GUIDANCE

+---------------+------------------------------------------------------+
| Examples in   | The examples used in this guidance are illustrative  |
| this guidance | only. They are not intended to prescribe approaches  |
|               | or limit Lead Agency flexibility.                    |
+---------------+------------------------------------------------------+
| Completing    | Section 658D(b)(1)(A) of the Child Care and          |
| the Plan when | Development Block Grant Act of 1990, as amended (the |
| other         | "Act") requires the Lead Agency to "administer,      |
| entities are  | directly or through other governmental or            |
| involved      | non-governmental agencies" the funds received. The   |
|               | regulations at 45 CFR 98.11 provide that, in         |
| Completing    | addition to retaining "overall responsibility" for   |
| the Plan when | the administration of the program, the Lead Agency   |
| other         | must also (among other things):                      |
| entities are  |                                                      |
| involved      | -   Promulgate all rules and regulations governing   |
| (continued)   |     the overall administration of the CCDF program;  |
|               |                                                      |
|               | -   Ensure compliance with the approved Plan and all |
|               |     Federal requirements;                            |
|               |                                                      |
|               | -   Oversee the expenditure of funds by sub-grantees |
|               |     and contractors;                                 |
|               |                                                      |
|               | -   Ensure that any State, local or non-governmental |
|               |     agencies through which the State administers the |
|               |     program -- including agencies and contractors    |
|               |     that determine individual eligibility -- operate |
|               |     according to the rules established for the CCDF. |
|               |                                                      |
|               | Some States permit other non-CCDF administrative     |
|               | entities, for example, county governments or         |
|               | multi-area entities, to set additional eligibility   |
|               | criteria, establish sliding fee scales, or select    |
|               | the quality activities to be undertaken, within      |
|               | broad parameters established by the Lead Agency.     |
|               | Section 1.5 of the Plan asks the Lead Agency how the |
|               | Lead Agency maintains overall control when other     |
|               | non-CCDF administrative entities are involved.       |
|               |                                                      |
|               | Two sections in the Plan (Section 3.1.4 on care      |
|               | services provided through certificates, grants       |
|               | and/or contracts and Section 3.5.2 on sliding fee    |
|               | scales) specifically ask about the application of    |
|               | policy across the entire State or Territory.         |
|               | However, there may be other areas where local        |
|               | variations exist, but are not specifically addressed |
|               | by the section. Where local variations exist, the    |
|               | Lead Agency should so indicate. The following        |
|               | sections may require Lead Agencies to note the       |
|               | existence of local variations:                       |
|               |                                                      |
|               | -   3.1.1 -- Certificate Payment System              |
|               |                                                      |
|               | -   3.3 -- Eligibility Criteria for Child Care       |
|               |                                                      |
|               | -   3.4 -- Priorities for Children                   |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   3.5.3 -- Fee waiver policy                       |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Part 4 -- Parental Rights and Responsibilities   |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Part 5 -- Quality Activities/Services            |
|               |                                                      |
|               | The Lead Agency need not specify the details of each |
|               | local variation unless the Lead Agency chooses to    |
|               | provide such detail. For example, in response to     |
|               | Section 3.4, the Lead Agency could list the          |
|               | State-level priorities, but note that local counties |
|               | have the flexibility to change the order of the      |
|               | priorities. It would not be necessary to list the    |
|               | priorities in each county. An acceptable response    |
|               | would be: *"Counties must submit their priorities to |
|               | the State Lead Agency office for approval*."         |
|               | Responses merely indicating that counties set their  |
|               | own priorities may not be acceptable unless it is    |
|               | made clear that the Lead Agency maintains its        |
|               | required "overall responsibility."                   |
+---------------+------------------------------------------------------+
| Describing    | Whenever a State or Territory describes an activity, |
| State or      | project or partnership they are undertaking to       |
| Territory     | accomplish the goals of CCDF, specific details about |
| Activities    | the activities should be provided, including the     |
|               | name of the project, its purpose and products        |
|               | provided or services rendered, and any partners that |
|               | also are participating.                              |
+---------------+------------------------------------------------------+
| Amendment Log | An approved plan needs to be amended whenever a      |
|               | substantial change is made to the program. The       |
|               | amendment is to be submitted within 60 days of the   |
|               | effective date of the change. A decision on the      |
|               | approval of the amendment will be made within 90     |
|               | days from the date the amendment is received. (An    |
|               | extension of the time period may be made by a        |
|               | written agreement.) (98.18(b))                       |
+---------------+------------------------------------------------------+
| Check Boxes   | Some responses require Lead Agencies to "check" a    |
|               | box. To check the appropriate box, double-click on   |
|               | the box next to the response that best answers the   |
|               | question posed. A screen should appear that gives    |
|               | the respondent the option of checking or not         |
|               | checking the selected box. If for any reason, the    |
|               | respondent is not given this option, note a response |
|               | by replacing the appropriate box with a capital "X." |
+---------------+------------------------------------------------------+
| 1.1 Lead      | Identify the Lead Agency and Lead Agency's Chief     |
| Agency        | Executive Officer as designated by the State Chief   |
| Information   | Executive Officer. ACF will send grant awards, grant |
|               | adjustments, plan approvals and disallowance         |
|               | notifications to the address shown here.             |
+---------------+------------------------------------------------------+
| 1.2 State     | Identify the contact with day-to-day                 |
| Child Care    | responsibilities and knowledge of the operations of  |
| (CCDF)        | the State's CCDF-funded child care program.          |
| Contact       | Typically, the Lead Agency information will identify |
| Information   | a State cabinet-level incumbent, while the State     |
|               | Child Care (CCDF) Contact information will identify  |
| 1.2           | the State child care program administrator.          |
| (continued)   |                                                      |
|               | Responses to questions 1.1 and 1.2 serve as the Lead |
|               | Agency's official and formal notification to ACF of  |
|               | any changes in the administration and location of    |
|               | the Lead Agency and contact for the State child care |
|               | (CCDF) program. If the Lead Agency uses an internet  |
|               | website or phone line to communicate with and        |
|               | disseminate information to the public, the website   |
|               | address or phone number should be noted here.        |
+---------------+------------------------------------------------------+
| [1.3          | The purpose of questions 1.3 and 1.4 is to provide   |
| Estimated     | the public with an indication of the amount of funds |
| Funding       | available for child care and related activities. The |
| ]{.underline} | amounts provided in response to these questions are  |
|               | informational only and will not be subject to        |
| [1.4          | compliance actions, nor will ACF distribute funds    |
| Estimated     | based on these estimates. Estimates are for the      |
| A             | one-year period 10/1/07 -- 9/30/08 even though the   |
| dministration | Plan covers a two-year period. Quarterly requests    |
| Cost          | for funds and information on the actual use of funds |
| ]{.underline} | must be provided to ACF on other designated          |
|               | financial management forms (e.g., ACF-696) and       |
|               | reports.                                             |
|               |                                                      |
|               | For purposes of this question, the Federal CCDF      |
|               | amount is the total of the Discretionary, Mandatory, |
|               | and Matching Funds of the CCDF. On separate lines,   |
|               | Lead Agencies indicate the funds expected to be      |
|               | transferred from the Federal Temporary Assistance    |
|               | for Needy Families (TANF) Program and anticipated    |
|               | Direct Federal TANF spending on child care (if       |
|               | known).                                              |
|               |                                                      |
|               | Lines are also provided for the estimate of State    |
|               | (i.e., non-Federal) funds available to meet the      |
|               | maintenance of effort (MOE) requirement and State's  |
|               | share of the Matching Fund of the CCDF. States have  |
|               | the option to include other State-only funds that    |
|               | exceed the amounts required to meet the MOE and      |
|               | Match provisions, if they choose.                    |
|               |                                                      |
|               | Territories may indicate "Not Applicable" ("NA") in  |
|               | the State amount line or indicate any Territory-only |
|               | funds used for the CCDF.                             |
|               |                                                      |
|               | In question 1.4, estimate the amount and percentage  |
|               | of the total CCDF grant (including the State's share |
|               | of Matching Funds) that will be used to administer   |
|               | all services and activities under CCDF. Show only    |
|               | the amount of Federal funds and required State CCDF  |
|               | expenditures, i.e., do not include the cost of       |
|               | administering other State programs. The Lead Agency  |
|               | is reminded that not more than five percent of the   |
|               | total CCDF (including the State's share of Matching  |
|               | Funds) may be used for administration. The           |
|               | regulations at 45 CFR 98.52 discuss what constitutes |
|               | an administrative cost.                              |
+---------------+------------------------------------------------------+
| 1.5           | This question addresses the child care services that |
| A             | are provided under §98.50 and §98.51.                |
| dministration |                                                      |
| of the        | When more than one entity performs the same task,    |
| Program       | indicate all entities. For example, when a child     |
|               | care resource and referral agency (CCR&R) provides   |
| 1.5           | payments in one part of the State and the TANF       |
| (continued)   | agency performs this function in another part of the |
|               | State, identify both and note what each is           |
|               | responsible for accomplishing.                       |
|               |                                                      |
|               | It is only necessary to identify the highest level   |
|               | of the other entity involved. For example, if the    |
|               | Lead Agency has an interagency agreement with county |
|               | TANF agencies to determine eligibility, but the      |
|               | county TANF agencies have the authority to further   |
|               | contract those services through a competitive bid    |
|               | process, it is only necessary to indicate "County    |
|               | TANF agencies." It would be helpful if the Lead      |
|               | Agency would explain that further contracting may    |
|               | occur in an example such as this one.                |
|               |                                                      |
|               | To facilitate comparisons across States and          |
|               | Territories, Lead Agencies are encouraged to         |
|               | indicate the type of entity performing the task by   |
|               | using one of the following identifiers:              |
|               |                                                      |
|               | -   The State/County TANF agency;                    |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   A non-TANF State/County agency (examples: State  |
