1 CCDF Tribal Plan Preprint

Child Care and Development Fund for Tribes for FFY 2020 - 2022

118A Preprint_CLEAN AFTER 30DAY_TOC_v4

OMB: 0970-0198

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2024-05-28 - No material or nonsubstantive change to a currently approved collection
2022-11-02 - No material or nonsubstantive change to a currently approved collection

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ACF-118A; OMB Approval Number: 0970-0198
Expiration Date: Under revision and/or review

The Paperwork Reduction Act of 1995 (Public Law 104-13)

Through this information collection, ACF is gathering data on the Tribal Lead Agency’s grant program to
understand the design and effectiveness of the program and to inform technical assistance needs. Public
reporting burden for this collection of information is estimated to average 120 hours per response for Part I (for
all Tribal Lead Agencies) and 24 hours per response for Part II (for medium and large Tribal Lead Agencies),
including the time for reviewing instructions, gathering and maintaining the data needed, reviewing the collection
of information. This collection of information is required to retain a benefit (Pub. L. 105-285, section 680(b) as
amended). An agency may not conduct or sponsor, and a person is not required to respond to, a collection of
information subject to the requirements of the Paperwork Reduction Act of 1995, unless it displays a currently
valid Office of Management and Budget (OMB) control number. The OMB # is 0970-0198 and the expiration date
is 01/31/2023. If you have any comments on this collection of information, please contact Meryl Barofsky, Office
of Child Care, by email at Meryl.Barofsky@acf.hhs.gov.

Child Care and Development Fund
for
Tribal Lead Agency:
FFY 2023–2025
This Plan describes the Child Care and Development Fund (CCDF) program to be administered by the Tribal
Lead Agency for the period from 10/1/2022 to 9/30/2025. As provided for in the applicable statutes and
regulations, the Tribal Lead Agency has the flexibility to modify this program at any time, including amending
the options selected or described herein.

For purposes of simplicity and clarity, the specific provisions printed herein of applicable laws and regulations are
sometimes paraphrases of, or excerpts and incomplete quotations from, the full text. The Tribal Lead Agency
acknowledges its responsibility to adhere to them regardless of these modifications.

Contents
Contents ................................................................................................................................ 3
Introduction and How To Approach Plan Development .......................................................... 6
1 Define CCDF Leadership and Coordination With Relevant Systems .................................... 8
Tribal CCDF Applicant .........................................................................................................8
Designated Tribal Lead Agency ..........................................................................................9
Administration Through Contracts or Agreements ......................................................... 10
Consultation in the Development of the Tribal CCDF Plan ..............................................11
Indian Child and Indian Reservation or Service Area ....................................................... 13
Child Count .......................................................................................................................14
Types of CCDF Providers ..................................................................................................15
Coordination of Services .................................................................................................. 16
Program Integrity and Accountability .............................................................................. 18
Disaster Preparedness and Response Plan ......................................................................19
2 Establish Standards and Monitoring Processes To Ensure the Health and Safety of Child
Care Settings .................................................................................................................. 22
Overview of Health and Safety Standards and Monitoring ............................................. 22
Health and Safety Standards and Training Requirements for CCDF Providers................24
Monitoring and Enforcement Policies and Practices for CCDF Providers........................34
Exemptions for Relative Providers ................................................................................... 36
Comprehensive Background Checks ................................................................................ 37
3 Supporting Continuous Quality Improvement ................................................................. 53
Quality Improvement Goals and Activities ...................................................................... 53
Supporting Training and Professional Development of the Child Care Workforce With
CCDF Quality Funds ..........................................................................................................60
4 Tribal Lead Agencies With Small Allocations Only—Direct Services ................................. 62
Direct Child Care Services Offering ..................................................................................62
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Direct Child Care Methods ............................................................................................... 62
Categories of Care ............................................................................................................63
Eligibility Criteria ..............................................................................................................63
Family Contributions/Co-payments ................................................................................. 65
Payment rates .................................................................................................................. 66
Application for services .................................................................................................... 66
5 Provide Stable Child Care Financial Assistance to Families (Tribal Lead Agencies With
Medium and Large Allocations) ...................................................................................... 67
5.1 Eligible Children and Families .......................................................................................... 67
67
Application and Eligibility Determination/Redetermination Process.............................. 74
Improving Access for Vulnerable Children and Families..................................................80
Family Contribution to Payments ....................................................................................82
6 Ensure Equal Access to Quality Child Care for Low-Income Children (Tribes with Medium
and Large Allocations) .................................................................................................... 86
Description of Direct Child Care Services .........................................................................86
Assessing Child Care Market Rates .................................................................................. 89
Establishing Adequate Payment Rates............................................................................. 89
Implement Generally Accepted Payment Practices and Ensure Timeliness of
Payments ..........................................................................................................................92
7 Promote Family Engagement Through Outreach and Consumer Education (Tribal Lead
Agencies with Medium and Large Allocations) ................................................................ 96
Parental-Complaint Process .............................................................................................96
Consumer Education for Families, Providers, and the Public ..........................................97
Monitoring and Enforcement Policies and Practices for CCDF Providers........................98
Additional Consumer and Provider Education ...............................................................101
Procedures for Providing Information on Developmental Screenings ..........................104
Consumer Statement for Families Receiving CCDF Program Funds ..............................105
4

Triennial Child Count Declaration ....................................................................................... 108
Triennial Child Count Declaration (P.L. 102-477).................................................................. 111
Tribal Early Learning Initiative ............................................................................................ 113

Introduction and How To Approach Plan Development
The Child Care and Development Fund (CCDF) program provides resources to state, territory, and Tribal
Lead Agencies that enable low-income parents to work or pursue education and training so that they can
better support their families and can promote the learning and development of their children. The CCDF
program also provides funding to enhance the quality of child care for all children. On November 19,
2014, the Child Care and Development Block Grant (CCDBG) Act of 2014 was signed into law (Public Law
[P.L.] 113-186). The law reauthorizes and significantly revises the purposes of the CCDF program and
requirements for states and territories, but Congress left discretion to the U.S. Department of Health and
Human Services (HHS) to determine how the new provisions would apply to Tribes.
In September 2016, the CCDF Final Rule was released outlining the regulatory requirements for the CCDF
program based on the CCDBG Act of 2014. The CCDF program requirements protect the health and safety
of children in child care; help families make informed consumer choices and access information to
support child development; provide equal access to stable child care for low-income children; and
enhance the quality of child care and the early childhood workforce.
Tribal flexibility includes tiered requirements based on the size of their allocation: Tribal Lead Agencies
with small, medium, and large allocations. The CCDF Final Rule exempts Tribal Lead Agencies with small
allocations (less than $250,000 in fiscal year [FY] 2016) from the majority of the CCDF program
requirements, allowing those Tribal Lead Agencies more flexibility in how to spend their CCDF program
funds and how to focus those funds on health and safety and quality activities. Tribal Lead Agencies with
small allocations must spend their CCDF program funds in alignment with the goals and purposes of the
CCDF program and must comply with the health and safety, monitoring, background checks, and quality
spending requirements. To align with these limited CCDF program requirements, Tribal Lead Agencies
with small allocations will complete an abbreviated CCDF Plan. This approach balances increased
flexibility with accountability, and allows Tribal Lead Agencies with small allocations to spend their CCDF
program funds in ways that would most benefit their communities.
The CCDF Plan developed by Tribal Lead Agencies is the primary mechanism that the Administration for
Children and Families (ACF) uses to determine Tribal Lead Agency compliance with the requirements of
the law and Final Rule. This CCDF Plan Preprint consists of two parts, which are aligned with the
flexibilities that Tribal Lead Agencies have based on the size of their CCDF allocation.
Part I (for Tribal Lead Agencies with small, medium, and large allocations):
1) Define CCDF Leadership and Coordination With Relevant Systems
2) Establish Standards and Monitoring Processes To Ensure the Health and Safety of Child Care Settings
3) Supporting Continuous Quality Improvement
4) Tribal Lead Agencies With Small Allocations: Direct Services.

Part II (for Tribal Lead Agencies with medium and large allocations only):
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5) Provide Stable Child Care Financial Assistance to Families
6) Ensure Equal Access to Quality Child Care for Low-Income Children
7) Promote Family Engagement Through Outreach and Consumer Education.
These sections reflect key functions of an integrated system of child care for low-income working families.
The intention is that Tribal Lead Agencies and the Federal Government will be able to use this information
to track and assess progress, determine the need for technical assistance (TA), and determine compliance
with specific requirements and deadlines.
Plan Amendments: Tribal Lead Agencies are required to request approval from OCC through the
CARS system whenever a “substantial” change in the Tribal Lead Agency’s approved CCDF Plan
occurs. Please refer to the ACF Program Instruction regarding CCDF Approval of Plan Amendments,
CCDF-ACF-PI-2009-01, for specific details and timelines specific to the Plan amendment process.
Note: All requirements not fully implemented in accordance with CCDF regulations are subject to
compliance actions, such as corrective actions and/or penalties.

Tribal Lead Agencies are encouraged to access additional guidance for their CCDF Plans through:


Tribal Child Care and Development Fund: Guide for New Administrators



CCDF Final Rule: Overview for American Indian and Alaska Native Grantees



Child Care and Development Fund Final Rule Tribal Fact Sheet

Additional questions should be directed to the OCC Regional Office.

1 Define CCDF Leadership and Coordination With Relevant Systems
This section provides information on how the CCDF program is administered, including the designated
Tribal Lead Agency and administrative structure. It also addresses who was consulted in the development
of the Tribal CCDF Plan and how the Tribal Lead Agency plans to coordinate CCDF services with other
entities.
Tribal CCDF Applicant
Tribal Applicant?
Tribe or Tribal Consortium Information:
Official name of the federally recognized Tribe as listed in the Federal Register or Tribal Consortium:
Name of Tribal Chair, President, or Leader:
Title:
Address:
City, State, ZIP Code:
Telephone number: (

)

Ext:

Email address:
Tribal Consortium
Tribal Consortiums refer to a partnership between two or more Tribal governments authorized by the
governing bodies of those Tribes to allow the Tribal Consortium to apply for and receive funding on behalf
of the member Tribes.
Are you a Tribal Consortium?
No (Skip to Section 1.2)
Yes
Participating Member Tribes/Alaska Native Villages
Provide a comprehensive list of the participating member Tribes/Alaska Native villages and include
demonstrations from the consortium’s participating Tribes indicating that the consortium has the
authority to seek funding on their behalf. Each consortium member must provide a demonstration
every three years for the consortium Lead Agency to include with the plan submission. The purpose of
the demonstration is to show that the member has authorized the consortium Lead Agency to act on
its behalf.

Examples of demonstrations include a Tribal Resolution, a letter signed by the current Tribal Leader,
or another official document from the Tribal/village government (98.80(c)(1-4); 98.81(b)(8)(i)).
For Alaska Native Regional Nonprofit Corporations, the list and demonstrations are for purposes of
discretionary funds only.
Confirm the consortium members:
***The CARS system will prepopulate consortium members from FY 2020 child count. Tribal Lead
Agency should confirm each tribe listed is currently a member and update with any changes.
The current demonstrations are provided as Attachment #:
If there is any change in the consortium membership, the Tribal Lead Agency must notify OCC
through an amendment to the Plan. Any consortium member Tribe seeking to apply for its own CCDF
grant funds must first withdraw from the Tribal Consortium and contact OCC to initiate a separate
application for its own funds. OCC must receive the application on or before July 1 prior to the year in
which the Tribe is seeking CCDF program funds.
Coordinated Services on behalf of participating member Tribes/Villages
A Tribal Consortium must describe how it coordinates services on behalf of each of its participating
member Tribes/villages.
Summarize how the consortium is coordinating services (including direct services) on behalf of each
participating member (98.81(b)(8)(ii); 98.83(c)(1)).
Describe how child care services are provided to each member of a Tribe/village:
Designated Tribal Lead Agency
The Tribe or Tribal Consortium will designate an agency to represent the Tribe/consortium as the Tribal Lead
Agency. This designated agency agrees to administer the Tribal CCDF program in accordance with applicable
Federal laws and regulations and the provisions of this Plan, including the attached assurances and
certifications (658D; 658E(c)(1); 98.83(a)).
The Tribal Lead Agency can be a department or sub-agency, such as the CCDF department, human services
department, workforce development department, and in some cases, the Tribe will administer the CCDF
program.
Note: An amendment to the CCDF Tribal Plan is required in the event of a change in the designated Tribal
Lead Agency.
Designated Agency
Designated Agency by the Tribe or Tribal Consortium
Which agency has been designated by the Tribe or Tribal Consortium to administer the CCDF
program?
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Name of Tribal Lead Agency:
Web address for Tribal Lead Agency (if any):
Tribal CCDF Administrator
Identify the CCDF Administrator designated by the Tribal Lead Agency, the day-to-day contact person, or
the person responsible for administering the Tribal CCDF program. If there is more than one designated
contact person with shared responsibility for administering the CCDF program, please identify the CoAdministrator/Assistant Administrator and include relevant contact information.
Contact information for the Tribal CCDF Administrator:
Name of Tribal CCDF Administrator:
Title:
Mailing address:
Physical address (if different than mailing address):
Phone number: (

)

Cell phone number: (

Ext:

)

Email address:
1.2.2.2 Contact Information for Tribal CCDF Co-Administrator/Assistant Administrator (if applicable):
Name of Tribal CCDF Co-Administrator/Assistant Administrator:
Title:
Mailing address (if different from above):
Physical address (if different than mailing address):
Phone number: (
Cell phone number: (

)

Ext:
-

Email address:
Administration Through Contracts or Agreements
The Tribal Lead Agency has broad authority to administer the CCDF program through contracts or
agreements with other governmental, non-governmental, or other public or private local agencies. The
Tribal Lead Agency remains the single point of contact and retains overall responsibility for the
administration of the CCDF program (658D(b)(1)(A); 98.11(a)(3); 98.16(d)(1)). Examples of such agreements
could include:
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

A written agreement with another Tribal department to operate Tribal child care centers or to conduct
training and monitoring



A contract with a local agency to operate the Tribal Lead Agency’s child care program (including
determining family eligibility and issuing payments to child care providers or providing high-quality
activities).
Direct Administration and Operation
Administration and operation of the CCDF Program
Will the Tribal Lead Agency directly administer and operate the CCDF program (98.16(d)(1))?
This question does not apply to the demonstrations referenced in Section 1.1.2 between a consortium
and its participating/constituent member Tribes/villages.
Yes, the Tribal Lead Agency will directly administer and operate all aspects of the CCDF program.
No, the Tribal Lead Agency will not directly administer and implement all aspects of the CCDF
program.
Names of entities that will administer and/or operate aspects of the CCDF program

List the names of those entities that will administer and/or operate aspects of the CCDF program and
describe which aspects of the CCDF program they will administer and/or operate. List and describe:
1. What processes will the Tribal Lead Agency use to monitor administrative and implementation
responsibilities performed by other agencies? Describe:
2. Optional: Include copies of the contracts or agreements as Attachment #:
Consultation in the Development of the Tribal CCDF Plan
In the development of the Tribal CCDF Plan, the Tribal Lead Agency is required to consult with
representatives of general purpose local/ Tribal government (658D(b)(2); 98.10(c); 98.14(b)). Tribal Lead
Agencies are also required to conduct a public hearing to provide an opportunity to comment on the
provision of the child care services under the CCDF Plan (98.14(c)). For the purposes of developing this Plan,
consultation involves meeting with, or obtaining input from, appropriate representatives of the Tribal
community.
Consultation and Representation
Entities Consulted by Tribal Lead Agency
Describe how the Tribal Lead Agency consulted with representatives of general purpose local and
Tribal governments, and any other entities in the development of this plan. Describe:

