cl Ag:ee to stipulations as co facts Presiding officer 10 requires. each party, serve a copy on which will be made a pan of the record; (c) Rules or shall nonce.Technical rule; Subpart C--Hearing ( ) Make Opening statements at the of evidence shall not apply to hearings Procedures hearing: onduceed pursuant to this pen, but ¢9921 Authority of (e) Present tale vent evidence on the rules or principles designed to assure presiding otticet at the hearing production of the (a) The presiding" officer shall CO issues anent available and to sub et t et ny cleric. duty to conduct a faithearing.all have the be available witnesses who then must left testimony to Sala sh to avoid test bie c:he e non shall be Y•maintain order,and make a all other parties: by applied where reasonably necessary by record of the Proceedings The presiding shall have all �)Present oral arguments at the P esiding officer.A witness may be powers necessary hearing and cross-examined on any officerdirect matter material tens to not limited to, the ow din& but Endings Proposed rig without regard ltoe the . (1)thange power e. rig of fact, and proposed scope o(direct examination.The aid the date,time,and conclusions of law, after the hearing. Presiding officer may exclude irrelevant, the ea.hearing. This a due notice tot peace°f 19927 Discovery. immaterial, or undid repetitious my includes ce to the evidence.All documents o (other Power to continue The Department or groupso(, the evidence offered oanr taken examination dr he record or in part; a the hearing in whole individuals orGrantee, and any recognized as shall be open to examination by the (2)Hold conferencesparties shall have the right to conduct Parties. and opportunity simplify to settle or discovery(including shall be given P fy the issues ere es in a proce�g•or to against Opposing 'g depositions)Rule 2 to refute facts and arguments advanced consider other ; ;roes. Rules either side of the issues. the expeditious disposition may aid in the Federal Rules of Civil Procedure7°( proceeding position of the shall apply to suchproceedings: ¢992e uexpress nprioitythere feo written material. (3)Regulate participation of swbv no fixedp rule on priority of Letters expressing views or urging and omici attics and require of parties presidingcry. Upon written motion the action and other emsponsor written and amtci curiae to state the" uponyofficer shall promptly oils material hearing ill be pia matters at issue in a ced in the proceeding: respect various issues aja the ation initiated non 1°such discovery correspondence section d ofthe docket of to the Pursuant to this section. the proceeding.These data are not (4)Administer sates and aCtu'matioas; ;rawer The nth afi officer shall also have the deemed part of the evidence or record in (5) Rule on all pea protective order other Rioted pending motions and any party against whom r he hearing. oral items including discovery is sought and to issuance of protective orders or other control discovery so as to restrict or ¢9927 transcript relief to a party aOfficial Upreventundue The Department will designate the is sought gaunt whom discovery delay In the conduct of the hen Upon the failure of any party to make official reporter for of all hearings.The (8 Regulate the coons eofr the hearing discovery, the presiding officer ma together official transcripts and conduct of counsel therein; the presiding officer's discreuo y' attestimony taken. together with any filed stipulations.exhibits. (7)Examine witnesses; any order and imposen- 'ssue briefs,it memoranda of law filed (8)Receiv (other than contemptany sanction therewith shall Transcripts Cited wit the evidence or d rills cry exclude or limit by Vile 37 pt orders) authorized discovery, of the Federal Rules of Civil Department. be obin f om to in (9)Fix the time for filing Procedure. hearings may be obtained from the petitions, briefs,or otherm°uoas, • official reporter b matters ea items is 4 9924 Evidentiary purpose. by the parties and the pending rpose. public at rates not to exceed the matters If the presiding The Purpose of the hearing is to maximum rates fixed Assistant If Secretary, officer is the receive factual evidence and expert betweenby the cities, e a: sty make a final opinion testimony related to theissuesthe Department and the decision; reporter. Upon notice to all parties. the (11)If the presi in the Proceeding. Argument Presiding officer may authorize Assist ° CeT is not the received in evidence: will not be corrections to the ! rather,it should be transcript which record including Secretary.certify the entire Presented in statements. memoranda or involve marten of substance. ecord thud posed decision to the ded offibrice as fterminopening by thee presiding ¢992s a taut SecretRecord for decision.requests Secretary:and shall be limited to statement of the pith The transcript of testimony, exhibits. (�)Takeea rulers!a this Y action authorized by the Patty's position end what to pa and rip papers and requests Lied in the ril• the provisions of U.SC rt or in fo aIICe"nth hetenda to prove, may be made nth Proceedings. except to correspondence 559, 1 through arfrigs. section of the docket-iaduding rulings ro)The presiding officer does *9925 Evidence- decision, sha ll constitute the exclusive production of by subpoena the Y-Testimony shall be record for decision. evidence. witnesses,papers,or other witnesses at the heorally under aath or arng. Witnessesa on by Decisions !