|               |     Employment Services; food stamp agency);         |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   A non-governmental community or faith-based      |
|               |     organization (examples: United Way; Council of   |
|               |     Churches);                                       |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Child Care Resource & Referral Service;          |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   School/school district;                          |
|               |                                                      |
|               | -   Child care provider;                             |
|               |                                                      |
|               | -   Other -- if the entity does not fall into one of |
|               |     the above types, please describe.                |
|               |                                                      |
|               | A non-governmental entity is one that is controlled  |
|               | entirely by sources completely unrelated to any      |
|               | Federal, State, or local government. A               |
|               | public-private partnership would be considered a     |
|               | governmental entity. Private organizations and       |
|               | non-profit organizations would be considered         |
|               | non-governmental entities.                           |
|               |                                                      |
|               | Examples of how the Lead Agency can demonstrate that |
|               | it maintains overall control when services and       |
|               | activities are provided through other agencies       |
|               | include:                                             |
|               |                                                      |
|               | -   A discussion of how frequently and in what       |
|               |     manner the Lead Agency monitors the other        |
|               |     agencies;                                        |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Whether other agencies must certify that Lead    |
|               |     Agency guidelines are followed;                  |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   The benchmarks, performance indicators, or       |
|               |     standards that are applied to the other agency;  |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   When administration has devolved to localities,  |
|               |     whether those localities/agencies must submit    |
|               |     plans to the Lead Agency or otherwise seek Lead  |
|               |     Agency approval;                                 |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   A discussion of the contract/grant process,      |
|               |     including an indication of how often a           |
|               |     contract/grant is opened to new competition;     |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Requirements specified in interagency            |
|               |     agreements, memoranda of understanding, State    |
|               |     statute, etc.                                    |
+---------------+------------------------------------------------------+
| 1.6 Use of    | Lead Agencies may receive private donated funds for  |
| Private       | the purpose of meeting their CCDF State match        |
| Donated Funds | requirement pursuant to 98.53(e). There is no need   |
|               | to designate the Lead Agency itself or any other     |
|               | entity to receive private donated funds, provided    |
|               | the private donated funds are actually transferred   |
|               | to and under the administrative control of the Lead  |
|               | Agency. If a Lead Agency wants to use private        |
|               | donated funds that are not transferred to and under  |
|               | its administrative control for the purpose of        |
|               | meeting their CCDF State match requirement pursuant  |
|               | to 98.53(e), the Lead Agency must designate one or   |
|               | more entities to receive such funds pursuant to      |
|               | 98.53(f). The regulation provide for the designation |
|               | of one or more entities in the State to receive      |
|               | donated funds. With regards to private donations,    |
|               | only private donations received by the designated    |
|               | entities or by the Lead Agency may be counted for    |
|               | match purposes. Lead Agencies are reminded that, in  |
|               | accordance with 45 CFR 98.53, donated funds: (1)     |
|               | must be donated without any restriction that would   |
|               | require their use for a specific individual,         |
|               | organization, facility or institution; (2) cannot    |
|               | revert to the donor's facility or use; (3) cannot be |
|               | used to match other Federal funds; (4) must be       |
|               | certified both by the Lead Agency and by the donor   |
|               | (if the funds are donated directly to the Lead       |
|               | Agency) or the Lead Agency and the entity designated |
|               | to receive donated funds (if funds are donated to a  |
|               | designated entity) as available and representing     |
|               | funds eligible for Federal match; and (5) are        |
|               | subject to the audit requirements at 45 CFR 98.65.   |
|               |                                                      |
|               | To facilitate comparisons across States and          |
|               | Territories, Lead Agencies are encouraged to         |
|               | indicate the type of entities being designated by    |
|               | using one or more of the following identifiers:      |
|               |                                                      |
|               | -   The State/County TANF agency;                    |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   A non-TANF State/County agency. (Examples: State |
|               |     Employment Services; food stamp agency);         |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   A non-governmental community or faith-based      |
|               |     organization. (Examples: United Way; Council of  |
|               |     Churches);                                       |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Child Care Resource & Referral Service;          |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   School/school district;                          |
|               |                                                      |
|               | -   Child care provider;                             |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Other -- if the entity does not fall into one of |
|               |     the above types, please describe.                |
+---------------+------------------------------------------------------+
| 1.7 Use of    | The regulations at §98.53(h)(3) stipulate that a     |
| State         | State may use public pre-K funds for up to 20        |
| Pre           | percent of its MOE funds and other public pre-K      |
| -Kindergarten | funds for up to 30 percent of its matching funds.    |
| (Pre-K)       |                                                      |
| Expenditures  | Examples of how the Lead Agency can coordinate its   |
| for           | pre-K and child care services to expand the          |
| CCDF-Eligible | availability of child care include:                  |
| Children      |                                                      |
|               | -   Child care programs are eligible to receive      |
|               |     pre-K funding;                                   |
|               |                                                      |
|               | -   The distribution of pre-K funding in the State   |
|               |     takes into account the local availability of     |
|               |     child care;                                      |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   School-based transportation is made available to |
|               |     child care programs;                             |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   Child care programs and schools collaborate to   |
|               |     make better use of school facilities, especially |
|               |     in the summer or when schools are not used.      |
+---------------+------------------------------------------------------+
| 1.8 Improper  | This information is being requested as part of the   |
| Payments      | ACF/Child Care Bureau's *Measuring Improper Payments |
|               | in the Child Care Program* effort, a response to the |
|               | Improper Payments Information Act (IPIA) of 2002,    |
|               | related OMB guidance, and the "Improved Financial    |
|               | Performance" section of the President's Management   |
|               | Agenda.                                              |
|               |                                                      |
|               | The IPIA defines improper payments as:               |
|               |                                                      |
|               | > "... any payment that should not have been made or |
|               | > that was made in an incorrect amount under         |
|               | > statutory, contractual, administrative or other    |
|               | > legally applicable requirement.  Incorrect amounts |
|               | > are overpayments and underpayments (including      |
|               | > inappropriate denials of payment or service)."     |
|               |                                                      |
|               | States and Territories have the flexibility to       |
|               | develop their own definitions of improper payments,  |
|               | as well as their own strategies and mechanisms for   |
|               | addressing improper payments in the child care       |
|               | program, such as improving verification processes    |
|               | and investing in information technology to assist in |
|               | eligibility determination.                           |
+---------------+------------------------------------------------------+
| 2.1.1         | The statute and the regulations stipulate that, in   |
| Consultation  | developing its Plan, the Lead Agency shall:          |
| and           |                                                      |
| Coordination  | -   Consult with appropriate representatives of      |
|               |     general purpose local government. For purposes   |
| 2.1.1         |     of this requirement, a general purpose local     |
| (continued)   |     government is a political subdivision of a State |
|               |     whose authority is general and not limited to    |
|               |     only one function or combination of related      |
|               |     functions. (658D(b)(2); §98.12(b); 98.14(b))     |
|               |                                                      |
|               | -   Coordinate the provision of services with other  |
|               |     Federal, State, and local child care and early   |
|               |     childhood development programs, including such   |
|               |     programs for the benefit of Indian children.     |
|               |     (§98.12(c); 98.14(a)(1))                         |
|               |                                                      |
|               | -   Coordinate with the State/Tribal agency          |
|               |     responsible for public health, employment        |
|               |     services, public education, and TANF.            |
|               |     (§98.12(a); 98.14(a)(1))                         |
|               |                                                      |
|               | -   Coordinate, to the maximum extent feasible, with |
|               |     any Indian Tribes in the State receiving CCDF    |
|               |     funds. (§98.12(c))                               |
|               |                                                      |
|               | > **Note:** 15 States and the District of Columbia   |
|               | > have no Federally recognized Tribes within their   |
|               | > boundaries. These are: AR, DE, DC, GA, IL, KY, MD, |
|               | > MO, NH, NJ, OH, PA, TN, VT, VA, WV.                |
|               |                                                      |
|               | States and Territories are also encouraged to        |
|               | consult and coordinate with other interested parties |
|               | including:                                           |
|               |                                                      |
|               | -   Advocacy Organizations                           |
|               |                                                      |
|               | -   Business / Private Sector Entities               |
|               |                                                      |
|               | -   Child Care Resource and Referral Agencies        |
|               |                                                      |
|               | -   Community Organizations                          |
|               |                                                      |
|               | -   Economic Development Entities                    |
|               |                                                      |
|               | -   Emergency Preparedness Officials or Experts      |
|               |                                                      |
|               | -   Faith-Based Programs                             |
|               |                                                      |
|               | -   Foundations / Trusts                             |
|               |                                                      |
|               | -   Head Start Associations                          |
|               |                                                      |
|               | -   Local School Districts                           |
|               |                                                      |
|               | -   Medical Groups                                   |