Public Hearings
Tribal Lead Agencies are required to conduct a public hearing to provide those interested with an
opportunity to comment on the provision of child care services under the CCDF Plan (658D(b)(1)(C);
98.14(c)(1-3); 98.16(e)).
The Tribal Lead Agency must conduct at least one public hearing prior to the submission of the Tribal
CCDF Plan but no earlier than January 1, 2022. The Tribal Lead Agency must provide a notice of the
hearing throughout the Tribe’s service area. This notice must be provided no later than 20 days prior to
the date of the hearing. Tribal Lead Agencies must make the contents of the Plan available to the public in
advance of the hearing.
Describe the Tribal Lead Agency’s public hearing process by responding to the questions below:
Date(s) of public hearing notice(s) (at least 20 calendar days prior to the public hearing):
Date(s) of public hearing(s) (no earlier than January 1, 2022):
Location(s)/ of the public hearing(s), including virtual:
How was the public notified of the public hearing? Check only those that apply:
Family newsletter
Tribal/local media
Internet—provide website(s):
Social media (e.g., Facebook, Twitter)
Posting on community bulletin board or some other message board
Other. Describe:
Input from the public hearing(s) in the development of the final Plan.
Describe how the input from the public hearing(s) was taken into consideration in the development of
the final Plan:
No input was received.
Input was incorporated into the plan in the following ways:

Other. Describe:
Content of the Plan available to the service area prior to the public hearing.
How was the content of the Plan made available throughout the service area prior to the public
hearing? Check only those that apply:
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Tribal offices (including CCDF offices).
Internet. Provide website(s):
Email.
Other. Describe:
Plan Availability to the Public
Tribal Lead Agencies with small allocations are not required to make the final CCDF Plan or any
subsequent Plans available to the public but have the flexibility to describe if applicable.
Tribal Lead Agencies with large and medium allocations should post their Plan and Plan amendments on
a website to the extent practicable.
Final CCDF Plan and Plan Amendments available to the public.
Describe how the Tribal Lead Agency makes the final CCDF Plan and any subsequent Plan
Amendments available to the public to the extent practicable:

Indian Child and Indian Reservation or Service Area (AUTO FILLED FROM APPENDIX 1 SUBMISSION)
Identify which Indian child(ren) are counted in the Tribal Lead Agency’s child count (98.81(b)(2)(i)).
Indian Child
Programs and activities are to be carried out for the benefit of Indian children.
Although Tribal Lead Agencies have some flexibility in defining “Indian Child,” the definition must be
limited to children from federally recognized Indian Tribes, consistent with the CCDBG Act’s definition of
Indian Tribe (98.2).
This information could include children who are Tribal members, whose membership is pending, who are
eligible for membership, and/or are children/descendants of members and could also include adopted
children, foster children, step-children, etc.
The Tribal Lead Agency defines an “Indian child” as:
Indian Reservation or Service Area
Programs and activities are to be carried out for the benefit of Indian children living on or near the Indian
reservation or service area. The service area must be within reasonably close geographic proximity to the
borders of a Tribe’s reservation (except for Tribes in Alaska, California, and Oklahoma). Tribes that do not
have reservations must establish service areas within reasonably close geographic proximity to the area
where the Tribe’s population resides.
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There is an expectation that the Tribal Lead Agency will be able to provide services to families throughout
the service area. ACF will not approve an entire state as a Tribe’s service area. Tribal Lead Agencies can
limit services within the reservation boundaries or go beyond the reservation boundaries.
If a Tribal Lead Agency establishes a different service area than the borders of the Tribe’s reservation or
existing service area for CCDF purposes, it must be within reasonably close geographic proximity
(658O(c)(2)(B); 98.80(e); 98.81(b)(2)(ii); 98.81(b)(3)(ii); 98.83(b)); for example, “Permanent residence is
within the reservation boundaries; however, the participant is temporarily attending school outside of the
reservation area,” or “[the participant] resides within 20 miles of the reservation boundaries.”
The Tribal Lead Agency defines the Reservation/Service Area as:
Optional: Attach a clearly labeled map of the service
Optional: In addition to the description above, a clearly labeled map of the service area is attached.
Attachment #:

Child Count
For the purposes of determining a Tribe/Tribal organization’s annual CCDF program funding level, the
Tribal Lead Agency is required to conduct and submit a triennial child count of children younger than
age 13, as defined in 98.81(b)(2)(i). The Child Count Declaration will be submitted every 3 years with the
triennial Plan. For the FY 2023 – FY 2025 Plan period, the child count must be submitted by July 1, 2022.
For new Tribal Lead Agencies entering outside the Plan cycle, the child count will be submitted with their
CCDF Plan.
The Tribal child count will be effective from October 1, 2022, to September 30, 2025, and will be valid for
3 years. If the consortium gains or loses one of its member organizations, then the adjustments will be
made accordingly.
The Tribal Lead Agency may not count any children who are included in the child count of another CCDF
Tribal Lead Agency. The Tribal Lead Agency is required to confer with all other CCDF Tribal Lead
Agencies that have overlapping or neighboring service areas (98.61(c); 98.62(c); 98.80(b(1); 98.81 (b)(4)).
The child count submitted is not reflective of the number of children who receive direct services. Instead,
the child count gives the number of potentially eligible children who meet the Tribal Lead Agency’s
definition of Indian Child, and who reside in the designated service area.
Tribes that operate under an approved P.L. 102-477 Plan shall submit their triennial child counts of
children younger than age 13 by July 1, 2022. The child counts will be effective from October 1, 2022,
through September 30, 2025. Complete the “Child Count Declaration” at Appendix 1-A. The form also
requests P.L. 102-477 Tribes that would like to make a request for reallotted Tribal discretionary funds to
indicate that by checking “yes” or “no” if these funds become available.

Adjacent and Overlapping Service Areas
Adjacent and Overlapping Service Area(s) of other Tribal Lead Agencies
Is the service area (as defined in 1.5.2) adjacent to, or overlapping with, the service area(s) of any
other Tribal Lead Agencies?
No
Yes
Identify those other Tribal Lead Agencies with neighboring or overlapping service areas.
Describe:
Describe the Tribal Lead Agency’s process for ensuring unduplicated child counts for this
overlapping service area:
Child Count Declaration
Complete the “Child Count Declaration” at Appendix 1.
A Tribal Consortium must submit an individual Child Count Declaration, signed by an individual authorized
to act for the Tribe, for each participating Tribe; a summary listing the name of each participating Tribe;
each participating Tribe’s individual child count; and the total child count for the entire consortium.
A “Child Count Declaration” is attached at Appendix 1.
Types of CCDF Providers
The Final Rule established three categories of care:
• Center-based child care: Group care provided in a facility outside of the child’s or provider’s home
• Family child care: Care provided in a private residence other than the child’s residence
• In-home child care: Care provided in the child’s home
Tribal Lead Agencies have flexibility in the types of child care providers that offer direct care to families and
children. For example, a Tribal Lead Agency may provide direct child care services through a Tribally Operated
Center, or a Tribal Lead Agency with a small allocation may not offer direct services at all. In addition, Tribal
Lead Agencies may choose to regulate child care providers through a state licensing agency rather than a
Tribal agency.

Providers That Offer Direct Services
Types of providers offering direct services to families and children.
Select the types of providers that offer services directly to families and children in the Tribal CCDF
Program. The following list includes some variation in describing the types of direct service providers in
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the Tribal CCDF program, but additional sections will refer to the three categories of care. Check only
those that apply:
Tribally Operated Center(s)
Tribally regulated (or licensed) center-based providers (not operated by the Tribal Lead Agency)
Tribally regulated (or licensed) family child care providers
State-licensed center-based providers
State-licensed family child care providers
License-exempt center-based providers
License-exempt family child care providers
Relative care providers over age 18
In-home providers (care in the child’s home)
This Tribal Lead Agency does not offer direct services to families through the Tribal CCDF Program.
(Only Tribal Lead Agencies with small allocations can opt to not offer direct services.)
Coordination of Services
The Tribal Lead Agency is required to coordinate services with other Tribal, Federal, state, and/or local
child care and early childhood development programs with agencies responsible for public health,
employment services/workforce development, public education, the Temporary Assistance for Needy
Families program, etc. (658D(b)(1)(D); 98.14(a)(1)(i-xiv); 98.14(a)(4)).
Tribal Lead Agencies must demonstrate in the Plan how they encourage partnerships among Tribal
agencies, other public agencies, other Tribes and Tribal organizations, private entities, and communitybased organizations to leverage existing service delivery systems, and to increase the supply and quality
of child care and development services.
Coordination of the delivery of CCDF services with state or Tribal agencies or entities.
Describe the ways that the Tribal Lead Agency coordinates the delivery of CCDF services with the
following state, and if applicable, Tribal agencies or entities, and the results of those coordination
efforts (e.g., shared goals/purposes for coordination, the process for coordinating). Check and
describe only those that apply:

Public health, including the agency responsible for immunizations. Description/Results:
Employment services/workforce development. Description/Results:
Public education. Description/Results:
Temporary Assistance for Needy Families program. Description/Results:
Child care licensing. Description/Results:
16

Head Start. Description/Results:
State Advisory Council on Early Childhood Education and Care or similar coordinating body.
Description/Results:
Statewide afterschool network or other coordinating entity for out-of-school time care (if
applicable). Description/Results:
Emergency management and response. Description/Results:
Child and Adult Care Food Program (CACFP) and other relevant nutrition programs.
Description/Results:
McKinney-Vento state coordinators for homeless education and other agencies providing services
for children experiencing homelessness and, to the extent practicable, local McKinney-Vento liaisons.
Description/Results:
Agencies responsible for Medicaid and the State Children’s Health Insurance Program.
Description/Results:
Mental health services. Description/Results:
Child care resource and referral agencies, child care consumer education organizations, and
providers of early childhood education training and professional development. Description/Results:
Other agencies or entities with which the Tribal Lead Agency coordinates. Description/Results:

Underserved Populations
In determining the Tribal community’s child care needs, Tribal Lead Agencies must include underserved
populations, such as infants and toddlers, families experiencing homelessness, children with special
needs, and children in need of non-traditional hours of care.
Underserved populations in determining the Tribal community’s child care needs.
Which underserved populations are included in determining the Tribal community’s child care needs?
Check all that apply:
Infants and toddlers
Families experiencing homelessness
Children with special needs
Children in need of non-traditional hours of care
Other. Describe:
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Program Integrity and Accountability
The Tribal Lead Agency, as the single point of contact for the administration of the Tribal CCDF program, is
responsible for making sure that policies and procedures are in place to monitor programs and services;
ensuring compliance with the rules of the program; and providing oversight in the expenditure of all funds,
including identifying improper payments and undertaking fraud prevention and recovery efforts (98.11(b);
98.60(i); 98.66; 98.67; 98.68).
Identify Improper Payments
Tribal Lead Agencies are required to describe effective internal controls to identify improper payments
through program policies and fiscal procedures.
How does the Tribal Lead Agency prevent and identify improper payments?
How does the Tribal Lead Agency prevent and identify improper payments? Check only those that
apply:
Train staff on CCDF policies and regulations.
Conduct supervisory staff reviews or quality assurance reviews.
Share data with other programs (e.g., state CCDF program, Tribal or state TANF program, Head
Start, CACFP, other Tribal offices).
Run system reports that flag errors.
Review enrollment documents and attendance or billing records.
Review provider records.
Perform ongoing monitoring and assessment of policy implementation.
Other. Describe:

Investigating and collecting improper payments resulting from fraud
The Tribal Lead Agency is required to recover improper payments that are the result of fraud. How
does the Tribal Lead Agency investigate and collect improper payments resulting from fraud? Check
only those that apply:

Coordinate with and refer to other Tribal, state, or Federal agencies (e.g., Tribal Council, law
enforcement).
Require recovery if the improper payment exceeds a specific dollar amount. Identify the
minimum dollar amount: $
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Recover through repayment plans.
Reduce payments in subsequent months.
Recover through payroll deductions (i.e., for CCDF clients, providers, and staff employed by the
Tribe).
Other. Describe:

Recovering improper payments from unintentional errors/program violations.
The Tribal Lead Agency has the flexibility to recover improper payments that are the result of
unintentional errors/program violations. Does the Tribal Lead Agency choose to investigate and
collect improper payments resulting from unintentional errors/program violations?
No.
Yes. How will the Tribal Lead Agency investigate and collect improper payments resulting from
unintentional errors/program violations? Check only those that apply:
Coordinate with and refer to other Tribal, state, or Federal agencies (e.g., Tribal Council,
law enforcement).
Require recovery if the improper payment exceeds a specific dollar amount. Identify the
minimum dollar amount: $
Recover through repayment plans.
Reduce payments in subsequent months.
Recover through payroll deductions (for CCDF clients, providers, and staff employed by the
Tribe).
Other. Describe:
Disaster Preparedness and Response Plan
In past disasters, and in response to the coronavirus disease 2019 (COVID-19) pandemic, the provision of
emergency child care services, and the process of rebuilding and restoring the child care infrastructure has
emerged as an essential service. Tribal Lead Agencies are required to establish a Child Care Disaster Plan
for the Tribal Service Area (658E(c)(2)(U); 98.16(aa)). They must describe how they will address the needs of
children, including the need for safe child care before, during, and after a state of emergency declared by the
Governor or Tribal Chief Executive or a major disaster or emergency (as defined by Section 102 of the Robert
T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5122).
Child Care Disaster Plan Coordination
Child Care Disaster Plan developed in collaboration with appropriate stakeholders.
19

Describe how the Child Care Disaster Plan was developed in collaboration with the appropriate
stakeholders, which may include other programs within the Tribal Lead Agency’s governance
structure or any other stakeholders identified by the Tribal Lead Agency:

Disaster Plan Guidelines for Child Care Subsidies and Child Care Services
Child Care Disaster Plan with guidelines for child care subsidies/services.
Describe how the Child Care Disaster Plan includes the Tribal Lead Agency’s guidelines for the
continuation of child care subsidies and child care services, which may include the provision of
emergency and temporary child care services during a disaster, and temporary operating standards
for child care after a disaster:

Post-Disaster Recovery
Procedures for coordination of post-disaster recovery of child care services.
Describe Tribal Lead Agency procedures for the coordination of the post-disaster recovery of child
care services:

Disaster Procedures
Confirmation that providers’ disaster procedures are in place.
Describe how the Tribal Lead Agency ensures that providers who receive CCDF program funds have
the following procedures in place:








evacuation;
relocation;
shelter-in-place;
lockdown;
communications with and reunification of families;
continuity of operations;
and accommodations for infants and toddlers, children with disabilities, and children with
chronic medical conditions (98.41(a)(1)(vii)).

(Note: The Tribal Lead Agency should also describe these requirements for CCDF providers in Section
2.1.2.7 Standards and Training Requirements for Emergency Preparedness and Response Planning.)
Emergency Preparedness Training
Provider emergency preparedness training and practice drills.
20

Describe how the Tribal Lead Agency requires child care staff and volunteers (for providers who
receive CCDF program funds) to complete emergency preparedness training and practice drill
procedures. (Note: The Tribal Lead Agency should also describe these requirements for CCDF
providers in Section 2.1.2.7 Standards and Training Requirements for Emergency Preparedness and
Response Planning.)