}—Poathearing procedures, 4 99-22 shall be available at the baasetg.for esO� Rights of prMy; sues-stamina lion by all P oe_ ¢99.31 parties mar more Stipules may agtes t atiorur as.Two or The presiding ofce;sshal fix the time stipulations for filing postheariag briefs. vhich may EDIT C PAGE 18 OF 19 . um. cgwauars contain proposed findings of fact and 3443 conclusions inpro of law.The s of presiding cer findings aa copy of the recommended soap also fix the time for reply ing and proposed decision upon all promptly ed Secretary's parties end be 14. Permitted P Y briefs, if parties, and amid,if any. P Promptly served on all parties,end emici, if any. §9932 Decisions (2)Any Pony may, within ZQ days of lottowl-tq teearing, receipt of the recommended findings (a) the §9933 Effective date of Assistant Assistant Secretary is the and proposed decision,file exceptions Secretary'sadecision. presiding Ift officer. the SretorSecrets and a supporting brief or statement with If. to the case of a hearing l issue ffi decision Assistantn Secretary ,the Assistant Secrete § 98.18chapter. 8 pursuant to sshall iss to th For cub 60 days ry• try of this not the Assistant mission of (3)The Assistant Secretary shall Secretary concludes that a Plan after at-ing briefs has expired. thereupon review the recommendedposth amendment does not corn-ply(b) ea1)lithe of presiding dedaion and within 45 days after the Federal statutes and a regulations, with the Assistant ding officer is not the receipt of the exceptions to the gnlaUons, the shall ��t�' the Presiding officer recommended decision that further payments will not certify the entire record,Including mmended findings and proposed be made to the Grantee,or payments the recommended fin dutg decision,issue the decision. - will be limited to categories under other dedaion,to the Assist findings proposed (c)The decision of the Assistant Parts of the Block Grant Plan not within 80 days after theSe`7atary under this section shall be the affected. shall specify the effective date submission of time for final decision of the Secrets Poethearirig briefs has constitute"final Secretary and shall for the withholding of Federal (ands. expired.The Assistant Secretary shall the meaning of 5 U.S.C.704.The"within 1t Doc c c of 4150- Filed e-a-92 8:45 am? mun.c coon�tso.na_r • EXHIBIT C PAGE 19 OF 19 STATE ©F ,CQLORADO COLORADO DEPARTMENT OF HUMAN SERVICES SO OFFICE OF CHILDREN,YOUTH AND FAMILY PROGRAMS ycQ OF 1575 Sherman Street (4,14 Denver,Colorado 80203-1714 •l87 * Phone(303)866-5932 TDD(303)866-5087 FAX(303)866-4214 Roy Romer Governor Barbara McDonnell Executive Director Karen Beye Managing Director MEMORANDUM To: Child Care Quality and Availability Improvement Grant Recipients From: Scott Raun, Division of Child Care Phone: (303) 866-6023 Fax: (303) 866-4453 Date: September 1, 1998 Subject: Billing for Child Care Quality and Availability Improvement Grant expenditures County Departments of Social Services need to use APPLS to bill for the child care quality and availability improvement project. The procedures you should follow are listed below: 1. Program code 1966 is assigned to the project. This code will be reimbursed at 100% including health, life, dental, retirement and travel. Allocate the percentage of time spent on the child care quality and availability improvement project on a position-by-position basis for personal services expenditures using program code 1966. 2. Submit a PER-7 reflecting the effective date of the change in the program code(s) to the Merit System. If you have questions about this process, please call your assigned Merit System personnel analyst. 3. Make retroactive funding adjustments in.APPLS. 4. Report operating expenditure adjustments on the APPLS ACS 5380.12 screen. 5. If you contract the child care quality and availability improvement services or activities, use contract procedures in APPLS. 6. If you have questions about APPLS, contact Tony Lucci in the Accounting Office (303) 403-1147. 7. Tony Lucci can tell you the close to deadline for the State's fiscal year. 8. You can only bill for the requisitioned amount. You cannot bill for more than the requisitioned amount. 9. The Contractor Fiscal Report and Approval form included here must be filled out to reflect the quarterly reimbursements requested through APPLS. An original must be signed and sent to Scott Raun each quarter with the quarterly report documents. 