|               |                                                      |
|               | -   Non-Profits / Charitable Organizations / United  |
|               |     Way                                              |
|               |                                                      |
|               | -   Parent Organizations                             |
|               |                                                      |
|               | -   Representatives of Federal Programs, such as     |
|               |     Child and Adult Care Food Program (Food and      |
|               |     Nutrition Service, Department of Agriculture),   |
|               |     Head Start Programs and/or Collaboration Offices |
|               |     (Head Start Bureau, Department of Health and     |
|               |     Human Services), and Healthy Child Care America  |
|               |     (Department of Health and Human Services)        |
|               |                                                      |
|               | -   Representatives of other State Programs and      |
|               |     Offices, such as higher education programs and   |
|               |     institutions, infant / toddler programs,         |
|               |     juvenile justice programs, the Office of the     |
|               |     Governor, school-age programs, child support     |
|               |     enforcement agencies, TANF, child welfare        |
|               |                                                      |
|               | To facilitate comparisons across States and          |
|               | Territories, Lead Agencies are encouraged to use the |
|               | terms listed above, if applicable, in describing the |
|               | type of entity with which the Lead Agency consulted  |
|               | or coordinated.                                      |
+---------------+------------------------------------------------------+
| 2.1.2 State   | Coordination across early childhood programs is a    |
| Plan for      | component of the President's *Good Start, Grow       |
| Early         | Smart* initiative. For more information on *Good     |
| Childhood     | Start, Grow Smart*, see the guidance provided for    |
| Program       | section 5.2 of the CCDF State Plan below.            |
| Coordination  |                                                      |
|               | Consistent with §98.14(a)(2) of the regulations, and |
| 2.1.2         | to evaluate and assess the progress of State and     |
| (continued)   | Territory efforts to coordinate Federal, State, and  |
|               | local early childhood programs, Lead Agencies are    |
|               | asked to describe their plans for coordination       |
|               | across early childhood programs (if any), including  |
|               | how such plans will continue to support coordination |
|               | across early childhood programs, and the results or  |
|               | expected results of their coordination efforts. This |
|               | section provides an opportunity for a Lead Agency to |
|               | describe the progress of its State or Territory      |
|               | toward developing plans for coordination, from       |
|               | preliminary planning to full development and         |
|               | implementation, and in particular describe the       |
|               | progress made by the State or Territory since the    |
|               | submission of the 2006-2007 State Plan.              |
|               |                                                      |
|               | If any coordination activities described in Section  |
|               | 2.1.1 also apply to Section 2.1.2, Lead Agencies may |
|               | refer back to a complete explanation of such         |
|               | activities in Section 2.1.1.                         |
|               |                                                      |
|               | The *Good Start, Grow Smart* initiative requires     |
|               | each State to coordinate at least four early         |
|               | childhood programs and/or funding streams. Examples  |
|               | of programs that might operate in coordination are:  |
|               | CCDF, Head Start, TANF, Pre-K, public school         |
|               | programs and early intervention services.            |
|               |                                                      |
|               | In the past, States' efforts around program          |
|               | coordination have assumed many forms, including:     |
|               |                                                      |
|               | (1) Braiding resources to maximize program budgets   |
|               |     and facilitate smooth program operation;         |
|               |                                                      |
|               | (2) Sharing information to facilitate more effective |
|               |     delivery of services;                            |
|               |                                                      |
|               | (3) Creating opportunities for "one-stop shopping"   |
|               |     by bringing together various programs at one     |
|               |     location and facilitating communication between  |
|               |     programs;                                        |
|               |                                                      |
|               | (4) Forming interagency councils or workgroups to    |
|               |     design strategies for improving the quality,     |
|               |     availability and affordability of child care;    |
|               |                                                      |
|               | (5) Enabling staff of different agencies to receive  |
|               |     training together to build a common base of      |
|               |     knowledge across programs.                       |
+---------------+------------------------------------------------------+
| 2.  Public    | Lead Agencies are reminded that at least one hearing |
|     Hearing   | must be held to allow the public the opportunity to  |
|     Process   | comment on the provision of child care services      |
|               | under the Plan. At least 20 days of statewide public |
|               | notice must be provided in advance of the hearing.   |
|               | The hearing shall be held before the Plan is         |
|               | submitted to ACF but no earlier than nine months     |
|               | before the effective date of the Plan, i.e., no      |
|               | earlier than January 1, 2007. The content of the     |
|               | proposed Plan shall be made available to the public  |
|               | in advance of the hearing.                           |
|               |                                                      |
|               | The hearing must be an actual meeting, open to the   |
|               | public. While States are encouraged to receive       |
|               | comments to the proposed Plan through means other    |
|               | than the hearing, such receipt of written comments   |
|               | alone does not meet the requirement to conduct a     |
|               | public hearing.                                      |
+---------------+------------------------------------------------------+
| 2.3           | This section asks the Lead Agency to describe        |
| P             | activities, including planned activities, to         |
| ublic-Private | encourage public-private partnerships in meeting     |
| Partnerships  | child care needs. In this section, Lead Agencies     |
|               | should not include descriptions of public-public     |
|               | partnerships, i.e., partnerships with other          |
|               | governmental entities.                               |
|               |                                                      |
|               | If any public-private partnerships described in      |
|               | Section 2.1.1 or 2.1.2 also apply to Section 2.3,    |
|               | Lead Agencies may refer back to a complete           |
|               | explanation of such partnerships in Section 2.1.1 or |
|               | 2.1.2.                                               |
|               |                                                      |
|               | Activities might include initiatives focused on      |
|               | public awareness, business involvement, professional |
|               | development, quality improvement, resource and       |
|               | referral services, literacy initiatives, inclusion   |
|               | of children with disabilities, health initiatives,   |
|               | facility start-up and enhancement, collaborative     |
|               | system building, local community leadership,         |
|               | provider recruitment, and welfare-to-work. Lead      |
|               | Agencies are encouraged to use the terms listed in   |
|               | the preceding sentence to describe their             |
|               | public-private partnerships.                         |
|               |                                                      |
|               | Consistent with §98.14(a)(2) of the regulations,     |
|               | Lead Agencies are required to discuss the results or |
|               | expected results of these activities.                |
+---------------+------------------------------------------------------+
| 1.            | [REMINDER]{.underline}: **The Lead Agency must offer |
|   Certificate | certificates for services funded under 45 CFR        |
|     Payment   | 98.50**. (98.30) Certificates must permit parents to |
|     System    | choose from a variety of child care categories,      |
|               | including center-based care, group home care, family |
|               | child care and in-home care. (§98.30(e))             |
|               |                                                      |
|               | A child care certificate is a certificate, check,    |
|               | voucher, letter or other disbursement that is issued |
|               | by the Lead Agency directly to a parent who may use  |
|               | it only to pay for child care services from a        |
|               | variety of providers including community and         |
|               | faith-based providers (center-based, group home,     |
|               | family and in-home child care), or, if required, as  |
|               | a deposit for services. (658E(c)(2)(A)), 658P(2),    |
|               | §§98.2, 98.16(k), 98.30(c)(3) & (e)(1))              |
|               |                                                      |
|               | The Lead Agency is encouraged to provide a copy of   |
|               | the certificate in addition to its description.      |
|               |                                                      |
|               | The explanation should include an estimate of the    |
|               | [proportion of §98.50 services available through     |
|               | certificates versus grants/contracts]{.underline}.   |
|               | This may be expressed in terms of dollars, number of |
|               | slots, or percentages of services.                   |
|               |                                                      |
|               | Eligibility worker's manuals, policy handbooks, or   |
|               | other printed guidelines for administering a child   |
|               | care subsidy program will be used for reference      |
|               | purposes only. Documents provided by Lead Agencies   |
|               | pursuant to this section will not be uniformly or    |
|               | comprehensively reviewed and will not be considered  |
|               | part of the Plan. All information required to be     |
|               | part of the Plan must continue to be set forth in    |
|               | the Plan.                                            |
+---------------+------------------------------------------------------+
| 3.1.2 Grants  | This question addresses contracts or grants to child |
| and Contracts | care programs or providers for the direct purchase   |
|               | of a specified number of slots. Do [not]{.underline} |
|               | check "Yes" if every provider is simply required to  |
|               | sign a "contract" in order to be paid through your   |
|               | certificate program.                                 |
+---------------+------------------------------------------------------+
| 3.1.3 Limits  | In this section, the Lead Agency should describe how |
| on In-Home    | it limits in-home care, e.g., by specifying the      |
| Care          | minimum number of children who must be served,       |
|               | requiring parents to pay the difference between the  |
|               | maximum rate and the minimum wage, requiring         |
|               | caregiver background checks, or mandating training.  |
+---------------+------------------------------------------------------+
| 3.1.4         | The Lead Agency is not required to offer services    |
| Services      | statewide nor must the same services be offered      |
| Offered       | statewide. If all services are not offered           |
| Statewide     | statewide, however, indicate the services that are   |
|               | not available and identify the area where the        |
|               | services are not offered.                            |
+---------------+------------------------------------------------------+
| 3.2 Payment   | The regulations provide that the local market survey |
| Rates for the | must have been conducted "no earlier than two years  |
| Provision of  | prior to the effective date of the currently         |
| Child Care    | approved Plan." Plans will not be approved unless a  |
|               | local market survey has been completed within the    |
| 3.2           | allowable time period (10/1/05 -- 9/30/07). Lead     |
| (continued)   | Agencies are required to indicate the month and year |
|               | when their local market rate survey was completed    |
|               | and to include a copy of the survey instrument and a |
|               | summary of the results. ACF does not expect that raw |
|               | data will be submitted with the plan, but rather an  |
|               | analysis or summary of the results.                  |
|               |                                                      |
|               | Summary of results should include a description of   |