2 Establish Standards and Monitoring Processes To Ensure the Health and Safety of
Child Care Settings
Health and safety requirements apply to all Tribes regardless of allocation size and apply to all child care
providers who receive CCDF program funds, including providers who only receive quality funds. All Tribal
Lead Agencies must certify that there are health and safety requirements applicable to providers
serving CCDF children in effect. These health and safety requirements must be appropriate to the
provider setting (i.e., center-based child care including Tribally Operated Centers), family child care, or inhome child care) and age of the children served, must include specific topics and training on those topics,
and are subject to monitoring and enforcement procedures to ensure that providers are complying with
the requirements.
This section covers health and safety and comprehensive background checks requirements, including:
 Health and safety standards (98.41(a))
 Health and safety training (98.44(b))
 Monitoring and enforcement procedures to ensure that child care providers comply with health and
safety requirements (98.16(n))
 Exemptions made for relative care providers over age 18 (98.16(l))
 Group size limits; child/staff ratios; and required qualifications for caregivers, teachers, and directors
(98.16(m))
 Comprehensive background check requirements (98.16(o))
Overview of Health and Safety Standards and Monitoring

2.1.1

Overview of health and safety standards and monitoring.
Use the tables below to describe the health and safety standards used by the Tribal Lead Agency for
each provider type, and the agency responsible for monitoring and enforcing the health and safety
standards.
Use the tables below to describe the health and safety standards and monitoring agency for each
category of care offered.


If the Tribal Lead Agency has developed its own standards (even if those standards were adapted
from other sources, such as Caring for Our Children: Basics and/or Minimum Health and Safety
Standards: A Guide for American Indian and Alaskan Native Child Care and Development Fund
Grantees or state licensing standards), check “Tribal Standards.”



If the Tribal Lead Agency requires providers to meet standards established by a state agency (such
as state licensing agency or state department of education), check “State Standards.”



If the Tribal Lead Agency requires providers to meet standards from more than one source (e.g.,
state licensing standards for off-reservation providers and tribally developed standards for
providers on the reservation), check “Tribal Standards,” “State Standards,” and “Other Standards
or Combination of Standards ” and describe which standards apply to which providers.



If the Tribal Lead Agency requires providers to meet standards from a source not listed in the
table (such as Indian Health Service, the Child and Adult Care Food Program, Caring for Our
Children: Basics, and Caring for Our Children), then check “Other Standards or Combination of
Standards” and describe the standards and the source(s) of the standards.



If monitoring and inspection is conducted by an entity or agency other than the Tribal Lead
Agency, such as the state licensing agency or the Indian Health Service, please indicate who
conducts the visits and how the Tribal Lead Agency obtains the results of the monitoring. In cases
where a combination of monitors/inspectors are used, check those that apply and provide a
description.

Table 2.1.1.1 Health and Safety Standards Used by the Tribal Lead Agency
Provider Categories
Center-Based
Child Care

Family Child Care

In-Home Care (in the
child’s home)

State(s):

Describe:

Tribal Standards
State Standards

Head Start/Early
Head Start Standards
Other Standards or
Combination of
Standards (e.g.,
describe how more
than one set of
standards selected
above are combined)

Table 2.1.1.2 Health and Safety Monitoring Used by the Tribal Lead Agency

Provider Categories
Center-Based
Child Care

Family Child Care

In-Home Care (in the
child’s home)

Entity:

State(s):

Describe:

Tribal Monitoring

State Monitoring

Indian Health
Services
Other Standards or
Combination of
Standards (e.g.,
describe how more
than one monitoring
agencies selected
above are combined)

Tribal Lead Agencies that select only “state standards” and “state monitoring”
Tribal CCDF programs that only use state-licensed providers for all provider types can skip detailed
descriptions of the health and safety standards, training requirements, the health and safety monitoring,
and enforcement policies and practices. Skip to 2.4.
Optional: Tribal Lead Agencies that rely only on state health and safety standards and monitoring to
regulate all provider types may provide web links to relevant state agency policies.
Health and Safety Standards and Training Requirements for CCDF Providers
Tribal Lead Agencies are required to establish health and safety standards for all types of child care
programs (i.e., center-based child care, including Tribally Operated Centers, family child care, or inhome child care) serving children receiving CCDF assistance, relating to the topics listed below, as
appropriate to the provider setting and age of the children served (98.41(a)). This requirement is
applicable to all child care providers receiving CCDF program funds, including those providers who are
receiving only CCDF quality dollars through the Tribal Lead Agency. The only exception to this
requirement is for providers over age 18 who are caring for their own relatives; Tribal Lead Agencies have
the option to exempt relative care providers over age 18 from the health and safety requirements
(defined in CCDF regulations as grandparents, great-grandparents, siblings if living in a separate residence,
aunts, and uncles (98.42(c))). This exemption applies only if the individual cares for relative children only.
Exemptions for relative providers’ standards and training requirements will be addressed in section 2.3.
24

Tribal Lead Agencies are required to have minimum pre-service and/or orientation training
requirements (to be completed within 3 months) for caregivers, teachers, and directors, as appropriate
to the provider setting and the age of children served, that address the health and safety requirements
described in 2.1.2 and 2.1.3 and child development.
Tribal Lead Agencies must also have ongoing training requirements on the health and safety topics for
caregivers, teachers, and directors of children receiving CCDF program funds (658E(c)(2)(I)(i);
98.44(b)(1)(iii)). The Tribal Lead Agency must describe its requirements for pre-service/orientation
training and ongoing training.
Tribal Lead Agencies have flexibility in determining the number of training hours to require, but they may
consult Caring for Our Children: Basics and/or Minimum Health and Safety Standards: A Guide for
American Indian and Alaskan Native Child Care and Development Fund Grantees for best practices and
recommended guidelines to address these training requirements.
Health and Safety Standards
Certify by describing how the following health and safety standards and ongoing training requirements for
programs serving children receiving CCDF assistance are defined and established on the required topics
(98.16(l)).
Note: Monitoring and enforcement will be addressed in subsection 2.2.
For each of the required health and safety topics, Tribal Lead Agencies must provide their definition and
any variations based on the category of care (i.e., center-based child care, including Tribally Operated
Centers, family child care, or in-home child care) and the ages of children served.
For example, Tribal Lead Agencies need to ensure that providers follow their safe-sleep practices for each
age group in a center-based child care program. As such, Tribal Lead Agencies need to set standards
around infant sleep practices (e.g., activities that prevent sudden infant death syndrome [SIDS]) and to
ensure that providers who care for infants are trained on and met these standards. Likewise, Tribal Lead
Agencies would set different safe-sleep standards for children of different ages (e.g., no safe-sleep
practices for school-age children) and would ensure that providers who cared for children of other ages
were aware of and met those standards.
Prevention (including immunizations) and control of infectious diseases.
Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care or ages of the children served:
Pre-Service and Ongoing Training:

To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care or ages of the children served.
Pre-service
Orientation within 3 months of hire

Prevention of SIDS and the use of safe-sleep practices.

1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Administration of medication, consistent with standards for parental control.
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care or ages of the children served.
Pre-service
Orientation within 3 months of hire
Prevention of and response to emergencies due to food and allergic reactions.
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care or ages of the children served:
26

2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Safety of building and physical premises.
Safety of building and physical premises, including the identification of and protection from hazards
that can cause bodily injury, such as electrical hazards, bodies of water, and vehicular traffic
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care, or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment.
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Emergency preparedness and response planning
Emergency preparedness and response planning resulting from a natural disaster or a human‐caused
event (such as violence at a child care facility), within the meaning of those terms under section
27

602(a)(1-2) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C.
5195a(a)(1-2)).
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care, or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Handling and storage of hazardous materials and the appropriate disposal of biocontaminants.
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care, or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Precautions in transporting children (if applicable)
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care, or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire

Pediatric first aid and cardiopulmonary resuscitation (CPR)
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care, or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Recognition and reporting of child abuse and neglect
1. Standard(s): Provide a brief summary of how this standard is defined. The description should identify
the practices that must be implemented by child care programs. Include any variations based on the
category of care, or ages of the children served:
2. Pre-Service and Ongoing Training:
To demonstrate compliance, certify by checking below how the Tribal Lead Agency requires this training
topic be completed by providers during either pre-service or during an orientation period within 3
months of hire. Include any variations based on the category of care, or ages of the children served.
Pre-service
Orientation within 3 months of hire
Child Development
1. Describe how training addresses child development principles, including the major domains of
cognitive, social, emotional, and physical development and approaches to learning (98.44(b)(1)(iii)).
2. Pre-Service and Ongoing Training:
i. Describe any variations based on the category of care, or ages of the children
served:
ii. To demonstrate compliance, certify by checking below when the Tribal Lead
Agency requires these training topics be completed by providers during
either pre-service or during an orientation period within 3 months of hire.
Include any variations based on the category of care, or ages of the children
served:
Pre-service
29

Orientation within 3 months of hire
Ongoing Training Requirements
Provide the number of hours of ongoing training required annually for eligible CCDF
providers in the following settings (658E(c)(2)(G)(iii)).
1. Center-Based Child Care Providers (e.g., Tribally Operated Centers):
2. Family Child Care:
3. In-Home Child Care (care in the child’s home):
Describe any variations based on the ages of the children served:
How do providers receive updated information and/or ongoing training regarding the standard(s)?
This description should include methods to ensure that providers are able to maintain and update the
health and safety practices as described in the standards above. Include any variations based on the
category of care, or ages of the children served:

Optional Standards
The Tribal Lead Agency may also establish standards on optional health and safety topics that reflect the
needs of the community served by the Tribal Lead Agency. These optional standards can include those
related to nutrition, access to physical activity, care for children with special needs, and any other topic
determined to be relevant by the Tribal Lead Agency (98.41(a)(1)(xii)).
Optional health and safety standards.
Does the Tribal Lead Agency include optional standards in addition to the required health and safety topics
in their health and safety standards?
No. If no, skip to 2.1.5.
Yes. If yes, please complete the following questions, 2.1.4.2 to 2.1.4.5, as appropriate, on optional
health and safety standards.
Nutrition.
1. Summarize how this standard is defined, including any variations based on the category of care, or ages
of the children served:

Access to physical activity.
30

1. Summarize how this standard is defined, including any variations based on the category of care, or ages
of the children served:

Caring for children with special needs.
1. Summarize how this standard is defined, including any variations based on the category of care, or ages
of the children served:

Other areas promoting child development or protecting children’s health and safety.
Any other areas determined necessary to promote child development or to protect children’s
health and safety.
Summarize how this standard is defined, including any variations based on the category of care or
ages of the children served:
Standards on Child/Staff Ratios, Group Sizes, and Qualifications for CCDF Providers
Tribal Lead Agencies are required to establish child care standards for providers receiving CCDF program
funds regarding appropriate child to staff ratios (by age range of the child), group size limits for specific
age populations, and the required qualifications for providers based on the type of child care setting
(i.e., center-based child care providers (including Tribally Operated Centers), family child care providers,
or in-home child care providers). This requirement also applies to providers who are only receiving
quality CCDF dollars (658E(c)(2)(H); 98.16(m); 98.41(d)).
Tribal Lead Agencies have flexibility in defining standards and provider types that are reflective of the
culture and language, and that meet the needs of the children and families served.
Describe standards on child/staff ratios and group sizes for CCDF providers.
1. Center-Based Child Care Providers
i.

Infant
Define age range: from
months years
Ratio:
Group size:

ii.

months

years

through

weeks

months

years

through

weeks

Toddler
Define age range: from
months years Ratio:
Group size:

weeks

iii.

Preschool
Define age range: from
months years Ratio:
Group size:

iv.

months

years

through

weeks

months

years

through

weeks

months

years

through

weeks

months

years

through

weeks

months

years

through

weeks

School-Age
Define age range: from
months years Ratio:
Group size:

weeks

Mixed-Age Groups (if applicable):
Ratio:
Group size:

2. Family Child Care Providers
i.

Infant
Define age range: from
months years Ratio:
Group size:

ii.

Toddler
Define age range: from
months years Ratio:
Group size:

iii.

Preschool
Define age range: from
months years Ratio:
Group size:

iv.

School-Age

Define age range: from
months years Ratio:
Group size:
v.

weeks

months

years

through

weeks

months

years

through

weeks

months

years

through

weeks

months

years

through

weeks

months

years

through

weeks

Mixed-Age Groups (if applicable)
Ratio:
Group size:

3. In-Home Child Care Providers
i.

Infant
Define age range: from
months years Ratio:
Group size:

ii.

Toddler
Define age range: from
months years Ratio:
Group size:

iii.

Preschool
Define age range: from
months years Ratio:
Group size:

iv.

School-Age
Define age range: from
months years Ratio:
Group size:

Mixed-Age Groups (if applicable):
Ratio:
Group size:

Provide the teacher/caregiver qualifications for each category of CCDF providers.
Center-Based Child Care Providers (e.g., Tribally Operated Centers):
1. Describe the teacher qualifications:
2. Describe the director qualifications:
Family Child Care Providers:
1. Describe the teacher qualifications:
2.

Describe the director qualifications (if applicable):
In-Home Child Care Provider (care in the child’s home):

1. Describe the teacher qualifications:

Monitoring and Enforcement Policies and Practices for CCDF Providers
Enforcement of Health and Safety Requirements
Tribal Lead Agencies must certify that procedures are in effect to ensure that child care providers caring
for children receiving CCDF services comply with all applicable Tribal and/or state and local health,
safety, and fire standards, including those described in 98.41 and 98.42(a).
This certification may include, but is not limited to, any systems used to ensure that providers met health
and safety requirements, any documentation required to be maintained by child care providers, and any
other monitoring procedures to ensure compliance. Tribal Lead Agencies are subject to the provision at
98.42(b)(2) to require inspections of child care providers and facilities that receive CCDF program funds.
Tribal Lead Agencies may propose an alternative approach to meet the annual inspection requirements. In
its justification, the Tribal Lead Agency must describe how the alternative approach is appropriately
comprehensive and protects the health and safety of children in care.
Provider pre-inspection policies and practices.
Describe the Tribal Lead Agency’s policies and practices for pre-inspections of licensed/regulated
providers for compliance with health, safety, and fire requirements for the following categories of
providers. In-home child care providers can answer “not applicable” if they are not regulated.
Center-Based Child Care Providers (e.g., Tribally Operated Centers):
Family Child Care Providers:
In-Home Child Care Providers (care in the child’s home):
Annual, unannounced inspections of CCDF providers policies and practices.