10. Direct any other contract or program questions to either Cynthia Trainor or Scott Raun at (303) 866- 4456 or(303) 866-6023, respectively. Page 1 of 2 INSTRUCTIONS FOR COMPLETING FISCAL REPORT AND APPROVAL FORM Organization Name: This should be the name of the organization as it appears on the purchase requisition/contract. Authorized Official: This should be the name of the official authorized to sign requests for reimbursement. Completed by: Print the name of the person completing the form Phone: Phone number of the person who completes the form Address: Organization's address should be as it appears on the purchase requisition/contract. Phone: Organization's general business phone number Approved Budget Period: The period of time (generally the term of the purchase requisition) in which expenditures can be made and the State can reimburse. Report Expenditure Period: The period of time covered by this report for which expenditures were incurred. City: City where organization resides Zip: Organization's zip code Latest Approved Budget: This should be the approved costs (State costs only) as identified in the purchase requisition/contract. Typically, the budget is not expected to change during the approved budget period. Expenditures for Report Period: This should be a listing by expenditure category of those costs to be reimbursed by the State for the identified reporting period. Cumulative Expenditures State Amount: The organization's total, year-to-date requests for reimbursement (including the current reporting period) from the State for the identified project. Signature of Director/Fiscal Agent: Signature of the authorized official (see above) Date submitted: Date the signed original is sent to the State w 0 In o a _ . F .5 30 d v W o 0 Ucn — m itl o .fl ' N U 43-8 A 03 ❑ d .5 ❑ m c x o v o U •' N U U N O 0 0 aai .'d. p y G .Ni Vl > N \ E v a O U Q .�. Q Q o d O a _ o ' U W .a a w .44 p, o a. is 'C 4..7 L N 1 9 L O a a0a rya d o a) o - N 5 d el 0 R• - Cia E N O N O_ U N L o : O V a .1 L 0 •ttl 0 G OL. a N W V] O 0 a. a. FL W .`- w O N a n vn 0 i 7 H 0, ❑ 0 to > 0 •.. '0 ;0 0 C N '- O Q W 1 y. °0 d d II N G Co) U o a` W r C' w 0 Ca O 0• 0 r Ca a 0 O A. 0 '+- r < - V H r o 74 w`o ° P 7 U a s O L a a) 0 0 L 'O a. a 0 d p oi• E 0 a) c r «CC U M a to T b a o 5 = 777 . ao N 'a z O 'a o t A m Z y o y10y v U N U > • m v ''] w A a i 0 O. O� a G. E .oco Q 0. 'fl U U Q P. N C o m •b W ss 04 /D CIti C O .� 1 v o cu ow -o 0a I. y > G O O O O O O O 0 e0 O CO o O v° va O O 0 0 O 0 a7 QU O o rj 0 (N D, O O oo G C C a)3. o a '0 O b T N N en V frel 0 OOi N (4. a era vm « „-_, 6M9 69 664 N °) O Q U m c yj 69 0 .5 v co a a 0 :: cn a .5 a a T A E F $ 0 y 0 0 -. a F '^ N 0,,o z N .-. U 'a 0.) rx 0 a" .o c Y 'o a F v €5 -) 3 y 0 5 g _ y U o „ . x w V va a..- a 17 -a O o a Ct :. x k° ;£' g E 0l v v C v ,0 a) y CO -G U O •d U g [0 5 0 2sa a.a « 2 U o z b a.'. a� .5 A .7 a `a) O 2 o o g c7 o a w` H w v 0 O ° " 0") 4 — ,y �. ce,0 O N ' > e x y Q a U Q < U .". v, w0 Q Section I: Progress Report Update Page 1 of 3 CHILD CARE QUALITY AND AVAILABILITY IMPROVEMENT QUARTERLY REPORT Name of Contractor: Author of Report: Phone#: • Period report covers: from to month/yr month/year 1. List of program objectives. 2. Describe how program objectives will be measured 3. How will attainment of these objectives signify program success? In other words, how will you know your program has been successful? 4. Identify progress made toward achieving the objectives. 5. Outreach and public awareness activities to inform low-income families about project. 6. If applicable, identify those activities that directly apply to families with special needs children—if not addressed elsewhere in this report. 7. Describe progress in developing plan for continuation of services after grant ends. 8. Significant innovations 9. Description of significant problems and barriers. (Please include how these problems/barriers could affect the program and any plans/needs for technical assistance to address the problems) 10. List of activities planned for next quarter (if different than in approved workplan.) 11. Attach copies of products or reports generated by this program over the past quarter. 12. Final Report Only: Describe in specific terms how your project directly led to more quality child care services. 13. Final Report Only: If the program worked with subcontractors, describe subcontractor activities and costs. (Over for instructions) Section I: Progress Report Update Page 3 of 3 5. Outreach and public awareness activities to inform low-income families about proiect: List the specific activities undertaken to inform and educate low-income families about new opportunities to receive child care. 6. If applicable, identify those activities that directly apply to families with special needs children: A short narrative of the quarter's activities involving building child care quality and/or capacity for families with special needs children. The reporting agency need not reiterate the information if it has been reported elsewhere in the report. 