|               | the sample population (which providers were sampled  |
|               | and surveyed), data source (e.g., child care         |
|               | resource and referral data, licensing data, etc);    |
|               | the type of methodology used (survey of providers,   |
|               | analysis of administrative data --including child    |
|               | care resource and referral data); response rate (if  |
|               | using administrative data, what percentage of        |
|               | provider sample, e.g., licensed providers, in the    |
|               | administrative data were included in analyses); and  |
|               | summary of key findings.                             |
|               |                                                      |
|               | To facilitate comparisons across States and          |
|               | Territories, Lead Agencies are asked to provide the  |
|               | percentile of the current Market Rate Survey at      |
|               | which their rate ceilings are set. If the State or   |
|               | Territory does not use the current Market Rate       |
|               | Survey to set its payment rate ceilings, then report |
|               | the range of percentiles from the current Market     |
|               | Rate Survey that your payment rates reflect.         |
|               | Similarly, please provide the range of percentiles   |
|               | from the current Market Rate Survey if rate ceilings |
|               | vary by such characteristics as type of setting, age |
|               | of children, or geographic regions.                  |
|               |                                                      |
|               | For example: *"Our rates, which were set using the   |
|               | 2005 Market Rate Survey and have not been adjusted   |
|               | since, now equal the 50^th^ to the 65^th^ percentile |
|               | for centers and 45^th^ to 60^th^ percentile for      |
|               | regulated family child based on our current Market   |
|               | Rate Survey."*                                       |
|               |                                                      |
|               | In addition, a copy of the payment rates for all     |
|               | categories of care including in-home providers       |
|               | should be attached. In States where administration   |
|               | of child care subsidy programs has been delegated to |
|               | local entities who set their own individualized      |
|               | payment rates, the Lead Agency may submit copies of  |
|               | the payment rates relating to all major metropolitan |
|               | areas in the State for all categories of care        |
|               | including in-home providers.                         |
|               |                                                      |
|               | If the Lead Agency provides tiered reimbursements, a |
|               | copy of those payment rates should be included as    |
|               | well. Tiered reimbursements include higher payments  |
|               | for providers who demonstrate that they provide      |
|               | better quality child care and payment rates that     |
|               | vary for children with disabilities and other        |
|               | special needs, non-standard-hour and other           |
|               | specialized types of care.                           |
|               |                                                      |
|               | The explanation of how rates ensure equal access     |
|               | should include a description of how the rates        |
|               | correspond to market charges as evidenced by the     |
|               | survey. For example, the explanation might include:  |
|               | *"Rates for center-based and regulated family child  |
|               | care are set at the 75^th^ percentile of market      |
|               | charges as demonstrated by our local market survey.  |
|               | Rates for unregulated providers are set at 50        |
|               | percent of family child care home rates as a         |
|               | sufficient number of unregulated providers could not |
|               | be identified and surveyed. Additionally,            |
|               | unregulated providers are not currently required to  |
|               | undertake the same high level of ongoing training as |
|               | are the regulated providers. Rates for unregulated   |
|               | providers were set at a lower amount in the past and |
|               | we experienced no reluctance to provide care at that |
|               | rate."*                                              |
|               |                                                      |
|               | Where the Lead Agency's payment rates do not show    |
|               | the same categories of care described in the         |
|               | parental choice requirement at §98.30(e)(1) (i.e.,   |
|               | centers, group homes, family, and in-home care),     |
|               | include a definition of the categories that the Lead |
|               | Agency uses. For example, if the Lead Agency's rates |
|               | include only centers, family homes, and in-home      |
|               | care: *"Centers are facilities caring for groups of  |
|               | children in a non-residential setting. A family      |
|               | child care home is a licensed provider in a private  |
|               | residence caring for up to 12 unrelated children     |
|               | depending on the ages of the children and            |
|               | availability of an assistant. An in-home provider    |
|               | cares for the children of only one family in that    |
|               | family's home. The State does not distinguish        |
|               | between group and family child care homes, therefore |
|               | rates for only three categories are shown."*         |
|               |                                                      |
|               | Lead Agencies are reminded that §98.30(e)(1)         |
|               | stipulates that under each of the categories of      |
|               | care, care by a sectarian provider may not be        |
|               | limited or excluded. In addition, we note that       |
|               | timeliness of payments and rules governing child     |
|               | absences that reflect usual and customary market     |
|               | practice can also affect access.                     |
+---------------+------------------------------------------------------+
| 3.3           | By statute, all eligible children must:              |
| Eligibility   |                                                      |
| Criteria for  | > \(1\) be under the age of 13, or under age 19 if   |
| Child Care    | > physically or mentally incapable of self-care, or  |
|               | > under court supervision;                           |
|               | >                                                    |
|               | > \(2\) reside with a family whose income does not   |
|               | > exceed 85% of the State Median Income (SMI) for a  |
|               | > family of the same size; and                       |
|               | >                                                    |
|               | > \(3\) have parent(s) who are working or attending  |
|               | > a job training or educational program or receive   |
|               | > or need to receive protective services.            |
|               |                                                      |
|               | (658E(c)(3)(B), 658P(3), §98.20(a))                  |
|               |                                                      |
|               | Typically when children reach age 13, they are no    |
|               | longer eligible for CCDF-funded child care. However, |
|               | a Lead Agency has the option to provide child care   |
|               | to children age 13 or over if they are physically or |
|               | mentally incapable of self-care, or under court      |
|               | supervision. When such children reach age 19, they   |
|               | cease to be eligible for CCDF-funded child care.     |
+---------------+------------------------------------------------------+
| 3.3.1 Age     | The upper age limit may not be age 19 or over (e.g., |
| Eligibility   | not "*19 years, 1 month";* or *"up to age 20").*     |
+---------------+------------------------------------------------------+
| 3.3.2 Income  | Eligibility for CCDF services is limited to families |
| Eligibility   | with income at or below 85 percent of the State      |
|               | Median Income (SMI) for a family of the same size.   |
|               | Whether or not the Lead Agency offers services to    |
|               | families with income up to 85 percent of SMI, this   |
|               | upper eligibility level must be recorded in column   |
|               | (b).                                                 |
|               |                                                      |
|               | Column (c) is completed only if the Lead Agency uses |
|               | an income level lower than 85 percent of SMI to      |
|               | limit eligibility. When the income level is lower    |
|               | than 85 percent, the percent of the SMI that an      |
|               | income level represents must be noted.               |
|               |                                                      |
|               | When there are multiple geographic areas with        |
|               | differing eligibility levels, a Lead Agency can      |
|               | satisfy the requirement of this section by providing |
|               | a table that shows the areas and applicable maximum  |
|               | eligibility limits. If, for administrative purposes, |
|               | a Lead Agency uses the Federal poverty level rather  |
|               | than the SMI to determine eligibility, ACF needs to  |
|               | know the corresponding SMI in order to ensure        |
|               | compliance with CCDF rules.                          |
|               |                                                      |
|               | Note that the Lead Agency must indicate the year of  |
|               | the SMI on which it bases its eligibility level.     |
|               |                                                      |
|               | Neither the statute nor the regulations specify a    |
|               | source or basis for SMI, and the Lead Agency has     |
|               | flexibility in determining its SMI. Lead Agencies    |
|               | are, however, encouraged to use the most recent      |
|               | fiscal year information provided by the Bureau of    |
|               | Census in completing column (b). The Bureau of the   |
|               | Census publishes estimates of SMI on its web site    |
|               | at**:**                                              |
|               | http://www.census.gov/hhes/www/income/4person.html.  |
|               | SMI estimates for FY 2008 (starting October 1, 2007) |
|               | were published in the Federal Register March 28,     |
|               | 2007 (Volume 72, Number 59) for use in the LIHEAP    |
|               | program and can be found at:.                        |
|               | <http://frwebgate.access.gpo.gov/cgi-bi              |
|               | n/getdoc.cgi?dbname=2007_register&docid=fr28mr07-74> |
|               |                                                      |
|               | This section also requires that Lead Agencies        |
|               | describe and/or attach information about how income  |
|               | is defined for CCDF eligibility purposes.            |
|               |                                                      |
|               | If there are different/multiple income levels (e.g., |
|               | 3.3.2 column "c") in use in the State or Territory,  |
|               | explain the variations here and include a copy of    |
|               | the income levels as Attachment 3.3.2. For example,  |
|               | a Lead Agency may have entrance and exit eligibility |
|               | thresholds that differ, allow local counties to set  |
|               | eligibility levels, or have eligibility that differs |
|               | for families that include a child with special       |
|               | needs.                                               |
+---------------+------------------------------------------------------+
| 3.3.3         | Waiving fees for children receiving (or in need of)  |
| Eligibility   | protective services may only be done on a            |
| Based Upon    | case-by-case basis. There is no provision for        |
| Working or    | automatically waiving fees in every protective       |
| Attending a   | service case.                                        |
| Job Training  |                                                      |
| or            | The Lead Agency is reminded that respite care is     |
| Educational   | allowable only for brief, occasional periods in      |
| Program /     | excess of the normal "less than 24 hour period."     |
| Receiving or  |                                                      |
| Needing to    |                                                      |
| Receive       |                                                      |
| Protective    |                                                      |
| Services      |                                                      |
+---------------+------------------------------------------------------+
| 3.3.4         | CCDF regulations provide that Lead Agencies are to   |
| Additional    | include in their Plans any additional eligibility    |
| Eligibility   | criteria and definitions that have been established. |
| Conditions    |                                                      |
+---------------+------------------------------------------------------+
| 3.4.2         | The Lead Agency [must]{.underline} give priority for |
| Priorities    | child care services to children:                     |
| for Serving   |                                                      |
| Children and  | -   With special needs (as defined in Appendix 2);   |
| Families      |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   In families with very low incomes (as defined in |