Describe the Tribal Lead Agency’s policies and practices for annual, unannounced inspections of
licensed/regulated providers, including the frequency of such inspections, for the following categories
of providers. In-home child care providers can answer “not applicable” if they are not regulated.
Center-Based Child Care Providers (e.g., Tribally Operated Centers):
Family Child Care Providers:
In-Home Child Care Providers (care in the child’s home):

Alternative approach to inspection requirements.
Does the Tribal Lead Agency have an alternative approach to the inspection requirements at
98.42(b)(2)?
Yes. Describe how the alternative approach is appropriately comprehensive and protects the
health and safety of children in care:
No.
Monitoring Inspectors
Tribal Lead Agencies must have policies and practices ensuring that individuals who are hired as
inspectors or monitors are qualified to inspect child care providers and facilities and have received
health and safety training appropriate to the provider setting and age of the children served.
Training shall include, but is not limited to, those requirements described in 98.41(a)(1) and all aspects of
the requirements detailed in Section 2.1.2 (658E(c)(2)(K)(i)(I); 98.42(b)(1)).
Qualifications for inspectors or monitors to inspect facilities and providers.
To certify, describe how the Tribal Lead Agency ensures that inspectors or monitors are qualified to
inspect child care facilities and providers:
Inspectors or monitors training on health and safety requirements.
To certify, describe how the inspectors or monitors have received training on health and safety
requirements that are appropriate to the age of the children in care, and the type of provider setting
(98.42(b)(1)):
Ratio of Inspectors or Monitors to Child Care Providers
The Tribal Lead Agencies must have policies and practices requiring the ratio of inspectors or monitors
to child care providers and facilities to be maintained at a level sufficient to conduct effective
inspections of child care providers and facilities on a timely basis in accordance with Tribal, Federal,
state, and local laws (658E(c)(2)(K)(i)(III); 98.42(b)(3)).
Policies and practices regarding the ratio of inspectors or monitors to child care providers.
35

Describe the Tribal Lead Agency’s policies and practices regarding the ratio of inspectors to child care
providers (i.e., the number of inspectors per number of child care providers) and facilities within that
agency’s inspection area and include how the ratio is sufficient to conduct effective inspections on a
timely basis:

Exemptions for Relative Providers
Tribal Lead Agencies have the option to exempt relatives over age 18 (defined in CCDF
regulations as grandparents, great-grandparents, siblings if living in a separate residence,
aunts, and uncles (98.42(c)) from some/all health and safety requirements. Note: This
exception applies if the individual cares only for relative children.
Check and describe, where applicable, the policies that the Tribal Lead Agency has
regarding exemptions for eligible relative providers over age 18 for the following health and
safety requirements. The description should include the health and safety requirements
that relatives are exempt from, if applicable, and which of the federally defined relatives
the exemption applies to.
Health and Safety Standards
Health and Safety Standards (as described in Sections 2.2.1, 2.2.2, 2.2.4, and 2.2.6).
☐ Relative providers are exempt from all health and safety standard requirements
☐ Relative providers are exempt from a portion of health and safety standard requirements.
Describe:
☐ Relative providers must fully comply with all health and safety standard requirements.
Health and Safety Training
Health and Safety Training (as described in Sections 2.2.2 and 2.2.3).
☐ Relative providers are exempt from all health and safety training requirements.
☐ Relative providers are exempt from a portion of all health and safety training
requirements. Describe:
☐ Relative providers must fully comply with all health and safety training requirements.
Monitoring and Enforcement
Monitoring and Enforcement (as described in Section 2.3).
☐ Relative providers are exempt from all monitoring and enforcement requirements.
☐ Relative providers are exempt from a portion of monitoring and enforcement
requirements. Describe:
36

☐ Relative providers must fully comply with all monitoring and enforcement requirements.
Comprehensive Background Checks
In this section, Tribal Lead Agencies will describe the types of providers subject to comprehensive
background checks and the methods used for each component of the eight background checks (e.g.,
which database or repository is checked). In addition, the Tribal Lead Agency will describe the policies in
place for disqualifying crimes for employment eligibility, fees, timeliness, and privacy in returning
comprehensive background check results. Next, Tribal Lead Agencies will describe the processes in place
for child care providers to provisionally employ child care staff (including employee, prospective
employee, or household member) when not all the comprehensive background checks are returned.
Tribal Lead Agencies will also describe the process for child care staff (including employee, prospective
employee, or household member) to appeal unfavorable results. Finally, Tribal Lead Agencies will need to
justify and describe their alternative approach, if applicable.
The CCDBG Act requires Tribal Lead Agencies, regardless of allocation size, to have in effect requirements,
policies, and procedures to conduct comprehensive background checks for (1) all child care staff members
(including prospective staff members) of all child care programs that are licensed, regulated, approved, or
registered under Tribal law (including Tribally Operated Centers) and for (2) all other providers eligible to
deliver CCDF services (e.g., license-exempt CCDF-eligible providers) (98.43(a)(1)(i)).

Methods used for each of the eight comprehensive background check components (98.43(b))
Under the CCDF rule, a comprehensive background check must include eight separate and specific
components (98.43(b)), which encompass three in-state checks, two national checks, and three interstate
checks (if the individual resided in another state in the preceding 5 years). Comprehensive background
check requirements apply to any staff member who is employed by a child care provider for
compensation, including contract employees and self-employed individuals; whose activities involve the
care or supervision of children; or who has unsupervised access to children (98.43(b)(2)).
Tribal Lead Agencies must describe the methods used for the background check components, such as the
database or repository that is checked or a memorandum of understanding (MOU)/memorandum of
agreement (MOA) or contract with a state or third-party vendor to conduct the checks on the Tribal Lead
Agency’s behalf.
Tribal Lead Agencies may use alternative approaches in addition to or instead of the pre-approved
methods. For example, Tribal Lead Agencies are encouraged (but not required) to check registries
maintained by the Tribe (rather than a state). Tribal Lead Agencies must provide justification in 2.5.7 for
37

using any alternative approaches that are identified in 2.4.1. The alternative approach is subject to ACF
approval, and ACF will not approve approaches with blanket exemptions that bypass the intent of
protecting children’s safety.
In instances in which a child care provider has already met the state’s background check requirements
consistent with the CCDF rule (because that provider is licensed by the state and/or receives CCDF
program funding from the state), it is not necessary for the Tribal Lead Agency to require additional or
duplicative background checks.
For family child care providers, the comprehensive background check requirement includes the caregiver
and household members (i.e., any other adults residing in the family child care who are age 18 or older
(98.43(a)(2)(ii)(C)). ACF will consider an alternative approach for limiting the background checks for
household members to those who are feasible. OCC will not approve alternative approaches that do not
include any background checks for other adults in a family child care. As stated in the preamble of the
CCDF Final Rule (81 FR 67542-43), ACF expects that Tribal Lead Agencies will conduct some components
of a background check for these individuals, for example, a check of Tribal criminal history records. Tribal
Lead Agencies who use this alternative approach must indicate which background checks apply to
household members and must justify the alternative approach in 2.5.7.
This requirement does not apply to individuals over age 18 who are related to all children for whom child
care services are provided (98.43(a)(2)(i)(A)).
Each of the tables below describes one component of the eight comprehensive background checks. Select
which methods are used for each provider type for each component.







Check the pre-approved and/or alternative approach method(s) used for each provider type.
Tribal Lead Agencies must justify any alternative approach in 2.5.7.
Tribal Lead Agencies may select more than one method for a provider type. (For example, a Tribal
Lead Agency may search the Tribal criminal fingerprint records and the state criminal fingerprint
records for staff employed in Tribally Operated Centers.)
If relative providers over age 18 are exempt from that background check component, check
“Exempt.”
Check “Family child care household members not included” for background check components
that are not conducted for household members. (OCC will not approve alternative approaches
that do not include at least one background check component for other adults in an family child
care.)
Describe any Tribal or state database or repository (e.g., the Tribal criminal fingerprint records or
a state criminal fingerprint records) used for any background check components at the end of
each table.
If the Tribal Lead Agency uses any alternative approach that is not listed, check “Other” and
describe the approach. Tribal Lead Agencies must justify the alternative approach in 2.5.7.

Components of in-state background checks
38

For in-state registry checks, OCC will consider alternative approaches that include checks of Tribal
criminal, sex offender, and/or child abuse and neglect registries. OCC will also consider approaches
that include checks of databases of third-party or private entities. Tribal lead agencies must justify
any alternative approach in 2.5.7.
1. Criminal registry or repository using fingerprints in the current state of residency (check only those
methods used)
Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Pre-Approved Methods
□ State database or
repository

Alternative Approach
□ Tribal database or
repository
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:

□ State database or
repository

□
□
□
□

Relative Providers

□ State database or
repository
□ Exempt

□

All other providers eligible to
□ State database or
repository
deliver CCDF services (includes
state license-exempt and inhome child care providers)

□

□
□

□
□
□

Tribal database or
repository
Family child care
household members not
included
Third-party vendor
Other, describe:
Tribal database or
repository
Third-party vendor
Other, describe:
Tribal database or
repository
Third-party vendor
Family child care
household members not
included
Other, describe:

Tribal or state databases or repositories. Tribal Lead Agencies may use Tribal or state
databases or repositories for some or all of their in-state background check components.
Describe any Tribal or state database or repository indicated in the table above.
No Tribal or state database or repository used in criminal fingerprint checks.
Tribal database or repository. Describe:
State database or repository. Describe:

2. Sex offender registry or repository check in the current state of residency (check only those methods
used)
Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Pre-Approved Methods
□ State database or
repository

Alternative Approach
□ Tribal database or
repository
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:

□ State database or
repository

□
□
□
□

Relative Providers

□ State database or
repository
□ Exempt

□

All other providers eligible to
□ State database or
repository
deliver CCDF services (includes
state license-exempt and inhome child care providers)

□

□
□

□
□
□

Tribal or state databases or repositories. Tribal Lead Agencies may use Tribal or state
databases or repositories for some or all of their in-state background check components.
Describe any Tribal or state database or repository indicated in the table above.
No Tribal or state database or repository used in sex offender checks.
Tribal database or repository. Describe:
State database or repository. Describe:

3. Child abuse and neglect registry and database check in the current state of residency (check only those
methods used)

Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Pre-Approved Methods
□ State database or
repository

Alternative Approach
□ Tribal database or
repository
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:

□ State database or
repository

□
□
□
□

Relative Providers

□ State database or
repository
□ Exempt

□

All other providers eligible to
□ State database or
repository
deliver CCDF services (includes
state license-exempt and inhome child care providers)

□

□
□

□
□
□

Tribal database or
repository
Family child care
household members not
included
Third-party vendor
Other, describe:
Tribal database or
repository
Third-party vendor
Other, describe:
Tribal database or
repository
Family child care
household members not
included
Third-party vendor
Other, describe:

Tribal or state databases or repositories. Tribal Lead Agencies may use Tribal or state
databases or repositories for some or all of their in-state background check components.
Describe any Tribal or state database or repository indicated in the table above.
No Tribal or state database or repository used in child abuse and neglect checks.
Tribal database or repository. Describe:
State database or repository. Describe:

Components of national background check
1. FBI (Federal Bureau of Investigation) fingerprint check (check only those methods used)
For FBI fingerprint checks, the CCDBG Act does not provide explicit authority for Tribes to
request FBI fingerprint checks for all child care staff. Tribes may have authority under a
different Federal statute to request FBI fingerprint-based background checks for child care
staff, including (but not limited to) State Statute (P.L. 92-544, 34 U.S.C. 41101), Indian Child
41

Protection and Family Violence Prevention Act (P.L. 101-630, 25 U.S.C. 3207), National Child
Protection Act/Volunteers for Children Act (NCPA/VCA) (P.L. 101-209, as amended, 34 U.S.C.
40101 et seq.), and Improving Head Start for School Readiness Act (P.L. 110-134, 42 U.S.C.
9843a).
The four pre-approved methods for Tribes to access the FBI fingerprint check are through (1) a
state repository (through an MOU/MOA), (2) U.S. Department of Justice Tribal Access Program
(TAP), (3) an FBI-approved channeler, and (4) fingerprint sent directly to the FBI (i.e.,
submitting hard-copy fingerprint cards through the U.S. mail).
OCC will consider alternative approaches (such as name-based checks of Tribal or state record
management systems) when the process of obtaining fingerprints from one of the four preapproved methods is not available or feasible. Tribal Lead Agencies must justify any alternative
approach in 2.5.7.

Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Relative Providers

All other providers eligible to
deliver CCDF services (includes
state license-exempt and inhome child care providers)

Pre-Approved Methods
□ State agreement (e.g.,
MOU or MOA)
□ U.S. Department of Justice
(DOJ) TAP
□ FBI-approved channeler
□ Direct to FBI

Alternative Approach
□ Non-CCDBG Tribal
authority
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:

□ State agreement (e.g.,
MOU or MOA)
□ DOJ TAP
□ FBI-approved channeler
□ Direct to FBI

□

□ State agreement (e.g.,
MOU or MOA)
□ DOJ TAP
□ FBI-approved channeler
□ Direct to FBI
□ State agreement (e.g.,
MOU or MOA)
□ DOJ TAP
□ FBI-approved channeler
□ Direct to FBI

□
□
□
□
□
□
□
□
□
□

Non-CCDBG Tribal
authority
Family child care
household members not
included
Third-party vendor
Other, describe:
Non-CCDBG Tribal
authority
Third-party vendor
Other, describe:
Non-CCDBG Tribal
authority
Family child care
household members not
included
Third-party vendor
Other, describe:

2. National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) name-based search
(check only those methods used)
Because there is no Federal authority under the CCDBG Act for Tribes to access information
through the NCIC NSOR name-based search, OCC will consider approaches that do not include
accessing the NCIC NSOR name-based search. An alternative approach to checking the NCIC
NSOR name-based check may include a check of a private or public sex offender registry. Tribal
Lead Agencies must justify any alternative approach in 2.5.7.

Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Relative Providers

All other providers eligible to
deliver CCDF services (includes
state license-exempt and inhome child care providers)

Pre-Approved Methods
□ State agreement (e.g.,
MOU or MOA)
□ National FBI fingerprint
NCIC NSOR automatic
check plus name-based
search of NCIC NSOR

Alternative approach
□ Private or public sex
offender registry
□ Family child care
household members not
included
□ Other, describe:

□ State agreement (e.g.,
MOU or MOA)
□ National FBI fingerprint
NCIC NSOR automatic
check plus name-based
search of NCIC NSOR
□ State agreement (e.g.,
MOU or MOA)
□ National FBI fingerprint
NCIC NSOR automatic
check plus name-based
search of NCIC NSOR
□ Exempt
□ State agreement (e.g.,
MOU or MOA)
□ National FBI fingerprint
NCIC NSOR automatic
check plus name-based
search of NCIC NSOR

□
□
□
□
□

□
□
□

Private or public sex
offender registry
Family child care
household members not
included
Other, describe:
Private or public sex
offender registry
Other, describe:

Private or public sex
offender registry
Family child care
household members not
included
Other, describe:

Components of interstate background checks for place(s) of residency in last 5 years
For interstate registry checks, OCC will consider alternative approaches that include checks of Tribal
criminal, sex offender and/or child abuse and neglect registries. OCC will also consider approaches
that include checks of databases of third-party or private entities. Tribal Lead Agencies must justify
any alternative approach in 2.5.7.
43

1. Criminal registry or repository using fingerprints in the previous state of residency

Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care, family child care, and inhome providers)

State-Licensed Providers
(includes center-based child
care and family child care)

Pre-Approved Methods
□ State database or
repository

Alternative Approach
□ Tribal database or
repository
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:

□ State database or
repository

□
□
□

Relative Providers

□ State database or
repository
□ Exempt

□

All other providers eligible to
□ State database or
repository
deliver CCDF services (includes
state license-exempt and inhome child careproviders)

□

□
□

Tribal database or
repository
Family child care
household members not
included
Third-party vendor
Other, describe:
Tribal database or
repository
Third-party vendor
Other, describe:
Tribal database or
repository
Family child care
household members not
included
Third-party vendor
Other, describe:

Tribal or state databases or repositories. Tribal Lead Agencies may use Tribal or state
databases or repositories for some or all their child abuse and neglect registry and
database check component. Describe any Tribal or state database or repository indicated
in the table above.
No Tribal or state database or repository used in background checks.
Tribal database or repository. Describe:
State database or repository. Describe:

2. Sex offender registry or repository check in the previous state of residency (check only those methods
used)

Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Pre-Approved Methods
□ State database or
repository

Alternative Approach
□ Tribal database or
repository
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:

□ State database or
repository

□
□
□
□

Relative Providers

□ State database or
repository
□ Exempt

□

All other providers eligible to
□ State database or
repository
deliver CCDF services (includes
state license-exempt and inhome child care providers)

□

□
□

□
□
□

Tribal or state databases or repositories. Tribal Lead Agencies may use Tribal or state
databases or repositories for some or all of their interstate background check
components. Describe any Tribal or state database or repository indicated in the table
above.
No Tribal or state database or repository used in interstate criminal background
checks.
Tribal database or repository. Describe:
State database or repository. Describe:

3. Child abuse and neglect registry and database check in the previous state of residency
Tribally Operated Centers and
Tribally Regulated Providers
(includes center-based child
care and family child care)

State-Licensed Providers
(includes center-based child
care and family child care)

Pre-Approved Methods
Alternative Approach
State database or repository □ Tribal database or
repository
□ Family child care
household members not
included
□ Third-party vendor
□ Other, describe:
□ State database or
repository

□
□
□
□

Relative Providers

All other providers eligible to
deliver CCDF services (includes
state license-exempt and inhome child care providers)

□ State database or
repository
□ Exempt

□

□ State database or
repository

□

□
□

□
□
□

Tribal database or
repository
Third-party vendor
Other, describe:
Tribal database or
repository
Third-party vendor
Family child care
household members not
included
Other, describe:

Tribal or state databases or repositories. Tribal Lead Agencies may use Tribal or state
databases or repositories for some or all of their interstate background check
components. Describe any Tribal or state database or repository indicated in the table
above.
No Tribal or state database or repository used in interstate child abuse and neglect
checks.
Tribal database or repository. Describe:
State database or repository. Describe:

Disqualifying Crimes for Employment Eligibility

Tribal database or
repository
Family child care
household members not
included
Third-party vendor
Other, describe:

Child care staff members cannot be employed by a child care provider receiving CCDF subsidy funds if
they refuse a background check, make materially false statements in connection with the background
check, or are registered or required to be registered on the state or National Sex Offender Registry
(98.43(c)(1)(i-iii)). Potential staff members also cannot be employed by a provider receiving CCDF program
funds if they have been convicted of:
 A felony consisting of murder, child abuse or neglect, crimes against children, spousal abuse,
crimes involving rape or sexual assault, kidnapping, arson, physical assault or battery, or—subject
to an individual review (at the Tribal Lead Agencies’ option)—a drug-related offense committed
during the preceding 5 years
 A violent misdemeanor committed as an adult against a child, including the following crimes—
child abuse, child endangerment, or sexual assault
 A misdemeanor involving child pornography (98.43(c)(1)(iv-v)).
Tribal Lead Agencies that only use state-licensed providers and rely on state-conducted background
check policies and procedures should select “No”.
Other disqualifying crimes.
Does the Tribal Lead Agency disqualify child care staff members based on their conviction for any
other crimes not specifically listed in 98.43(c)(i)?
No.
Yes. Describe other disqualifying crimes and provide a citation:
Alternative approach to lifetime ban for qualifying offenses.
ACF will consider alternative approaches where the Tribal Lead Agency implements less than a
lifetime ban for offenses that are not crimes against children. Tribes may adopt an individualized
review process for determining employment eligibility for those convicted of crimes that are not
crimes against children. Tribal Lead Agencies must justify any alternative approach in 2.5.7.
Does the Tribal Lead Agency use an alternative approach that implements a less than lifetime ban
for offenses that are not crimes against children?
No
Yes
1. If yes, check the type of provider(s) to which the alternative approach for disqualifying
crimes applies.
Tribally Operated Centers and Tribally Regulated Providers (includes center-based
child care and family child care)
State-Licensed Providers (includes center-based child care and family child care)
47

Relative Providers
All other providers eligible to deliver CCDF services (includes license-exempt and inhome child care providers)
Fees
The Tribal Lead Agency may not charge fees that exceed the actual costs of processing applications and
administering a comprehensive background check, regardless of whether they are conducted by the
Tribe, a state, or a third-party vendor or contractor (98.43(f)). Tribal Lead Agencies can report that no fees
are charged if applicable (98.43(f)).
Tribal Lead Agencies that only use state-licensed providers and rely on state-conducted background
check policies and procedures should select “No”.
Does the Tribal Lead Agency charge fees?
Yes.
No. Skip to 2.4.4
What are the fees that the Tribal Lead Agency charges for completing the background checks?
Ensuring background check fees do not exceed cost of processing and administration.
How does the Tribal Lead Agency ensure that fees charged for completing the background checks do
not exceed the actual cost of processing and administration?
Timeliness and Privacy in Returning the Results
The Tribal Lead Agency must conduct the comprehensive background checks as quickly as possible, and
the process shall not exceed 45 days after the child care provider submits the request. The Tribal Lead
Agency shall provide the results of the background check in a statement to the provider that indicates
whether the staff member is eligible or ineligible, without revealing specific disqualifying information. If
the staff member is ineligible, the state or territory will provide information about each disqualifying
crime to the staff member.
ACF will consider alternative approaches to the requirement to carry out the background check requests
within 45 days. Tribes may also make employment eligibility decisions in the event that not all background
check components are completed within 45 days. Tribal Lead Agencies must justify any alternative
approach in 2.5.7.
Tribal CCDF Programs that only use state-licensed providers and rely on state-conducted background
check policies and procedures should select “No”.

Check the timeliness for conducting comprehensive background check results.
Approved approach: For all types of providers, the Tribal Lead Agency conducts results within 45
days.
Alternative approach for OCC approval: For some or all types of providers, the Tribal Lead Agency
returns results after 45 days.
1. If the Tribal Lead Agency uses an approach in which results are returned after 45 days, for
which providers (check only those that apply):
Tribally Operated Centers and Tribally Regulated Providers (includes center-based child
care and family child care)
State-Licensed Providers (includes center-based child care and family child care)
Relative Providers
All other providers eligible to deliver CCDF services (includes license-exempt and inhome child care providers)
Other approach, including relying on state background check system to return results.
Privacy of comprehensive background checks.
Tribal Lead Agencies must ensure the privacy of comprehensive background checks by providing the
results of the background check to the child care provider (i.e., employer) in a statement that
indicates whether a child care staff member (including employee, prospective employee, or
household member) is eligible or ineligible for employment, without revealing any documentation of
criminal history, or disqualifying crimes, or other related information regarding the individual.
ACF will consider alternative approaches that allow some information to be shared with the child care
provider. Note: This provision is subject to limitations in FBI policy and state or Tribal privacy
requirements, which may prevent the release of information. Tribal Lead Agencies must justify any
alternative approach in 2.5.7.
The Tribal Lead Agency may not publicly release the results of individual background checks. It may
release aggregated data by crime as long as the data do not include personally identifiable
information (98.43(e)(2)(iii)).
Check if the privacy of the child care staff member (including employee, prospective employee, or
household member) is ensured when returning results to the child care provider (i.e., employer).
Approved approach: For all types of providers, the Tribal Lead Agency ensures the privacy of the
child care staff member (including employee, prospective employee, or household member).
Alternative approach for OCC approval: For some or all types of providers, the Tribal Lead Agency
allows some information to be shared with the child care provider (i.e., employer).

1. If the Tribal Lead Agency uses an approach in which some information is shared with the
child care provider, for which providers (check only those that apply):
Tribally Operated Centers and Tribally Regulated Providers (includes center-based child
care and family child care)
State-Licensed Providers (includes center-based child care and family child care)
Relative Providers
All other providers eligible to deliver CCDF services (includes license-exempt and in-home
child care providers)
Other approach, including relying on state background check system to return results.

Provisional Employment
Child care providers must submit a request to the appropriate Tribal or state agency for a comprehensive
background check for each child care staff member, including prospective staff members, prior to the
date an individual becomes a child care staff member (98.43(d)(1) and (2)). “Prospective staff members”
have applied for a position, but have not yet begun working. A prospective child care staff member may
not begin work until at least one of the following results have been returned as satisfactory:
 FBI fingerprint check
 Tribal or state criminal registry or repository using fingerprints in the Tribe or state where the
prospective staff member resides
ACF will consider an alternative approach that allows for staff members to be provisionally employed
once the background check request has been submitted, but prior to receiving the results of the check.
New staff members are considered “provisionally employed” during the time from when one of the above
fingerprint checks have been returned as satisfactory to the time when all background checks are
returned as satisfactory. An alternative approach to provisional employment must require that the
provider submit all comprehensive background check requests before the prospective staff person begins
working.
Under either approach, the provisionally employed staff member must be supervised at all times by an
individual who has completed the background check (98.43(d)(4)).
Check the provisional employment approach used by the Tribal Lead Agency.
Approved approach: For all types of providers, provisional employment is permitted after a
satisfactory result from the FBI fingerprint check, or the Tribal or state criminal registry or repository,
using fingerprints in the Tribe or state where the prospective staff member resides.
Alternative approach for OCC approval: For some or all types of providers, provisional
employment is permitted after the comprehensive background check requests have been submitted,
but before the results of either fingerprint checks have been returned.
50

1. If the Tribal Lead Agency uses the alternative approach in which provisional employment is
permitted after the comprehensive background check requests have been submitted, for
which providers (check only those that apply):
Tribally Operated Centers and Tribally Regulated Providers (includes center-based child
care and family child care)
State-Licensed Providers (includes center-based child care and family child care)
Relative Providers
All other providers eligible to deliver CCDF services (includes license-exempt and in-home
child care providers)
Appeals for Child Care Staff (including employee, prospective employee, or household member).
The Tribal Lead Agency must have a process for a child care staff member (including employee,
prospective employee, or household member) to appeal the results of a background check to challenge
the accuracy or completeness of the information contained in a staff member’s background report
(98.43(e)(3)). The Tribal Lead Agency shall ensure the following:










The child care staff member is provided with information related to each disqualifying crime in a
report, along with information and/or a notice on the opportunity to appeal.
A child care staff member will receive clear instructions about how to complete the appeals
process for each background check component if the child care staff member wishes to challenge
the accuracy or completeness of the information contained in such member’s background report.
If the staff member files an appeal, the Tribal Lead Agency will attempt to verify the accuracy of
the information challenged by the child care staff member, including making an effort to locate
any missing disposition information related to the disqualifying crime.
The appeals process is completed in a timely manner for any appealing child care staff member.
Each child care staff member shall receive written notice of the decision. In the case of a negative
determination, the decision should indicate (1) the Tribal Lead Agency’s efforts to verify the
accuracy of the information challenged by the child care staff member; (2) any additional appeals
rights available to the child care staff member; and (3) information on how the individual can
correct the Federal, state, or Tribal records at issue in the case (98.43(e)(3)).
The Tribal Lead Agency must work with other agencies that are in charge of background check
information and results (such as the child welfare office and the state identification bureau) to
ensure the appeals process is conducted in accordance with the CCDBG Act.

Notification of applicant about their eligibility to work in a child care program.
Describe how the Tribal Lead Agency notifies the applicant about their eligibility to work in a child
care program.
Background check appeals
51

Describe how the Tribal Lead Agency provides opportunities for applicants to appeal the results of
background checks.

Review process for individuals disqualified due to a felony drug offense.
Describe whether the Tribe has a review process for individuals disqualified due to a felony drug
offense to determine if that individual is still eligible for employment (98.43 (e)(2-4)).
Justification for Alternative Approach(es)
Lead agencies may use alternative approaches in addition to or instead of the pre-approved methods. For
example, Tribal Lead Agencies may use name-based checks of Tribal or state record management systems
for the FBI fingerprint check when one of the four pre-approved methods are not available or feasible.
The alternative approach is subject to ACF approval, and ACF will not approve approaches with blanket
exemptions or waivers that bypass the intent of protecting children’s safety.
Issues or barriers preventing Tribal Lead Agency from conducting the required checks.
What are the issues or barriers preventing the Tribal Lead Agency from conducting the required
checks? Check only those that apply:
Does not apply—no alternative approach is used for any of the background check components
Does not have the authority under the CCDF statute to conduct a NCIC NSOR name-based search
No direct authority under the CCDF statute to conduct an FBI fingerprint check
No existing formal or informal MOU or MOA with a state
Other. Describe:
Comprehensive alternative approach to ensure health and safety of children.
Describe how the alternative approach is comprehensive and ensures the health and safety of
children in child care.
The description should include an alternative approach that affects the methods for conducting
comprehensive background checks; the implementation of less than lifetime bans for offenses that are not
crimes against children; the policies that allow longer than 45 days to conduct comprehensive background
checks; any private information shared with the child care provider (i.e., employer); or provisional
employment, as applicable. If a Tribal Lead Agency does not use any alternative method for their
comprehensive background check, please enter “Does not apply.”

DRAFT FFY 2023–2025 Tribal CCDF Plan Print

3 Supporting Continuous Quality Improvement
As of FY 2022, all Tribal Lead Agencies are subject to a 9-percent quality set-aside. Tribal Lead
Agencies must spend quality funds on at least 1 of 10 allowable quality activities, including:











Training and professional development;
Early learning and developmental guidelines;
Quality rating and improvement systems;
Supply and quality of services for infants and toddlers;
Child care resource and referral services;
Licensing, inspection, monitoring, training, health & safety;
Evaluating the quality of child care programs;
Supporting providers in the voluntary pursuit of accreditation;
High-quality program standards; and
Other measurable quality improvement activities, including culturally responsive activities,
such as language immersion.