7. Continuation of Services: Outline your plan for continuing the program after the grant period ends. Once a plan for continuation is established, you need not continue to describe it in subsequent reports unless there is a change or modification. Please note that activities associated with implementing the continuation plan should be reported under#1 "Overview of Activities for the Quarter." 8. Significant Innovations: Innovations can be either new ideas or solutions to problems discovered performing grant work. Illustrate how those innovations assisted your project and/or how they might be useful to others. 9. Description of Significant Problems and Barriers: It is important to be precise about any problems with the project. Recognizing that a problem exists will enable project partners to provide technical assistance and solutions more quickly. 10. List of Activities planned for next quarter: Most projects will probably have two categories of activities: "continuing" and "special projects or products." Please identify both briefly as appropriate. If they are reflected in the contract work plan, simply reference that plan. 11. Copies of Products or Reports: Please attach copies of any products or reports produced in connection with the project; e.g., brochures, flyers, reports to commissioners, etc. 12. Program Summary — Final Report Only: This should include, at a minimum, a summary of the program, its objectives, and specific tasks that were achieved. It should also include a discussion of barriers and how those were addressed, if at all. For programs specializing in quality programs/activities, it is useful to describe how those activities will impact future child care in the targeted communities. This report shall be in lieu of the final quarterly report 13. Subcontractor summary: Include a list of subcontractors, their particular tasks and the amount each subcontractor was paid. The financial information may be attached to the final fiscal report and referenced here. Section II• Data Report Page 1 of 2 INSTRUCTIONS CHILD CARE CAPACITY BUILDING QUARTERLY REPORT This data tracking format is designed to cover all possible program activities associated with the child care capacity building grant. Therefore, a number of groups or activities on the table may not be applicable to your particular program. Ignore those table cells not applicable to your program. NOTE: Please count the creation of a new slot only once within the major categories: CCAP/Low Income, Age Groups, Type of Child Care Capacity Created, and Totals; i.e. the number of slots created in a major category should not exceed the total number of slots being reported. CCAP/Low INCOME: • Report the number of CCAP/Low Income slots created during the quarter. The number of new slots should be separated into one of three categories: Day Care Homes, Centers, and School-Based Programs. • Also, report the number of slots created Year-to-Date (YTD). This is the sum of the slots created during the reported quarter plus slots created during previous quarters. AGE GROUPS: • New child care slots should be divided by Day Care Homes, Centers and School- Based Programs. The slots should be sub-divided by Infant/Toddler, Pre-school, and School Age subcategories within each of the major categories. • Also, report the number of slots created Year-to-Date (YTD). This is the sum of the slots in each category created during the current quarter plus slots created during previous quarters. TYPE OF CHILD CARE CAPACITY CREATED • New child care slots should be divided by Day Care Homes, Centers and School- Based Programs. The slots should be sub-divided by the type of activity listed on the report. If your activity is not listed, please specify the activity and the number of slots created during the quarter. _ _ ( A = { y-- EL ( » p ; ƒ \ \ 3 f & o § \ § ( oo — § § /\ /}\ \ o / / \ \ t 5 ! ! : 7 g ) $ % ; _ ƒ 5 _ 2 3 f ® ° / ., a, % 0 § © ± ! E / ( 3 \ 03 - L — 2 — ( } ! j ) £ 35 — f — ! / Q 2 _ _ ) / ) 2 / / $ 2 \ / \ ) H $ } \ ( / k & e ( R 7 % C ) > } > w / % 2 / \�j \ \ \ : / ;4 / ® - ¥ ) k § [ R / $ ; ! .. ° § / / \ in E } .. \ � / \ ® t 4 } E Tel '0 U ! \ { ) a } \ \ \ / / ® — - 7 ; — — Q ) ~ _ \ \ ` } \ ) \ \ \ it \ ) � � \ \ \ r ) \ \ si f £ £ £ St — to 0 St — \ St — U ° ) 2 \ ) / } j \ / ) f ) } \ \ } ƒ ) ) \ / } / / Le. CI / ( ; \ \ \ & & o \ k { - 7 ( ` fJ2 ) \ \ \ — @ . — & _ : « - 7 - \ 0 \\ \ \ \ o \ \ \ \ \ \ \ \ $ \ \ — = - - — z puz — . Section II: Data Rep&t Page 2 of 2 • Report the number of slots created Year-to-Date (YTD). TOTALS: SLOTS • The total number of additional child care slots being reported should be divided by Day Care Homes, Centers and School-Based Programs. • Report the total number of slots created Year-to-Date (YTD). TOTALS: PROVIDERS The number of newly licensed home providers, child care centers, or school-based centers created as a result of child care capacity building activities during the reporting period. TOTAL OF NEW PROVIDERS A sum of the reported number of new providers from Day Care, Centers, and School- Based Programs. Hello