|               |     Appendix 2).                                     |
|               |                                                      |
|               | However, the statute and the regulations do not      |
|               | prescribe how to "give priority." For example,       |
|               | priority can be achieved by setting aside specific   |
|               | funds or slots for special needs or very low income  |
|               | children. "Special needs" in this context may be     |
|               | broadly defined. It is not limited to children with  |
|               | physical or mental disabilities.                     |
+---------------+------------------------------------------------------+
| 3.4.4         | CCDF regulations provide that Lead Agencies are to   |
| Additional    | include in their Plans any additional priority rules |
| Priority      | and definitions that have been established.          |
| Rules         |                                                      |
+---------------+------------------------------------------------------+
| 3.4.6 Serving | Given the policy choices States and Territories have |
| All Eligible  | made in terms of eligibility limits, priorities,     |
| Families      | parent co-payments and provider reimbursement rates, |
|               | many States and Territories are unable to serve all  |
|               | families that are technically eligible for child     |
|               | care assistance under CCDF. The Plan asks the Lead   |
|               | Agency whether the State or Territory maintains a    |
|               | waiting list. States and Territories should answer   |
|               | "yes" if they have policies and procedures in place  |
|               | to maintain a waiting list, even if all              |
|               | CCDF-eligible families are currently being served.   |
+---------------+------------------------------------------------------+
| 3.5.1 and     | The attachment must include an explanation -- e.g.,  |
| 3.5.2 Sliding | an excerpt from an eligibility worker's manual -- of |
| Fee Scale for | how the sliding fee scale works; whether, for        |
| Child Care    | example, it varies by number of children in care or  |
| Services      | the cost of care.                                    |
|               |                                                      |
|               | Other factors that may determine a family's          |
|               | contribution may include number of children in care, |
|               | cost of care, and/or whether care is full or         |
|               | part-time. Lead Agencies are also asked to note      |
|               | whether they set a maximum amount (family cap).      |
+---------------+------------------------------------------------------+
| 3.5.3 Waiving | The 2007 HHS Poverty Guideline is \$17,170 for a     |
| Parental      | family of three. For other family sizes apply        |
| Contributions | \$3,480 per person, except in Alaska and Hawaii. For |
|               | Alaska, the 2007 HHS Poverty Guideline for a family  |
|               | of three is \$21,470 (apply \$4,350 per person for   |
|               | other family sizes). For Hawaii, the 2007 HHS        |
|               | Poverty Guideline for a family of three is \$19,750  |
|               | (apply \$4,000 per person for other family sizes).   |
|               | The HHS Poverty Guidelines for 2007 were published   |
|               | on January 24, 2007. (72 FR 3147-3148**)** They are  |
|               | available at:                                        |
|               | <http://www.aspe.hhs.gov/poverty/07fedreg.htm>       |
|               |                                                      |
|               | The Lead Agency is not required to use the HHS       |
|               | Poverty Guidelines for 2007, but must indicate the   |
|               | poverty level it is using if it elects to waive the  |
|               | required fee.                                        |
+---------------+------------------------------------------------------+
| 3.5.4         | Allowing providers to charge parent fees in addition |
| Allowing      | to those included under the sliding fee scale may    |
| Providers to  | have serious implications for access and             |
| Charge        | affordability of child care by low-income families.  |
| Additional    |                                                      |
| Fees          |                                                      |
+---------------+------------------------------------------------------+
| 3.5.5         | The preamble to the regulations suggests that        |
| Affordability | co-payments that are no more than 10 percent of      |
| of Parental   | family income would be "affordable." It should be    |
| Co-payments   | noted, however, that the regulations do not          |
|               | establish this or any other standard or criteria     |
|               | that co-payments must meet. The suggested percentage |
|               | may be too high for some very low-income families    |
|               | and not high enough to prevent "cliffs" for families |
|               | nearing their State's eligibility limit. The         |
|               | explanation, at a minimum, should indicate the       |
|               | percent of its income that a typical family would    |
|               | use to meet its co-payment. Lead Agencies are        |
|               | reminded that co-payments may not vary based on a    |
|               | family's eligibility status or circumstances, or on  |
|               | the category of care or type of provider.            |
+---------------+------------------------------------------------------+
| 4.1           | A description of the eligibility process for         |
| Application   | families should be provided. The description should  |
| Process /     | include any variations in the eligibility process    |
| Parental      | based on eligibility category as well as information |
| Choice        | about how parents who receive TANF benefits are      |
|               | informed about the exception to individual penalties |
| 4.1           | as described in Section 4.4.                         |
| (continued)   |                                                      |
|               | The description should also address the length of    |
|               | the CCDF eligibility determination period including  |
|               | any extension to the eligibility period in support   |
|               | of collaborative arrangements between child care and |
|               | Head Start or pre-K programs*.* (See                 |
|               | ACYF-PIQ-CC-99-02, February 8, 1999.) For example:   |
|               | *"Generally, eligibility is redetermined every six   |
|               | months via a mailed certification. Where the child   |
|               | is receiving child care service in a collaborative   |
|               | arrangement with another program, the CCDF           |
|               | eligibility period will be the same as the           |
|               | eligibility period or service delivery criteria of   |
|               | the collaborative program. For Head Start/child care |
|               | collaborative programs, the CCDF eligibility period  |
|               | is two years; for pre-K programs, the CCDF           |
|               | eligibility period coincides with the school year    |
|               | (e.g., nine months)."*                               |
|               |                                                      |
|               | The Lead Agency can forestall audit questions by     |
|               | documenting in its Plan CCDF eligibility periods     |
|               | when different eligibility determination periods     |
|               | apply depending on the nature of the services        |
|               | provided.                                            |
|               |                                                      |
|               | Several child care studies indicate that barriers to |
|               | initial and continuing eligibility for child care    |
|               | subsidies can deter low-income families from         |
|               | receiving subsidies and result in discontinuity of   |
|               | care for children. Some States have instituted       |
|               | on-line eligibility determination, extended the      |
|               | hours eligibility offices are open, and increased    |
|               | eligibility periods to minimize barriers to subsidy  |
|               | receipt.                                             |
+---------------+------------------------------------------------------+
| 4.2 Records   | The Lead Agency itself need not maintain the records |
| of Parental   | of substantiated parent complaints. That function    |
| Complaints    | may be undertaken by another State or Territorial    |
|               | agency. Regardless of who maintains the records, the |
|               | Lead Agency must provide the required detailed       |
|               | description about how the information is made        |
|               | available to the public on request. The description  |
|               | should include the contact for obtaining information |
|               | about parental complaints.                           |
+---------------+------------------------------------------------------+
| 4.3 Unlimited | Examples of procedures include: *1) "All provider    |
| Access to     | contracts include a certification that the provider  |
| Children in   | affords unlimited parental access, and all providers |
| Child Care    | must sign a contract in order to be paid." 2) "This  |
| Settings      | is a requirement of the State licensing and          |
|               | registration process." 3) "The Lead Agency sends     |
|               | periodic reminders to all providers about this       |
|               | policy."*                                            |
+---------------+------------------------------------------------------+
| 4.4 Criteria  | The regulations do not establish any criteria or     |
| or            | standard against which the requested TANF            |
| Definitions   | definitions are to be judged. This information is    |
| Applied by    | requested as a means of providing information to the |
| TANF Agency   | public. ACF recognizes that the TANF definitions are |
| to Determine  | not the responsibility of the CCDF Lead Agency.      |
| Inability to  | Therefore, the question also asks that the TANF      |
| Obtain Child  | agency be identified.                                |
| Care          |                                                      |
|               | Attaching a copy of the applicable TANF Plan pages   |
|               | is sufficient. However, merely referring to a State  |
|               | or Territorial TANF document (e.g., "as described in |
|               | the TANF Plan submitted to ACF") would not fulfill   |
|               | the public information purpose of this question.     |
+---------------+------------------------------------------------------+
| 5.1.1 Quality | Since Congress has earmarked funds for specific      |
| Earmarks      | quality and access activities, the Plan requests     |
|               | separate descriptions of Lead Agency activities and  |
| 5.1.1         | services to improve the quality of care for infants  |
| (continued)   | and toddlers, as well as its resource and referral   |
|               | services and school-age activities. (See             |
|               | ACYF-IM-CC-99-01, January 22, 1999.)                 |
|               |                                                      |
|               | The maximum age of a toddler for purposes of the     |
|               | infant and toddler earmark is 36 months.             |
|               |                                                      |
|               | In identifying the entity performing a specific      |
|               | task, Lead Agencies are encouraged to use one of the |
|               | indicators listed in the guidance for Section 1.6    |
|               | (above).                                             |
|               |                                                      |
|               | In the past, quality and access activities have      |
|               | included funding for:                                |
|               |                                                      |
|               | -   College course development                       |
|               |                                                      |
|               | -   Compensation incentives                          |
|               |                                                      |
|               | -   Evaluation initiatives                           |
|               |                                                      |
|               | -   Grants and grants expansion                      |
|               |                                                      |
|               | -   Healthy Child Care America                       |
|               |                                                      |
|               | -   Inclusion activities that promote access to      |
|               |     child care for children with special needs       |
|               |                                                      |
|               | -   Lending libraries                                |
|               |                                                      |
|               | -   Licensing compliance activities                  |
|               |                                                      |
|               | -   Mental health consultants                        |
|               |                                                      |
|               | -   Mentoring                                        |
|               |                                                      |
|               | -   Nurse consultants                                |
|               |                                                      |
|               | -   Other provider incentives                        |
|               |                                                      |
|               | -   Program staff training                           |
|               |                                                      |
|               | -   Provider training                                |