Quality Improvement Goals and Activities
In completing this section, the Tribal Lead Agency should describe activities currently underway,
planned, or expected during the 3-year Plan period. Any significant changes to the quality
improvement goals or activities should be addressed through an amendment to the Plan.
The Tribal Lead Agency should only describe activities funded either entirely, or in part, with CCDF
dollars. All Tribal Lead Agencies must spend a percentage of their total CCDF expenditures on quality
improvement activities.
Required Minimum for Quality Spending (As of FY 2022)
Tribal Lead Agencies with
Small Allocations

Tribal Lead Agencies with
Medium and Large Allocations

Quality Set-Aside

Infant-Toddler

Total Quality

12%

I
Quality Improvement Activities
Check the quality activities in 3.1.2.1 through 3.1.2.10 that the Tribal Lead Agency will invest in
during this plan cycle (98.41; 98.83). Tribal Lead Agencies can, and are encouraged to, incorporate
culturally responsive practices into their quality improvement activities.
Child care workforce training and professional development.
Supporting the training and professional development of the child care workforce. Check only
those that apply:
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Promotion of child development
Curriculum development and instruction
Implementing developmentally appropriate and culturally and linguistically
responsive instruction
Language and literacy
Developing or providing training to providers about Indigenous early learners and
epistemologies
Developing or providing training to providers about the local Indigenous Nations and
community
Family engagement
Caring for children with special health or developmental needs
Required health and safety training topics, as described in 2.1.3
Access to physical activity
Indigenous nutrition and foods
Child care as a business
Fiscal management for providers
Administration and program management for providers
Supporting (through funding, scholarships, etc.) the career development pathways of
the child care workforce through:
Credit toward required training hours
Certificates (including those incorporating Indigenous studies and Indian
education for providers)
Credentials
Degrees (including those incorporating Indigenous studies and Indian
education for providers)
Other:
Optional: Describe any of the activities checked above:
Early learning/developmental guidelines.
Improving on the development or implementation of early learning and developmental
guidelines (658E(c)(2)(T); 658G(b)(2)).
Early learning guidelines are intended to help teachers, caregivers, and directors learn what
children should know and be able to do at different developmental stages to experience
school success. Early learning guidelines often provide examples of activities that can be
used to develop a curriculum but are not intended to serve as a curriculum development
activity. Check only those that apply:
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Supporting the use of the state’s early learning guidelines
Participating in the development or revision of the state’s early learning guidelines
Adapting a state’s guidelines to reflect the Tribal Nation’s language and culturally
specific early learning and development goals/benchmarks
Developing or implementing the Tribal Lead Agency’s own tribally specific guidelines
Providing trainings for staff on child development and early learning guidelines
Other. Describe:
Optional: Describe any of the activities checked above:
Quality rating and improvement system (QRIS).
Developing, implementing, or enhancing a quality rating and improvement system (QRIS) for
child care providers and services (658G(b)(3)).
A QRIS is a systemic approach to assess, improve, and communicate the level of quality in
early and school-age care and education programs. Similar to rating systems for restaurants
and hotels, a QRIS awards quality ratings to early and school-age care and education
programs that meet a set of defined program standards.
By participating in their state’s or Tribe’s QRIS, early and school-age care providers embark
on a path of continuous quality improvement. Even providers that have met the standards
of the lowest QRIS levels have achieved a level of quality that is beyond the minimum
requirements to operate. Check only those that apply:
Participating in a state QRIS
Developing a Tribal QRIS or similar rating system
Implementing a Tribal QRIS or similar rating system
Collaborating with other Tribes to implement a QRIS or similar rating system
Other. Describe:
Optional: Describe any of the activities checked above:
Supply and quality of child care services for infants and toddlers.
Improving the supply and quality of child care services for infants and toddlers. Check only
those that apply:
Developing infant-toddler components within the early learning and developmental
guidelines/standards, etc.
Indigenous language and culturally responsive practices for infants and toddlers
Providing training and professional development to enhance child care providers’
abilities to provide developmentally appropriate services for infants and toddlers
Providing coaching, mentoring, and/or TA on this age group’s unique needs from
networks of qualified infant-toddler specialists
55

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Improving the ability of families to access transparent and easy-to-understand
consumer information about high-quality infant-toddler care that includes
information on infant-toddler language, social-emotional, and early literacy and
numeracy cognitive development
Offering non-traditional hours
Supporting the child care provider workforce through stabilization subgrants
Coordinating with early intervention specialists who provide services for infants and
toddlers with disabilities
Coordinating with Early Head Start or Early Head Start – Child Care Partnerships
Coordinating with home visiting activities
Other. Describe:
Optional: Describe any of the activities checked above:
Child care resource and referral (CCR&R) services.
Establishing or expanding a system of child care resource and referral (CCR&R) services,
assisting families in finding and choosing a child care provider, collecting and analyzing child
care provider supply-and-demand data, and providing training and support to providers
(658E(c)(3)(B)(iii); 658G(b)(5)). Check only those that apply:
Using a state CCR&R
Operating a CCR&R
Partnering with other Tribes to offer CCR&R services
Incorporating CCR&R services into program services
Other. Describe:
Optional: Describe any of the activities checked above:
Licensing, inspection, monitoring, training, and health and safety.
Supporting compliance with requirements for licensing, inspection, monitoring, training, and
health and safety. Check only those that apply:
Provide health and safety materials/equipment (e.g., carbon monoxide detectors,
fencing, personal protective equipment)
Grants/mini-grants for health and safety materials/equipment
Classroom materials and resources
Financial assistance in meeting licensing requirements
Conduct monitoring visits of child care providers
Other. Describe:
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DRAFT FFY 2023–2025 Tribal CCDF Plan Print
Optional: Describe any of the activities checked above:
Evaluating the quality of child care programs.
Evaluating the quality of child care programs, including how programs positively impact
children. Check only those that apply:
Purchasing quality assessment tools
Contracting with an outside evaluator to assess child care program quality
Implementing surveys to collect stakeholder input
Conducting internal training on the use of quality evaluations
Other. Describe:
Optional: Describe any of the activities checked above:
Supporting providers in the voluntary pursuit of accreditation.
Tribal Lead Agencies can use quality funds to support child care providers in the voluntary
pursuit of accreditation by a national accrediting body with demonstrated, valid, and
reliable program standards of high quality. Accreditation is one way to differentiate the
quality of child care providers. To gain accreditation, center-based child care and family
child care providers must meet certain quality standards outlined by accrediting
organizations. Check only those that apply:
Using accreditation guidelines as a quality measure
Funding any aspect of national accreditation (e.g., accreditation from the National
Association for the Education of Young Children, or the National Association for
Family Child Care, or accreditation developed by a Tribal association)
Paying annual accreditation fees
Other. Describe:
Optional: Describe any of the activities checked above:
High-quality program standards.
Supporting the development or adoption of high-quality program standards related to health,
mental health, nutrition, physical activity, and physical development. Check only those that
apply:
Using Head Start Program Performance Standards
Using Stepping Stones to Caring for Our Children
Using Caring for Our Children: Basics
Using Minimum Health and Safety Standards: A Guide for American Indian and
Alaska Native Child Care and Development Fund Grantees
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Using a combination of the above listed standards. Describe:
Other. Describe:
Optional: Describe any of the activities checked above:
Other quality improvement activities.
Other activities the Tribal Lead Agency will engage in to improve the quality of child care
services. Check only those that apply:
1.

Culturally Relevant Activities
Incorporating Tribal language into child care settings
Providing teacher training related to implementing language and culture
in the classroom
Implementing immersion classrooms or language nests
Partnering with language and culture departments to build curricula
Modifying curricula to reflect Tribal culture
Offering culturally based training opportunities for families and providers
Providing information and training to non-Native providers about working
with Native children and families
Serving traditional Native foods in child care programs
Other. Describe:
Optional: Describe any of the activities checked above:

Consumer Education for Families and Providers
Written materials, including newsletters, brochures, and checklists, on
child care topics
Tribal and/or local media
Social media, such as Facebook, Twitter, and Instagram
Consultation from CCR&Rs, including information about other early
childhood and social/human services programs for which families and
providers may qualify
Internet options, including electronic media, publications, and webcasts
on child care topics
Postings on community bulletin boards
Other. Describe:
Optional: Describe any of the activities checked above:

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
3.

Provider Stabilization Subgrants
Describe:

Provider retention grants/bonuses

Purchase of vans and busses

6. Other quality activities, besides the activities checked above, that the Tribal Lead
Agency intends to implement during this Plan period:

Identification of Goals and Activities to Improve Quality
Identifying the goals and activities to improve quality as described in 3.1.1.
How did the Tribal Lead Agency identify the goals and activities to improve quality as
described in 3.1.1? For example, did the Tribal Lead Agency conduct provider surveys or
assessments that identified the need for quality improvements? Check only those that apply:
Site visits and/or monitoring inspection visits
Surveys to families, providers, and Tribal leadership
Community assessments
Self-assessments
Parent, family, community, or Tribal meetings
Other. Describe:
Evaluation of Progress for Child Care Quality Improvement Goals and Activities
Evaluating progress toward meeting the overall child care quality improvement goals.
How does the Tribal Lead Agency evaluate progress toward meeting the overall child care
quality improvement goals and activities described in 3.1.1 (658G(d)(3))?
Site visits and/or monitoring inspection visits
Follow up surveys to families, providers, and Tribal leaders
Ongoing community assessments
Self-assessments and program evaluations
Parent, family, community, or Tribal meeting sign-in sheets/attendance logs
Describe the items checked above:
Other. Describe:

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
Supporting Training and Professional Development of the Child Care Workforce With CCDF Quality
Funds
The Tribal Lead Agency must develop training and professional development requirements
(documented in Section 2.1.5), including pre-service or orientation training (to be completed
within 3 months) and ongoing requirements designed to enable child care providers to promote
the social, emotional, physical, and cognitive development of children and to improve the
knowledge and skills of the child care workforce.
Such requirements shall be applicable to child care providers caring for children receiving CCDF
program funds across the entire age span, from birth through age 12 (658E(c)(2)(G)). Ongoing
training and professional development should be accessible and appropriate to the setting and age
of the children served (98.44(b)(2)).
Training and Professional Development Requirements
Specific training and professional development requirements.
To meet the needs of the following age groups or groups of children, describe the specific
training and professional development requirements you have in place for child care
providers who care for:
Infants and toddlers. Describe:
Preschoolers. Describe:
School-age children. Describe:
Children who are Indigenous-language learners. Describe:
Children with developmental delays and disabilities. Describe:
Participation in the state’s training and professional development system.
Do Tribal CCDF providers participate in the state’s training and professional development
system? For example, Tribal CCDF providers might participate in trainings offered by the local
child care resource and referral agencies or state-funded training organizations.
Yes. Describe:
No. Check only those that apply:
The Tribal Lead Agency does not have sufficient information about the state’s
training and professional development opportunities to share with Tribal CCDF
providers.
The state’s training and professional development opportunities are not
appropriate for providers caring for Native children.
The state’s training and professional development opportunities are not
accessible to Tribal CCDF providers.

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
The state’s training and professional development opportunities are not
affordable for Tribal CCDF providers.
Other. Describe:
Unknown.
Culturally relevant trainings and professional development opportunities.
Has the Tribal Lead Agency been contacted by the state for input on how to make its trainings
and professional development opportunities more culturally relevant for Native American
children?
Yes. Describe:
No.

DRAFT FFY 2023–2025 Tribal CCDF Plan Print

4 Tribal Lead Agencies With Small Allocations Only—Direct Services
CCDF direct services may be provided through a subsidy program in which the Tribal Lead
Agency offers certificates for families to use in any approved child care setting; through a Tribal
CCDF-operated center; or through grants or contracts that allocate slots with a provider who
offers child care services. The Final Rule established three categories of care:
• In-home child care: Care provided in the child’s home
• Family child care: Care provided in a private residence other than the child’s residence
• Center-based child care: Group care provided in a facility outside of the child’s or
provider’s home
The Final Rule recognizes that Tribal Lead Agencies receiving small CCDF allocations do not have to
operate a full CCDF program with all CCDF requirements. For example, Tribal Lead Agencies with
small allocations do not have to offer subsidies/direct services—all CCDF program funds can be
expended on quality activities.
Tribal Lead Agencies with small allocations have a lot of flexibility in how CCDF services are
provided. For example, Tribal Lead Agencies with small allocations could establish their own
subsidy program based on their unique needs, including determining their own eligibility
requirements. Tribal Lead Agencies with small allocations who provide subsidies/direct services
must provide OCC with an overview of their program requirements as part of their abbreviated
CCDF Plan.
Direct Child Care Services Offering
Direct Child Care Services
Direct child care services for Tribal Lead Agencies with small allocations.
Indicate if this Tribal Lead Agency with a small allocation will offer direct child care services.
Check the appropriate box below:
Not applicable, as a Tribal Lead Agency with a medium or large allocation, we will describe
direct services in the next section. Skip to Section 5.
No, as a Tribal Lead Agency with a small allocation, we will not be offering direct child care
services. Stop here and go to the appendices.
Yes, as a Tribal Lead Agency with a small allocation, we will offer direct child care services.
Complete the questions below.
Direct Child Care Methods
Methods for Direct Child Care Services provided by the Tribal Lead Agency
How does the Tribal Lead Agency provide direct child care services?

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
How does the Tribal Lead Agency provide direct child care services? Check only those that
apply:
Certificates and vouchers.
Grants or contracts with approved child care providers (e.g., does the Tribal Lead Agency
use grants or contracts to increase the supply and prioritize investments; address children
in underserved areas, infants and toddlers, children with disabilities [as defined by the lead
agency], and children who receive care during non-traditional hours; and/or improve
quality of child care programs?)
CCDF-funded Tribally Operated Center.
Categories of Care
Categories of Care
Categories of care.
The Tribal Lead Agency allows families to choose from the following categories of care. Check
only those that apply:
Center-based child care, including a Tribally Operated Center, culture camps, etc.
Family child care
In-home child care
Tribally Operated Centers
Child care services provided exclusively through Tribally Operated Centers.
Does the Tribal Lead Agency provide child care services exclusively through Tribally Operated
Centers?
Yes
No
Eligibility Criteria
Eligible children must meet the Tribal Lead Agency’s definition of Indian Child and reside in the
designated service area. Describe any other eligibility criteria, such as child’s age, family income and
size, reason for care (e.g., work, job training, education), and priorities for vulnerable populations.

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
Eligibility Criteria
As described above, Tribal Lead Agencies with small allocations can establish their own subsidy
program based on their unique needs, including determining their own eligibility requirements.
Describe eligibility criteria.
Tribal Lead Agencies have the option to describe their eligibility criteria in the text box below
or by responding to the optional eligibility criteria in sections 4.4.2 through 4.4.6 below:

Optional: Children Age Range
Optional: The Tribal CCDF program children age range.
Optional: The Tribal CCDF program serves children from ages
weeks months years
through
weeks months years -------- (may not equal or exceed age 13).

Optional: Child Care for Children with Special Needs
Optional: Child care for special needs children.
Optional: Does the Tribal Lead Agency allow CCDF-funded child care for children ages 13 and
older, but below age 19, who are physically or mentally incapable of self-care (658P(3);
98.20(a)(1)(ii))?
No
Yes
1. The upper age is
(may not equal or exceed age 19).
2. Define “physical or mental incapacity”:

Optional: Child care for children are under court supervision.
Optional: Does the Tribal Lead Agency allow CCDF-funded child care for children ages 13 and
older, but below age 19, who are under court supervision (98.20(a)(1)(ii))?
No.
Yes. The upper age is

(may not equal or exceed age 19).

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
Optional: Eligibility based on Reason for Care
4.4.4.1 Optional: Tribal Lead Agency eligibility based on reason for care.
Optional: Does the Tribal Lead Agency establish eligibility based on reason for care? For example,
does the Tribal Lead Agency require children to reside with a parent or parents who are working,
or attending a job training or an educational program, or to receive or need to receive protective
services?
No.
Yes. If Yes, go to 4.4.4.2
4.4.4.2 Define CCDF eligibility for working, training, education, and protective services.
If yes, how does the Tribal Lead Agency define working, attending a job training or an
educational program, and receiving or needing to receive protective services for purposes of
CCDF eligibility? Provide the definitions below:
“Working”:
“Attending a job training”:
“Attending an educational program”:
“Receive or need to receive protective services”:

Optional: Eligibility Based on Family Income
Optional: Does the Tribal Lead Agency establish eligibility based on family income?
No.
Yes. How does the Tribal Lead Agency define income for purposes of CCDF eligibility?
Optional: Additional Eligibility Criteria
Optional: Does the Tribal Lead Agency establish additional eligibility criteria?
No.
Yes. Describe:
Family Contributions/Co-payments
Sliding-fee scale
Sliding-fee scale for CCDF families’ contributions.