|               |                                                      |
|               | -   Quality ratings                                  |
|               |                                                      |
|               | -   Scholarships                                     |
|               |                                                      |
|               | -   T.E.A.C.H.® (Teacher Education And Compensation  |
|               |     Helps)                                           |
|               |                                                      |
|               | -   Technical assistance                             |
|               |                                                      |
|               | -   Tiered reimbursement                             |
|               |                                                      |
|               | -   Services to children of families with limited    |
|               |     English proficiency                              |
|               |                                                      |
|               | To facilitate comparisons across States and          |
|               | Territories, Lead Agencies are encouraged to use the |
|               | terms listed above, if applicable, in describing     |
|               | their quality and access activities.                 |
+---------------+------------------------------------------------------+
| 5.1.2 Quality | Estimate the amount and percentage of the total CCDF |
| Set-Asides    | that will be used for activities and services to     |
|               | improve the quality and availability of child care,  |
|               | provide comprehensive consumer education, and/or     |
|               | increase parental choice. Show only the amount of    |
|               | the Federal CCDF funds -- including earmarked        |
|               | amounts -- and required State CCDF matching          |
|               | expenditures (i.e., do not include the cost of       |
|               | services and activities paid for with State MOE      |
|               | funds). The Lead Agency is reminded that no less     |
|               | than four percent of the total CCDF (which includes  |
|               | the State's share of the Matching fund and earmarked |
|               | funds) must be used for quality activities. (While   |
|               | the earmarked funds are included in                  |
|               | [calculating]{.underline} the "not less than four    |
|               | percent expenditure requirement," they do not count  |
|               | toward [meeting]{.underline} the four percent        |
|               | expenditure requirement.)                            |
+---------------+------------------------------------------------------+
| 5.1.3 - 5.1.4 | The list provided reflects options many Lead         |
| Quality       | Agencies have selected in the past. It is not        |
| Earmarks and  | intended to be inclusive, nor is it intended to      |
| Set-Asides    | exclude other services or activities that meet the   |
|               | intent of the Act, including other activities that   |
|               | are designed to provide consumer education to        |
|               | parents and the public, to increase parental choice, |
|               | and to improve the quality and availability of child |
|               | care (as provided under 45 CFR 98.51).. The Lead     |
|               | Agency may include other services or activities not  |
|               | on the list by indicating "Yes" in the last          |
|               | selection. The expected results of all activities    |
|               | and services marked "Yes" must be described in       |
|               | 5.1.4.                                               |
|               |                                                      |
|               | For each activity marked "Yes" and for which an      |
|               | evaluation of that activity has been conducted,      |
|               | describe the results of the evaluation. If an        |
|               | evaluation has not been conducted, describe how the  |
|               | activity will be evaluated.                          |
|               |                                                      |
|               | Below are several resources on conducting            |
|               | evaluations:                                         |
|               |                                                      |
|               | -   In 2005, the Child Care Bureau issued a program  |
|               |     instruction on how CCDF funds can be utilized    |
|               |     for research and evaluation                      |
|               |     (<http://www.acf.hhs.gov/pr                      |
|               | ograms/ccb/law/guidance/current/pi0502/pi0502.htm>). |
|               |                                                      |
|               | -   In 2003, *A Toolkit for Evaluation Initiatives   |
|               |     to Improve Child Care Quality* was developed     |
|               |     (http                                            |
|               | ://www.bankstreet.edu/gems/ICCC/QualityStudy03.pdf). |
|               |                                                      |
|               | -   The *Child Care and Early Education Research     |
|               |     Connections* website                             |
|               |                                                      |
|               |    (http://childcareresearch.org/discover/index.jsp) |
|               |     contains several topical publications on         |
|               |     assessing quality initiatives. Selected examples |
|               |     include:                                         |
|               |                                                      |
|               |     -   *Assessing Initiatives for Family, Friend    |
|               |         and Neighbor Care*                           |
|               |                                                      |
|               |   (http://childcareresearch.org/location/ccrca11787) |
|               |                                                      |
|               |     -   *Promoting Quality Through Professional      |
|               |         Development: A Framework for Evaluation      |
|               |         (*after-school care)                         |
|               |                                                      |
|               |    (http://childcareresearch.org/location/ccrca4243) |
|               |                                                      |
|               | In identifying the entity performing a specific      |
|               | task, Lead Agencies are encouraged to use one of the |
|               | indicators listed in the guidance for Section 1.6    |
|               | (above).                                             |
+---------------+------------------------------------------------------+
| 5.2 Good      | As part of the President's *Good Start, Grow Smart*  |
| Start, Grow   | initiative and consistent with the intent of         |
| Smart         | Congress as expressed in the No Child Left Behind    |
| Planning and  | (NCLB) Act of 2001 (Pub. L 107-110), the             |
| Development   | Administration has proposed a stronger Federal-State |
|               | partnership in the delivery of quality early         |
| 5.2           | childhood services. Statutorily, this initiative is  |
| (continued)   | supported by Sections 658D(b)(1)(D), 658E(c)(3)(B),  |
|               | and 658G of the Child Care and Development Block     |
|               | Grant (CCDBG) Act of 1990, as amended. These         |
|               | sections require States and Territories to           |
|               | coordinate the provision of child care services with |
|               | other Federal, State, and local child care and early |
|               | childhood development programs and to use a portion  |
|               | of the funding they receive to improve the quality   |
|               | of child care services.                              |
|               |                                                      |
|               | ACF's authority rests on its inherent and legal      |
|               | right to information about how funds are being       |
|               | spent. Further, Section 658G requires States and     |
|               | Territories to expend at least 4 percent of their    |
|               | funding for certain activities, including quality    |
|               | improvement activities, and the voluntary guidelines |
|               | are an appropriate quality improvement activity. The |
|               | regulations at 45 CFR 98.16(r) provide that a State  |
|               | plan "shall contain\...(r) Such other information as |
|               | specified by the Secretary." These provisions        |
|               | provide the basis for requesting information from    |
|               | the States and Territories.                          |
|               |                                                      |
|               | The coordination provisions of Section 658D(B)(1)(D) |
|               | can be read in conjunction with the requirements of  |
|               | the NCLB Act -- in particular the "Reading First"    |
|               | program found at 20 SC 6301(11) of the NCLB Act, the |
|               | "Early Reading First" program found at 20 USC 6371,  |
|               | et seq., the William F. Goodling Even Start Family   |
|               | Literacy Programs found at 20 USC 6381, et seq., and |
|               | the Ready-to-Learn Television provisions. Given the  |
|               | provisions of the NCLB Act and the quality and       |
|               | coordination requirements of CCDF, it will be to a   |
|               | State's or Territory's benefit to work in a          |
|               | coordinated way to develop voluntary guidelines for  |
|               | early learning that align with the State's or        |
|               | Territory's standards for K-12.                      |
|               |                                                      |
|               | Lead Agencies are asked to describe the progress of  |
|               | its State or Territory in developing: 1) voluntary   |
|               | State guidelines on literacy, language, pre-reading, |
|               | and early math concepts for children ages 3 to 5     |
|               | that are in alignment with State K-12 standards      |
|               | (Section 5.2.1); 2) a plan for the professional      |
|               | development and training of child care teachers,     |
|               | providers and administrators to enable them to       |
|               | support the school readiness of young children       |
|               | (Section 5.2.5); and 3) a plan for coordination      |
|               | across early childhood programs and funding streams  |
|               | (Section 2.1.2). The intent of these questions is to |
|               | determine what States and Territories are doing to   |
|               | further the early learning and school readiness of   |
|               | young children. In this context, "What States are    |
|               | doing" is broadly construed to include relevant      |
|               | activities being carried out with leadership from    |
|               | the CCDF Lead Agency as well as other entities       |
|               | within the State or Territory. For instance, the     |
|               | development of guidelines may be under the auspices  |
|               | of the State Education agency. In this example, the  |
|               | CCDF Lead Agency would describe those efforts,       |
|               | including the Lead Agency's involvement to ensure    |
|               | that the guidelines are appropriate to children      |
|               | served in a variety of child care settings.          |
|               |                                                      |
|               | For purposes of *Good Start, Grow Smart* and Section |
|               | 5.2 of the preprint, the following definitions       |
|               | apply:                                               |
|               |                                                      |
|               | -   *Benchmarks or indicators*: examples of          |
|               |     behaviors that indicate progress toward, or      |
|               |     attainment of, knowledge and competencies in a   |
|               |     particular knowledge domain; for example,        |
|               |     ability to follow simple directions is an        |
|               |     indicator of the child's progress towards        |
|               |     achieving competence in the listening/receptive  |
|               |     area of the language domain.                     |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   *Early learning guidelines*: research-based,     |
|               |     measurable expectations about what children      |
|               |     should know (understand) and do (competencies    |
|               |     and skills) in different domains of learning.    |
|               |     While these guidelines may be voluntary in their |
|               |     implementation, they should be relevant without  |
|               |     regard to child care setting or whether or not a |
|               |     child has spent his or her preschool years in    |
|               |     the care of a parent. Early learning guidelines  |
|               |     differ from instructional guidelines, i.e.,      |
|               |     guidelines that identify the processes or        |
|               |     practices that support development of knowledge, |
|               |     competencies and skills in children.             |
|               |                                                      |
|               | ```{=html}                                           |
|               | <!-- -->                                             |
|               | ```                                                  |
|               | -   *Guiding principles*: broad statements of the    |
|               |     goals that provide a framework for the           |
|               |     development, implementation, and assessment of   |
|               |     early learning guidelines at the State or        |
|               |     Territory level. The guiding principles          |
|               |     underlying the development of early learning     |
|               |     guidelines may include statements such as: *"The |
|               |     need to improve outcomes for young children and  |
|               |     their families and to assure that every child    |
|               |     enters school with the skills and competencies   |
|               |     necessary to succeed."*                          |
|               |                                                      |
|               | -   *Knowledge domain*: a set of elements that       |
|               |     defines the content of a particular knowledge    |
|               |     area. For example, in early childhood, the       |
|               |     language domain includes spoken/expressive       |
|               |     language and listening/receptive language; the   |
|               |     literacy domain includes phonological awareness, |
|               |     book knowledge, print awareness, early writing   |
|               |     and alphabet knowledge. Other knowledge domains  |
|               |     include: social, emotional, physical, cognitive, |
|               |     science, mathematics, creative arts, and         |
|               |     approaches to learning.                          |
+---------------+------------------------------------------------------+
| 5.2.1 --      | **Current Status.** States and Territories are at    |
| 5.2.4         | various stages in developing early learning          |
|               | guidelines, and this has important implications for  |
| Voluntary     | the work they will do in connection with *Good       |
| Early         | Start, Grow Smart.* This section provides an         |
| Learning      | opportunity for a Lead Agency to describe the        |
| Guidelines    | progress of its State or Territory toward developing |
|               | early learning guidelines, and in particular         |
| 5.2.1 --      | describe the progress made by the State and          |
| 5.2.4         | Territories since the submission of the 2006-2007    |
| (continued)   | State Plan.                                          |
|               |                                                      |
| 5.2.1 --      | **Process.** Some States and Territories may have    |
| 5.2.4         | guidelines that were developed for pre-kindergarten  |
| (continued)   | programs without the involvement of the child care   |
|               | community. If these guidelines are research-based,   |
|               | and consistent with the definition of early learning |
|               | guidelines described above, the Lead Agency may      |
|               | indicate that they will work with their State        |
|               | Education Agency to develop a plan for engaging the  |
|               | child care community in the review, dissemination,   |
|               | and implementation of the guidelines.                |
|               |                                                      |
|               | Early learning guidelines should align with          |
|               | guidelines/standards for children in kindergarten    |
|               | through later grades. To this end, a number of       |
|               | States have assessed the types of knowledge,         |
|               | competencies, and skills that children are expected  |
|               | to develop once they enter school and have designed  |
|               | broad guidelines covering the desirable and general  |
|               | competencies and skills needed to support effective  |
|               | learning upon entering school.                       |
|               |                                                      |
|               | Note: If other departments in State or Territorial   |
|               | government have not yet designated the entity/person |
|               | that will be involved in developing guidelines, a    |
|               | Lead Agency can indicate in the plan that it will    |
|               | take steps to work with the entity/person when       |
|               | designated.                                          |
|               |                                                      |
|               | **Domains.** Early learning guidelines reflect       |
|               | expectations for children's development of           |
|               | knowledge, skills and competencies in various        |
|               | [domains]{.underline}, such as language, cognition,  |
|               | early literacy, early math concepts, and social and  |
|               | emotional competence. These competencies differ for  |
|               | children of different ages, e.g., infants, toddlers, |
|               | and preschoolers. The *Good Start, Grow Smart*       |
|               | presidential initiative addresses knowledge and      |
|               | competencies for children ages three to five years,  |
|               | in the domains of early language, literacy,          |
|               | pre-reading, and early math concepts. However, many  |
|               | States and communities have developed, or are in the |
|               | process of developing, early learning guidelines     |
|               | that address other domains of learning, as well as   |
|               | children younger than three.                         |
|               |                                                      |
|               | **Implementation.** In order for guidelines to be    |
|               | implemented across diverse early care and education  |
|               | settings, information about the purpose, benefits,   |
|               | and appropriate implementation of the guidelines     |
|               | needs to be disseminated among all early childhood   |
|               | stakeholder groups. In some instances, dissemination |
|               | and implementation has been facilitated by piloting  |
|               | the guidelines in selected groups of settings and    |
|               | providing training on best practices to mentors,     |
|               | technical assistance specialists and parents. In     |
|               | addition, some States and communities tie            |
|               | implementation of early learning guidelines to       |
|               | systems of licensing and certification; require      |
|               | implementation in targeted settings in exchange for  |
|               | public funding; or support implementation through    |
|               | different types of incentives.                       |
|               |                                                      |
|               | **Assessment.** The principal goal of *Good Start,   |
|               | Grow Smart* is to support research-based early       |
|               | childhood education strategies that will result in   |
|               | young children having the knowledge, competencies,   |
|               | skills, and dispositions they need to progress and   |
|               | succeed in school. In developing the component parts |
|               | of *Good Start, Grow Start*, States and Territories  |
|               | are encouraged to actively consider what types of    |
|               | research and evaluation may be helpful in            |
|               | demonstrating the effects associated with            |
|               | development and implementation of early learning     |
|               | guidelines, provider training and education, and     |
|               | increased coordination among early childhood         |
|               | programs. In addition, some States and communities   |
|               | are implementing diagnostic assessments designed to  |
|               | screen children for risk factors and classroom-based |
|               | instructional assessments designed to inform         |
|               | teaching and services throughout the school-year.    |
+---------------+------------------------------------------------------+
| 5.2.5         | Early learning guidelines that offer a clear and     |
|               | specific vision for what young children should know  |
| State Plans   | and be able to do when they enter school provide     |
| for           | States and Territories with a solid basis for their  |
| Professional  | professional development plans. A professional       |
| Development   | development plan should address the competencies     |
|               | providers in different child care settings need to   |
| 5.2.5         | ensure that young children acquire the knowledge,    |
| (continued)   | skills and abilities suggested by the State's early  |
|               | learning guidelines. This, in turn, guides the       |
|               | implementation of specific provider education and    |
|               | training strategies and provides the basis for       |
|               | evaluating the effectiveness of the strategies in    |
|               | achieving desired outcomes.                          |
|               |                                                      |
|               | This section provides an opportunity for Lead        |
|               | Agencies to describe: their progress toward          |
|               | developing plans, their plans as currently           |
|               | implemented, and revisions to their current plans.   |
|               | In particular, Lead Agencies are asked to describe   |
|               | the progress and changes made since the submission   |
|               | of the 2006-2007 State Plan.                         |
|               |                                                      |
|               | If a Lead Agency has addressed its plans for         |
|               | professional development under Section 5.1.3, it can |
|               | reference those sections in Section 5.2.5.           |
|               |                                                      |
|               | **Plans.** Research emphasizes the need for a        |
|               | systematic approach to professional development that |
|               | addresses the individual needs of learners. In this  |
|               | section, professional development is defined as      |
|               | systems of training and instruction developed for    |
|               | the purpose of improving the preparation and ongoing |
|               | development of child care providers. States and      |
|               | Territories are encouraged to develop systems of     |
|               | professional development in partnerships with key    |
|               | stakeholders that are: comprehensive and aligned     |
|               | with other efforts to support early learning in      |
|               | children; built on a clearly articulated             |
|               | philosophical framework and core body of knowledge;  |
|               | tied in content and approach to the needs of the     |
|               | population served; oriented to providing a continuum |
|               | of training opportunities, including a variety of    |
|               | formats and service delivery models (such as         |
|               | coaching and mentoring); and linked to a system of   |
|               | licensing, credentials, and/or certification.        |
|               |                                                      |
|               | **Goals:**                                           |
|               |                                                      |
|               | Articulated goals identify desired outcomes,         |
|               | providing a foundation for plan development,         |
|               | implementation, and revisions. They can contribute   |
|               | to decision-making, help determine the type and      |
|               | level of stakeholder involvement, and inform the     |
|               | standards for assessing effectiveness.               |
|               |                                                      |
|               | **Incentives.** Examples of provider-level           |
|               | incentives that might encourage participation in     |
|               | professional development include: training           |
|               | scholarships; loan forgiveness programs; merit       |
|               | awards or completion bonuses; wage enhancement       |
|               | initiatives; and credits for continuing education.   |
|               |                                                      |
|               | Examples of program-level incentives that might      |
|               | encourage provider participation in professional     |
|               | development include: tiered reimbursement; quality   |
|               | rating systems; support for substitute pools; and    |
|               | providing supplies and/or equipment.                 |
|               |                                                      |
|               | **Outcomes.** Professional development plans may     |
|               | include approaches or processes to assess            |
|               | achievement of articulated goals and/or desired      |
|               | outcomes of the overall plan, and to gauge           |
|               | effectiveness of outcomes of components of the plan. |
|               | A State might conduct or commission a study to       |
|               | determine how well a plan is being implemented, if   |
|               | the desired outcomes have been achieved, or if one   |
|               | component of the plan is more effective than         |
|               | another. Reports generated by automated tracking     |
|               | systems or developed by local training entities are  |
|               | sometimes used to gauge participation levels,        |
|               | movement in professional achievement, retention      |
|               | rates, or increased wages. Consideration should be   |
|               | given to assessment plans that take into account the |
|               | past experiences, strengths, knowledge and needs of  |
|               | participants; acknowledge cultural and linguistic    |
|               | diversity; and assist participants in advancing to   |
|               | higher levels of professional development.           |
+---------------+------------------------------------------------------+
| 1.  Health    | **NOTE:** Part 6 is completed by the 50 States and   |
|     and       | the District of Columbia only. Territories complete  |
|     Safety    | Part 7.                                              |
|               |                                                      |
|  Requirements | Section 658E(c)(2)(E) of the CCDBG Act requires the  |
|     for       | Lead Agency to provide "a detailed description" of   |
|     Providers | its licensing requirements. The National Resource    |
|               | Center for Health and Safety in Child Care (NRCHSCC) |
| 6.1           | provides a comprehensive, current, on-line listing   |
| (continued)   | of the licensing and regulatory requirements for     |
|               | child care in the 50 States and the District of      |
|               | Columbia. The listing, which is maintained by the    |
|               | University of Colorado Health Sciences Center School |
|               | of Nursing, is readily available to the public on    |
|               | the World Wide Web at:                               |
|               | [http://nrc.uchsc.edu](http://nrc.uchsc.edu/).       |
|               |                                                      |
|               | ACF accepts the NRCHSCC compilation as fulfilling    |
|               | the statutory requirement. Nevertheless, [the Lead   |
|               | Agency should verify that the NRCHSCC listing        |
|               | accurately reflects the State requirements. If the   |
|               | NRCHSCC listing is inaccurate, contact them at       |
|               | 800.598.5437 or e-mail:]{.underline}                 |
|               | <Natl.child.res.ctr.@UCHSC.edu>.                     |
|               |                                                      |
|               | The first question in each section of Part 6 (6.1.1, |
|               | 6.2.1, 6.3.1 and 6.4.1) is designed to show if all   |
|               | care in the stated category is licensed. As          |
|               | indicated, if all care is licensed, the Lead Agency  |
|               | answers "Yes" to the first question, responds to the |
|               | second question related to changes in licensing      |
|               | requirements, and skips the third question. If any   |
|               | care in the stated category is not licensed, the     |
|               | Lead Agency must describe which providers are exempt |
|               | from licensing under State law and complete the      |
|               | questions on health and safety requirements that     |
|               | apply only to that unlicensed care (6.1.3, 6.2.3,    |
|               | 6.3.3, and/or 6.4.3).                                |
|               |                                                      |
|               | Example: All center-based care in the State is       |
|               | licensed except that provided in school-based        |
|               | programs. The Lead Agency checks "NO" in the         |
|               | response to 6.1.1, lists school-based programs as an |
|               | exempt category of care, and describes in 6.1.3 the  |
|               | health and safety requirements that apply to         |
|               | school-based centers.                                |
|               |                                                      |
|               | Legal care that is not licensed by the State is not  |
|               | included in the NRCHSCC listing and must be          |
|               | described in the appropriate section of Part 6.      |
|               |                                                      |
|               | Example: A caregiver caring for fewer than three     |
|               | unrelated children is registered by the Lead Agency, |
|               | but is not licensed. Because such caregivers are not |
|               | licensed they are not included in the State NRCHSCC  |
|               | listing. The health and safety requirements for      |
|               | these providers must be described.                   |
+---------------+------------------------------------------------------+
| 6.5           | The Lead Agency has the option to exempt from its    |
| Exemptions to | health and safety requirements only those relatives  |
| Health and    | specifically mentioned in the Act; it is not         |
| Safety        | required to exempt them. The Lead Agency should      |
| Requirements  | indicate its policy regarding relative providers. If |
|               | relative providers are subject to different          |
|               | requirements than licensed providers, the            |
|               | requirements that apply to relatives must be         |
|               | described.                                           |
+---------------+------------------------------------------------------+
| 6.6           | Under the statute and regulations that govern CCDF,  |
| Enforcement   | each Lead Agency is required to certify the          |
| of Health and | procedures that are in effect to ensure that         |
| Safety        | providers serving children whose care is subsidized  |
| Requirements  | through CCDF comply with applicable health and       |
|               | safety standards.                                    |
|               |                                                      |
|               | Lead Agencies are to indicate whether or not they    |
|               | conduct routine unannounced visits on child care     |
|               | providers, perform background checks on providers    |
|               | (or their family members), and/or require that       |
|               | providers report serious injuries that occur while a |
|               | child is in care. In addition, Lead Agencies are     |
|               | asked to describe other methods used to ensure that  |
|               | health and safety requirements are enforced. This    |
|               | might include information about the percent of       |
|               | providers inspected annually, the number of          |
|               | inspections conducted annually, the length of time   |
|               | between inspections, etc.                            |
|               |                                                      |
|               | For purposes of this section, "routine" unannounced  |
|               | visits are those that are conducted as a matter of   |
|               | policy, not for purposes of licensing or formal      |
|               | complaint investigation. "Serious injuries" are      |
|               | defined as injuries to a child in care that require  |
|               | medical treatment by a doctor, nurse, dentist, or    |
|               | other medical professional.                          |
+---------------+------------------------------------------------------+
| Part 7        | Only Puerto Rico, the Virgin Islands, Guam, the      |
|               | Commonwealth of the Northern Mariana Islands and     |
| 7.1 - 7.4     | American Samoa complete Part 7.                      |
| Health and    |                                                      |
| Safety        | Because the Territories are not included in the      |
| Requirements  | NRCHSCC compilation, the health and safety           |
| for Providers | requirements must be described for all four          |
| in the        | categories of care. The health and safety            |
| Territories   | requirements for all care, whether licensed,         |
|               | regulated, or otherwise legal, that is paid for with |
|               | CCDF funds must be described.                        |
+---------------+------------------------------------------------------+
| 7.5           | The Lead Agency has the option to exempt from its    |
| Exemptions to | health and safety requirements only those relatives  |
| Territorial   | specifically mentioned in the Act; it is not         |
| Health and    | required to exempt them. The Lead Agency should      |
| Safety        | indicate its policy regarding relative providers. If |
| Requirements  | relative providers are subject to different          |
|               | requirements than licensed providers, the            |
|               | requirements that apply to relatives must be         |
|               | described.                                           |
+---------------+------------------------------------------------------+
| 7.6           | Under the statute and regulations that govern CCDF,  |
| Enforcement   | each Lead Agency is required to certify the          |
| of            | procedures that are in effect to ensure that         |
| Territorial   | providers serving children whose care is subsidized  |
| Health and    | through CCDF comply with applicable health and       |
| Safety        | safety standards.                                    |
| Requirements  |                                                      |
|               | Lead Agencies are to indicate whether or not they    |
|               | conduct routine unannounced visits, perform          |
|               | background checks on providers (or their family      |
|               | members), and/or require that providers report       |
|               | serious injuries that occur while a child is in      |
|               | care. In addition, Lead Agencies are asked to        |
|               | describe other methods used to ensure that health    |
|               | and safety requirements are enforced. This might     |
|               | include information about the percent of providers   |
|               | inspected annually, the number of inspections        |
|               | conducted annually, the length of time between       |
|               | inspections, etc.                                    |
|               |                                                      |
|               | For purposes of this section, "routine" unannounced  |
|               | inspections are those that are conducted as a matter |
|               | of policy, not for purposes of licensing or          |
|               | complaint investigation. "Serious injuries" are      |
|               | defined as injuries to a child in care that require  |
|               | medical treatment by a doctor, nurse, dentist, or    |
|               | other medical professional.                          |
+---------------+------------------------------------------------------+
| Appendix 1 -- | Note that the Plan does not include the additional   |
|               | certifications listed at 45 CFR 98.13(b)(2)-(6),     |
| Program       | i.e., lobbying, drug-free workplace, debarment,      |
| Assurances    | nondiscrimination and smoking prohibitions. These    |
| and           | certifications were obtained in the 1997 Plan and    |
| C             | need not be collected again. Even if the Lead Agency |
| ertifications | has changed, these certifications apply to the       |
|               | successor agency.                                    |
+---------------+------------------------------------------------------+
| Appendix 2 -- |                                                      |
| Eligibility   |                                                      |
| and Priority  |                                                      |
| Terminology   |                                                      |
+---------------+------------------------------------------------------+
| "in loco      | Those who may serve "in the parent's place" for      |
| parentis"     | purposes of the CCDF must be identified. For         |
|               | example: *"any blood relative with custody (whether  |
|               | or not court-ordered) or any person with             |
|               | court-ordered custody."* A definition such as "a     |
|               | person acting in the parent's place" is not          |
|               | adequate.                                            |
+---------------+------------------------------------------------------+
| "Protective   | A Lead Agency that chooses to provide respite care   |
| Services"     | to children in protective services (as indicated in  |
|               | questions 3.3.7 and 3.3.8) must explain the          |
|               | circumstances under which respite care is offered.   |
|               | As explained in the preamble at 63 FR 39949, respite |
|               | care can only be used in cases where a child         |
|               | receives or needs to receive protective services.    |
|               |                                                      |
|               | Because the use of respite child care may differ     |
|               | from how it is used/defined for other purposes (such |
|               | as child welfare), the definition should address who |
|               | makes the determination that a child "needs to       |
|               | receive" protective services.                        |
+---------------+------------------------------------------------------+
| "Special      | The Lead Agency should distinguish between "special  |
| Needs"        | needs" for purposes of payment rates (i.e., children |
|               | with disabilities), if applicable, and "special      |
|               | needs" for purposes of prioritizing services.        |
+---------------+------------------------------------------------------+
| "Very low     | As indicated in Section 3.3.1, the Act governing the |
| income"       | CCDF requires States and Territories to give         |
|               | priority to families with "very low income."         |
+---------------+------------------------------------------------------+
| Appendix 3 -- | The Additional Certifications required by CCDF       |
| Additional    | Regulations have already been completed and are on   |
| C             | file with ACF. No additional action is required      |
| ertifications | unless a State transfers authority over CCDF to      |
|               | another Lead Agency.                                 |
+---------------+------------------------------------------------------+
| Required      | States and Territories should list the name and      |
| Attachments   | number of each attachment to their CCDF Plan in the  |
|               | table of contents. If States wish to include         |
| Required      | additional attachments that are not required, those  |
| Attachments.  | additional attachments should be labeled with a      |
| (continued)   | description and a cross reference to the section to  |
|               | which the attachment relates (e.g., Attachment 2.2a  |
|               | -- Copy of Flyer Announcing Public Hearing).         |
+---------------+------------------------------------------------------+