DRAFT FFY 2023–2025 Tribal CCDF Plan Print
Tribal Lead Agencies that require family contributions/co-payments from any families must
have and periodically revise a sliding-fee scale for CCDF families’ contributions that varies
based on income and family size.
Attach a copy of the sliding-fee scale (Enter Attachment #:

)

What is the sliding-fee scale effective date?
Waiving Family Contributions/Co-payments for Families
Does the Tribal Lead Agency waive family contributions/co-payments for any families?
No.
Yes. Describe:
Payment rates
Payment rates
Attach the Tribal Lead Agency’s payment rates (Enter Attachment #:

)

Application for services
Description for Family Application for Child Care Services
Describe how families can apply for child care services:

Tribal Lead Agencies with Small Allocations
Stop Here—
Go Directly to the Appendices

DRAFT FFY 2023–2025 Tribal CCDF Plan Print

Provide Stable Child Care Financial Assistance to Families (Tribal Lead
Agencies With Medium and Large Allocations)

5.1 Eligible Children and Families
Tribal Lead Agencies with large and medium allocations must include the basis for determining
family eligibility through one of two options, or a combination of both, as described below.
Standard Eligibility: Tribal Lead Agencies must determine eligibility for services pursuant to the
criteria found in 98.20(a) and 98.81(b)(1)(ii). When eligibility is determined, children must (1) be
under age 13; (2)(a) reside with a family whose income does not exceed 85 percent of the Grantee
Median Income (GMI) for a family of the same size and (2)(b) reside with a family whose assets do
not exceed $1,000,000 (as certified by such family member); and (3)(a) reside with a parent(s) who
is working or attending a job training or an educational program or (3)(b) receive, or need to
receive, protective services (658P(4); 98.20(a)).
Categorical Eligibility: If the Tribe’s median income is below 85 percent of the State Median
Income, the Tribal Lead Agency has the option to consider any Indian child in the Tribe’s service
area to be eligible to receive CCDF program funds, regardless of a family’s income, work, or training
status, provided that the provision for services still goes to those with the highest need
(98.81(b)(1)(i)). Tribal Lead Agencies that use categorical eligibility must still ensure that children
meet the Tribe’s Indian child and Indian reservation or service area definitions to be eligible for
services. Tribal Lead Agencies that use categorical eligibility may create opportunities to align CCDF
programs with other Tribal early childhood programs, including Tribal home visiting, Early Head
Start, and Head Start. This provision also allows Tribes to support Early Head Start – Child Care
Partnership grants.
Tribal Lead Agencies that elect to use categorical eligibility will receive the same funding allocation
as if they had chosen to use standard eligibility thresholds. Additional funds will not be allocated.
Additionally, Tribal Lead Agencies that implement categorical eligibility are subject to the remaining
CCDF requirements, such as the quality expenditure requirements, health and safety standards, and
enforcement and comprehensive background checks.
Combination of Standard and Categorical Eligibility: Tribal Lead Agencies may also use a hybrid
approach to determining eligibility, that is, a combination of standard and categorical eligibility. For
example, Tribal Lead Agencies may choose to use standard eligibility and categorical eligibility in
different parts of their service area, or a Tribal Consortium may establish different eligibility tracks
based on the preferences of its participating Tribes.
Eligibility Criteria Related to the Child’s Age
Eligibility criteria related to child’s age.
The Tribal CCDF program serves children from ages
(weeks/months/years) through
(weeks/months/years) (may not equal or exceed age 13).
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Note: Eligible children who reach the maximum age within the 12-month eligibility period
shall continue to receive CCDF services until their current 12-month eligibility expires. Tribal
Lead Agencies that opt to use Categorical Eligibility must still meet all other CCDF
requirements around stable financial assistance and equal access, including age eligibility.
Children incapable of self-care.
Does the Tribal Lead Agency allow CCDF-funded child care for children ages 13 and older but
below age 19 who are physically and/or mentally incapable of self-care (658P(3);
98.20(a)(1)(ii))?
No
Yes
1. The upper age is

(may not equal or exceed age 19).

2. Define “physical or mental incapacity”:

Children under court supervision.
Does the Tribal Lead Agency allow CCDF-funded child care for children ages 13 and older, but
below age 19, who are under court supervision (98.20(a)(1)(ii))?
No.
Yes. The upper age is

(may not equal or exceed age 19).

Children residing with a family.
Define “residing with”:
Defining additional eligibility terms.
Define “in loco parentis”:
Categorical Eligibility
Does the Tribal Lead Agency implement categorical eligibility?
No. Skip 5.1.2.2 through 5.1.2.5 and fill out Section 5.1.3.
Yes, the Tribal Lead Agency only implements categorical eligibility for the entire service area.
If yes, fill out Section 5.1.2 and skip section 5.1.3.
Yes, the Tribal Lead Agency implements categorical eligibility for part of the service area or,
for a Tribal Consortium, for one or more participating Tribes. If yes, fill out 5.1.2 through and
including 5.1.3.
Justification for Categorical Eligibility.
Demonstrate that the Tribal Median Income (TMI) is below 85 percent of the State Median
Income (SMI). For a family size of four:
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1. 100 percent of State Median Income: $
2. 85 percent of State Median Income: $
3. 100 percent of Tribal Median Income: $

/month
/month
/month (must be less than 85 percent SMI)

Documentation of TMI and SMI data sources
Document the TMI and SMI data sources. Tribal Lead Agencies may use tribally collected
income data, but Census data are preferred. The data should be the most recent median
income (TMI or SMI) data available.
1. Source of data for Tribal Median Income (e.g., American Community Survey, 2020):
i.

Date:

ii. Attachment #:
iii. Web address:
2. Source of data for State Median Income:
i.

Name of State:

ii. Date:
iii. Attachment #:
iv. Web address:

Describe categorical eligibility requirements, including if there are variations in categorical
eligibility (e.g., different categorical eligibility in different geographical areas):
Ensuring services for those with the highest need
How does the Tribal Lead Agency ensure that the provision of services still goes to those with
the highest need? (98.81(b)(1)(i)):
Skip to Section 5.2 if the Tribal Lead Agency implements categorical eligibility for the
entire service area. (Skip pattern triggered by 5.1.2.1.)
Eligibility Criteria Based on Reason for Care
To be eligible to receive CCDF services, children must reside with a parent or parents who are
working, are attending a job training or an educational program, or are engaged in a job search
activity and/or must receive or need to receive protective services.
Tribal Lead Agencies have broad flexibility in defining “working,” “attending a job training
program,” and “attending an educational program.” The definitions provided below should
include any allowable activities, including travel time and study time. For example, a definition of
“working” could include working for a salary or wages, self-employment, drug or alcohol
rehabilitation, subsistence activities, job search, and/or volunteering as well as the travel time to
and from the activity. Definitions should also address any limitations, such as minimum hours
required or maximum hours allowed.
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Definition of work, job training and education.
How does the Tribal Lead Agency define “working, job training, and education” for the
purposes of CCDF eligibility at the time of determination? Make sure to include a definition
for “attending” within the “job training and education” definitions (e.g., number of hours,
travel time) (98.16(g)). Provide the definitions below:
“Working”:
“Job training” (include a definition for “attending a job training” e.g., number of hours, travel
time):
“Education” (include a definition for “attending an education program” e.g., number of hours,
travel time):
Eligibility Based on Protective Services and Vulnerable Populations
Tribal Lead Agencies have the flexibility to define protective services beyond formal child welfare
or foster care cases, including other vulnerable children, such as children experiencing
homelessness.
If the Tribal Lead Agency provides CCDF-funded child care to children in foster care whose foster
care parents are not working or in education/training activities, these children are considered to
be in protective services and must be included in this definition for CCDF purposes.
Protective services.
For the purposes of CCDF eligibility, does the Tribal Lead Agency include children who receive,
or need to receive, protective services?
No. Skip to 5.1.5.
Yes.
1. Define “protective services” for the purposes of eligibility:
2. Are children in foster care considered to be in protective services?
No.
Yes. Foster care is included under the Tribal Lead Agency’s definition of
protective services in 5.1.4.1 above. (This means that, for CCDF purposes, the
Tribal Lead Agency considers these children to be served under the protective
services eligibility category.)
3. Does the Tribal Lead Agency waive the income eligibility requirements for cases in which
children receive, or need to receive, protective services on a case-by-case basis (658E(c)(5))?
No
Yes
4. Does the Tribal Lead Agency provide respite child care to custodial parents of children in
protective services?
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No.
Yes. Respite care is included under the Tribal Lead Agency’s definition of
protective services in 5.1.4.1 above.
5. Does the Tribal Lead Agency waive the asset limit on a case-by-case basis for families defined as
receiving, or in need of, protective services?
No.
Yes.
Eligibility Criteria Based on Family Income
Definition of income for purposes of eligibility.
For the purposes of eligibility determination, Tribal Lead Agencies have flexibility in defining
“income.” This flexibility allows for the exclusion or deduction of certain types of income from
calculations of total family incomes.
How does the Tribal Lead Agency define “income” for the purposes of eligibility?
Establishing CCDF family income eligibility limits.
Tribal Lead Agencies must establish CCDF family income eligibility limits. Those limits
cannot exceed 85 percent of the Grantee Median Income (GMI). A Tribal Lead Agency has
the flexibility to use either State Median Income (SMI) or Tribal Median Income (TMI) as its
Grantee Median Income. Check the appropriate box below to indicate which option the
Tribal Lead Agency has selected:
State Median Income for a family of the same size.
Source (e.g., Census Bureau, etc.):
State:
Year:
Tribal Median Income for a family of the same size residing in the area served by the
Tribal Lead Agency.
Source: (e.g., Tribal community assessment, etc.):
Year:
Tribal Lead Agencies may use tribally collected income data, but ACF strongly recommends
that Tribal Lead Agencies use Census data. For either option, the data should be the most
recent SMI or TMI data available.
Establishing CCDF income eligibility levels.
Tribal Lead Agencies must establish CCDF income eligibility levels. Complete Table 5.1.5.3
for the Tribal Lead Agency’s CCDF income eligibility levels.
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Column (a) lists 100 percent of the current Grantee Median Income (GMI) for each family
size.
Column (b) lists 85 percent of the current GMI for each family size. (By law, this is the
maximum allowable income for CCDF eligibility.)
Has the Tribal Lead Agency chosen to set income eligibility limits below 85 percent of the
current GMI?
No. Complete columns (a) and (b) in Table 5.1.5.3. Do not complete columns (c)
through (f).
Yes. Complete columns (a) through (f) in Table 5.1.5.3.
Columns (c) and (d) show the Tribal Lead Agency’s maximum income eligibility level for each
family size at the time a family applies for CCDF services. Tribal Lead Agencies have the option
of setting income eligibility limits below 85 percent of the current GMI.


Columns (e) and (f) list the Tribal Lead Agency’s graduated phase-out or maximum
“exit” income levels. If the Tribal Lead Agency sets income eligibility limits below 85
percent of the current GMI, it is subject to the graduated phase-out requirement
described below. Tribal Lead Agencies that set their initial income eligibility levels at
85 percent of the current GMI are not subject to the graduated phase-out
requirement (98.21(b)). Tribal Lead Agencies that establish initial family income
eligibility below 85 percent of GMI must provide graduated phase-out by
implementing two-tiered eligibility thresholds, with the second tier of eligibility (used
at the time of eligibility redetermination) set at 85 percent of State Median Income
(SMI) for a family of the same size—or an amount lower than 85 percent of SMI but
above the Tribal Lead Agency’s initial eligibility threshold. If the Tribal Lead Agency
uses an amount lower than 85 percent of GMI, it must take into account the typical
household budget for a low-income family and provide justification that the eligibility
threshold (1) is sufficient to accommodate increases in family income that promote
and support family economic stability and (2) reasonably allows a family to continue
accessing child care services without unnecessary disruption (98.21(b)).

The income limit in column (e) cannot exceed the amount shown in column (b).

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Table 5.1.5.3: Tribal CCDF Income Eligibility Levels
(a)

(b)

100% of
GMI
$/month

85% of GMI

(c)

(d)

(e)

(If Applicable) (If Applicable)
(If Applicable)
Maximum Maximum Income Maximum Phase$/month
Income Level if Level if Lower Out/Maximum “Exit”
Lower Than Than 85% Current
Income Level
[Multiply (a) by
GMI
85%
Current
(Cannot
exceed 85%
0.85]
GMI
GMI)
% of GMI
$/month
$/month
[Divide (c) by (a),
multiply by 100]

(f)
(If Applicable)
Maximum
PhaseOut/Maximum
“Exit” Income
Level (Cannot
exceed 85%
GMI)
% of GMI
[Divide (e) by (a),
multiply by 100]

Family
Size
1*
2
3
4
5
6
7
8

*Note: On a case-by-case basis, Tribal Lead Agencies may consider a child in foster care to be
a “family of one” for purposes of determining CCDF income eligibility.
Income fluctuations in determining or redetermining eligibility.
During the eligibility determination or redetermination process, the Tribal Lead Agency must
consider fluctuations in family income. This is particularly important for families who rely on
work that is unpredictable or seasonal in nature, such as agriculture; construction work; or
subsistence activities, such as hunting and fishing. Families may experience a temporary spike
in income due to working increased hours over a short period, yet those earnings are not
representative of the family’s income over the course of a year.
How does the Tribal Lead Agency take income fluctuations into account when determining
and redetermining eligibility? Check all that apply:
Averaging income annually
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Disregarding temporary, short-term income increases
Other. Describe:
Family assets.
Tribal Lead Agencies are required to ensure that children receiving CCDF program funds do
not have family assets that exceed $1,000,000, as certified by a family member
(98.20(a)(2)(ii)). Tribal Lead Agencies can meet this requirement through family selfcertification, either in the application, during the interview process, or through another
method as determined by the Tribal Lead Agency.
Describe how the family member certifies that family assets do not exceed $1,000,000:
Additional Eligibility Criteria
The Tribal Lead Agency has flexibility in establishing additional eligibility criteria. Additional
criteria could include, for example, Tribal applicants first applying with the state CCDF
program or higher income limits in one part of the Tribal service area.
Does the Tribal Lead Agency establish additional eligibility criteria (98.16(g)(5), 98.20(b))?
No
Yes. Describe:
Attachment for additional income eligibility.
If additional eligibility criteria include different income eligibility limits, please attach
additional income eligibility tables and indicate attachment(s) #:
Application and Eligibility Determination/Redetermination Process
Dissemination of Information on Applying for Child Care Assistance
Tribal Lead Agencies must inform families of eligible children and the general public of the process
by which they can apply for Tribal CCDF assistance (658E(c)(2)(E)(i)(1)).
Informing Families.
How are families informed of the availability of child care assistance under the Tribal CCDF
program? Check only those that apply:

Tribal Lead Agency

Health Clinics

Child care providers

TANF offices

CCR&R agencies

Other Tribal offices

Public and/or Tribal schools

Other governmental offices

Early Head Start/Head Start
programs

Community outreach events

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Tribal newsletter/newspaper
Radio and/or television
Social media

Internet. Provide
website(s):
Other. Describe:

Applying for Child Care Services
How can families apply for child care services? Check only those that apply:
In-person interview or orientation
Phone
Mail
At the child care provider’s site
Electronically via online application or email (provide website):
Other. Describe:
Eligibility Documentation Procedures
Tribal Lead Agencies are required to have procedures for documenting and verifying that children
and families receiving CCDF program funds meet eligibility criteria at the time of eligibility
determination and redetermination (98.68(c)).
Lead agencies should note that there are no Federal requirements for specific documentation or
verification procedures.
Document verification at initial determination and redetermination.
Check the information that the Tribal Lead Agency documents and verifies at initial
determination and redetermination and describe, at a minimum, what information is required
and how often. Check only those that apply:
Child’s age:
Indian child:
Work:
Job training:
Education program:
Family income:
Household composition:
Applicant identity:
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Applicant’s relationship to the child:
Applicant’s residence (e.g., must reside within Indian reservation or service area):
Other:

Timeliness of Eligibility Determinations
Timeliness of eligibility upon receipt of applications.
Which strategies, if any, will the Tribal Lead Agency use to ensure the timeliness of eligibility
determinations upon receipt of applications? Check only those that apply:
Time limit for making eligibility determinations. Describe the length of time:
Track and monitor the eligibility determination process.
Other. Describe:
None.
12-Month Eligibility
Tribal Lead Agencies are required to establish a minimum 12-month eligibility and
redetermination period, regardless of changes in a family’s eligibility including changes in child’s
age (including turning 13 years old during the 12-month eligibility period) and changes in family’s
residency within a Tribal service area (658E(c)(2)(N)(i) and (ii); 45 C.F.R § 98.21(a)(1)).
Tribal Lead Agencies must provide a minimum 12-month eligibility and redetermination period as
long as the family’s income does not exceed the Federal threshold of 85 percent of the grantee
median income. The Tribal Lead Agency may not terminate assistance prior to the end of the 12month period if a family experiences temporary changes in participation in work, training, or
educational activities (658E(c)(2)(N)(i) and (ii)).
Minimum 12-month eligibility.
Describe the Tribal Lead Agency’s policies and procedures in implementing the minimum 12month eligibility and redetermination requirements:
Definitions required minimums of temporary change.
Describe and define the Tribal Lead Agency’s policy for each of the minimum required elements
listed below that are included in the lead agency’s definition of “temporary change.”
Time-limited absence from work for an employed parent due to such reasons as the need to
care for a family member, or an illness. Describe or define the Tribal Lead Agency’s policy:

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Interruption in work for a seasonal worker. Describe or define the Tribal Lead Agency’s
policy:
Student holidays or breaks for a parent participating in a training or educational program.
Describe or define the Tribal lead agency’s policy:
Reduction in work, training, or education hours, as long as the parent is still working or
attending a training or an educational program. Describe or define the Tribal Lead Agency’s
policy:
Other cessation of work or attendance at a training or an educational program that does
not exceed 3 months, or a longer period of time established by the Tribal Lead Agency.
Describe or define the Tribal Lead Agency’s policy:
Changes in residency within the Tribal service area. Describe or define the Tribal Lead
Agency’s policy:
A child turning 13 years old during the 12-month eligibility period. Describe or define the
Tribal Lead Agency’s policy:
Additional definitions of temporary changes.
Describe any additional conditions in the Tribal Lead Agency’s definition of “temporary changes
in activity”:
Option to discontinue assistance during the 12-month eligibility period.
A Tribal Lead Agency has the option to discontinue assistance during the 12-month eligibility period
due to a parent’s non-temporary loss of work, or cessation of attendance at a job training or an
educational program; however, it must provide at least 3 months of continued assistance at the
same level after such loss or cessation. At the end of the minimum 3-month period of continued
assistance, if the parent has engaged in a qualifying work, training, or educational program activity
with an income below 85 percent of SMI, assistance cannot be terminated, and the child must
continue receiving assistance until the next scheduled redetermination or, at the Tribal Lead
Agency’s option, for an additional minimum 12-month eligibility period (98.21 (a)).
Discontinuation of assistance during a minimum 12-month eligibility period.
Does the Tribal Lead Agency choose to discontinue assistance during the minimum 12-month
eligibility period due to a parent’s non-temporary loss or cessation of eligible activity?
Yes. Describe the Tribal Lead Agency’s policies and procedures for discontinuing
assistance due to a parent’s non-temporary change:
No. The Tribal Lead Agency does not discontinue assistance during the 12-month
eligibility period due to a parent’s non-temporary change.
Job search/continuation of services.
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Skip to 5.2.7, if No is checked in 5.2.6.1. If Yes is checked in 5.2.6.1 above, describe the Tribal
Lead Agency’s policies and procedures for offering a minimum 3-month period to allow parents
to engage in a job search, and to resume participation in an eligible activity. The Tribal Lead
Agency may discontinue assistance prior to the next 12-month redetermination in the following
limited circumstances. Check only those that apply:
Excessive unexplained absences (after multiple attempts to contact the family, including
the prior notification of a possible discontinuation of assistance).
A change in residency outside of the Tribal service area.
Substantiated fraud or intentional program violations that invalidate prior determinations
of eligibility. Describe the violations that lead to discontinuing assistance:
Change reporting during the 12-month eligibility period.
Families are required to report to the Tribal Lead Agency at any time during the 12-month eligibility
period if the family’s income exceeds 85 percent of the GMI, taking into account irregular
fluctuations in income (98.21(e)(1)).
Any additional reporting requirements during the 12-month eligibility period must be limited to
items that impact a family’s eligibility (e.g., that impact the Tribal Lead Agency’s ability to contact
the family or pay the child care providers) and shall not require an office visit. In addition, the
Tribal Lead Agency must offer a range of notification options to accommodate families.
Tribal Lead Agencies are required to have procedures and policies in place to ensure that families
(especially families receiving assistance under the TANF program) are not required to unduly
disrupt their employment, education, or job training activities to comply with the Tribal Lead
Agency’s or designated local entity’s requirements for the redetermination of eligibility for
assistance (658E(c)(2)(N)(ii); 98.21(d)).

Requirements for families to report changes.
Does the Tribal Lead Agency require families to report other changes (e.g., change of address,
change in need for child care, change in child care provider)?
No.
Yes. Describe
Ensuring reporting is not burdensome.
Describe how the Tribal Lead Agency ensures that reporting changes are not burdensome and
avoid an impact on continued eligibility between redeterminations (e.g., reporting changes by
mail, email, online forms, or in-person; extended submission hours):

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Procedures for Unlimited Access for Parents
Tribal Lead Agencies are required to have in effect procedures for ensuring that parents have
unlimited access to their children whenever their children are in the care of a provider who
receives CCDF program funds (658E(c)(2)(B); 98.16(t); 98.31).
5.2.8.1 Describe the Tribal Lead Agency’s procedures for meeting the parental access
requirement:
TANF Agency Definitions
Tribal Lead Agencies are required to inform parents who receive TANF benefits about the exception
to the individual penalties associated with the work requirement for any single custodial parent
who has a demonstrated inability to obtain needed child care for a child younger than age 6
(98.16(v); 98.33(f)).
The TANF agency, not the Tribal CCDF lead agency, is responsible for establishing the following
criteria or definitions. These criteria or definitions are offered in this Plan as a matter of public
record. This question is for informational purposes.
The Tribal Lead Agency may choose to coordinate with either the Tribal TANF agency or agencies
within the service area, the state TANF agency, or both. The definitions provided should be
gathered from the TANF agency that is most relevant and works more closely with the Tribal Lead
Agency.
Identify the TANF agency that established these criteria or definitions:
State TANF Agency:
Tribal TANF Agency:
Provide the following criteria or definitions established by the TANF Agency:
1. “Appropriate child care”:
2. “Reasonable distance”:
3. “Unsuitability of informal child care”:
4. “Affordable child care arrangements”:
TANF work requirements exceptions.
How are parents who receive TANF benefits informed about the exception to individual
penalties associated with the TANF work requirements? Briefly describe the process:
In writing. Describe:
Verbally. Describe:

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Improving Access for Vulnerable Children and Families
Tribal Lead Agencies are required to give priority for child care assistance to “children with special
needs” and children experiencing homelessness (658E(c)(3)(B); 98.46(a)). The prioritization of CCDF
assistance services is not limited to eligibility determination (e.g., prioritize for enrollment, serve
without placing vulnerable populations on waiting lists, waive co-payments, pay higher rates for
access to higher quality care, use grants or contracts to reserve slots for priority populations).
Children With Special Needs
Tribal Lead Agencies have flexibility in how they define “children with special needs.” The definition
of “children with special needs” may include children with physical or mental disabilities or children
who are considered part of “vulnerable populations” (e.g., families with very low incomes, children
at risk of receiving protective services, children with teen parents).
Describe how the Tribal Lead Agency defines “children with special needs”:
Children with special needs.
Describe how the Tribal Lead Agency will give priority for child care services to children with
special needs:
Services for Children Experiencing Homelessness
As defined in Section 725 of Subtitle VII-B of the McKinney-Vento Act (42 U.S.C. 11434a; 98.2),
children experiencing homelessness are those who lack a fixed, regular, and adequate nighttime
residence, and who are:








Sharing the housing of others due to a housing, economic hardship, or similar reason
Living in hotels, motels, trailer parks, or campgrounds due to the lack of alternative
adequate accommodations
Living in emergency or transitional shelters
Abandoned in hospitals
Living in a primary nighttime residence that is public or not designed for human beings
Living in cars, parks, public spaces, abandoned buildings, substandard housing, bus or
train stations, or similar settings
Migrant children

Tribal Lead Agencies are required to expend CCDF program funds to:




Permit the enrollment (after an initial eligibility determination) of children experiencing
homelessness while required documentation is obtained—allowing a grace period
Provide training and TA to child care providers and the appropriate Tribal Lead Agency (or
designated entity) staff in identifying and serving children experiencing homelessness
Conduct specific outreach to families experiencing homelessness (658E(c)(3)(B)(i); 98.51)

Access for families experiencing homelessness.
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Describe how the Tribal Lead Agency improves access to child care for children and families
experiencing homelessness (e.g., adding new providers near homeless shelters):
Services for families experiencing homelessness.
Indicate how services are prioritized for children experiencing homelessness, as defined by the
Tribal Lead Agency. Check only those that apply:
Prioritize for enrollment in child care services
Serve without placing on waiting list
Waive co-payments (on a case-by-case basis) as described in 5.4.1(g)
Pay a higher rate for access to higher quality care
Using grants or contracts to reserve spots
Outreach for families experiencing homelessness.
Describe how the Tribal Lead Agency conducts outreach to children experiencing
homelessness and their families:
Grace periods.
Tribal Lead Agencies must establish a grace period that allows children experiencing
homelessness and children in foster care to receive CCDF assistance while providing their
families with a reasonable time to take any necessary actions to comply with immunization and
other health and safety requirements. The length of such a grace period shall be established in
consultation with the state, territorial, or Tribal health agency (658E(c)(2)(I)(i)(I);
98.41(a)(1)(i)(C)).
Describe the grace period and how the length of the grace period was established in
consultation with state or Tribal health agencies for:
a) children experiencing homelessness:
b) children in foster care:
Additional Priority Rules or Categories
Does the Tribal Lead Agency have additional priority rules or categories?
No.
Yes. Define the additional priority rule(s):
Building the Supply of Child Care
Tribal Lead Agencies are required to develop and implement strategies to increase the supply of
child care services and to improve the quality of care for children who are typically underserved.
These populations include children in underserved areas, infants and toddlers, children with
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disabilities, and children who receive care during non-traditional hours. (See
https://www.acf.hhs.gov/occ/policy-guidance/building-supply-high-quality-child-care for additional
guidance.)
Supply and quality improvement strategies.
Describe the strategies being implemented by the Tribal Lead Agency to increase the supply
and to improve the quality of child care services for each of the following groups of children.
Children in underserved areas. Describe:
Infants and toddlers. Describe:
Children with disabilities. Describe:
Children who receive care during non-traditional hours. Describe:
Family Contribution to Payments
Tribal Lead Agencies must establish and periodically revise a sliding-fee scale that varies based on
income and the size of the family to determine each family’s contribution (i.e., co-payment) that
is not a barrier to families receiving CCDF program funds (658E(c)(5)).
Family Contribution to Payment
In addition to income and size of the family, the Tribal Lead Agency may use other factors when
determining family contributions/co-payments. Tribal Lead Agencies, however, may not use the
cost of care or amount of a subsidy payment in determining copayments (98.45(k)(2)).
Complete the co-payment information based on the most populous area of the service area
(defined as the area serving the highest number of CCDF children). Calculate the percent of
income by dividing the co-payment by the family income.
Lowest
income
level where
family is
charged a
co-pay
(greater
than $)
Family size of 1
Family size of 2
Family size of 3
82

What is the
monthly copayment for
a family of
this size
based on
the lowest
income
level?

What
percentage
of income is
this copayment at
the lowest
income
level?

Highest
income
level before
a family is
no longer
eligible?

What is the
monthly copayment for
a family at
the highest
income
level?

What is the
percentage
of income at
the highest
income
level?

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Family size of 4
Family size of 5

What is the effective date of the sliding-fee scale(s)?
Will the attached sliding-fee scale be used in all parts of the service area?
Yes.
No. Attach additional sliding-fee scale(s). Attachment(s) #:

. Effective date:

Calculation of family contribution.
How will the family’s contribution be calculated, and to whom will it be applied? Check only
those that apply:
The fee is a dollar amount and:
The fee is per child, with the same fee for each child.
The fee is per child and is discounted for two or more children.
The fee is per child up to a maximum per family.
No additional fee is charged after a certain number of children.
The fee is per family.
The contribution schedule varies because it is set locally and/or regionally.
Describe:
Other. Describe:
The fee is a percentage of income and:
The fee is per child, with the same percentage applied for each child.
The fee is per child, and a discounted percentage is applied for two or more
children.
The fee is per child up to a maximum per family.
No additional percentage is charged after a certain number of children.
The fee is per family.
The contribution schedule varies because it is set locally and/or regionally (as
indicated in 5.4.1.3). Describe:
Other. Describe:
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Additional factors to determine family’s co-payment.
Does the Tribal Lead Agency use other factors in addition to income and family size to
determine each family’s co-payment (658E(c)(3)(B))? Reminder: Tribal Lead Agencies may not
use the cost of care or amount of a subsidy payment in determining copayments (98.45(k)(2)).
No.
Yes. Check and describe those additional factors below:
Number of hours the child is in care. Describe:
Lower co-payments for a higher quality of care, as defined by the Tribal Lead
Agency. Describe:
Other. Describe:
Affordability of family contribution/co-payment.
How will the Tribal Lead Agency ensure that the family contribution/co-payment is affordable
and is not a barrier to families receiving CCDF program funds? Check only those that apply:
Limit the maximum co-payment per family to a dollar amount. List the maximum dollar
amount, and describe:
Limit the combined amount of co-payment for all children to a percentage of family
income. List the percentage, and describe:
Minimize the abrupt termination of assistance before a family can afford the full cost of
care (“the cliff effect”) as part of the graduated phase-out of assistance. Describe:
Other. Describe:
Waiving family contributions/co-payments.
The Tribal Lead Agency may waive contributions/co-payments from families whose incomes are
at or below the poverty level for a family of the same size; for families who are receiving or
needing to receive protective services, as determined for purposes of CCDF eligibility; or for
families who meet other criteria established by the Tribal Lead Agency (98.45(k)(4)).
Does the Tribal Lead Agency waive family contributions/co-payments? Check only those that
apply:
Yes, the Tribal Lead Agency waives family contributions/co-payments for families with an
income at or below the poverty level for families of the same size.
Yes, the Tribal Lead Agency waives family contributions/co-payments for families who are
receiving or needing to receive protective services, as determined by the Tribal Lead
Agency for purposes of CCDF eligibility.

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Yes, the Tribal Lead Agency waives family contributions/co-payments for other criteria
established by the Tribal Lead Agency (e.g., families experiencing homelessness, migrant
workers, victims of human trafficking, families receiving TANF). Describe the criteria:
No, the Tribal Lead Agency does not waive family contributions/co-payments.
Allowance of additional amounts exceeding subsidy payment.
Does the Tribal Lead Agency allow providers to charge families additional amounts above the
required co-payment in instances where the provider’s price exceeds the subsidy payment
(98.45(b)(5))?
No.
Yes. If yes, describe the policy and/or procedure:

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6 Ensure Equal Access to Quality Child Care for Low-Income Children (Tribes with
Medium and Large Allocations)
Description of Direct Child Care Services
CCDF direct services may be provided through a subsidy program in which the Tribal Lead Agency
offers certificates for families to use in any approved child care setting; through a Tribal CCDFoperated center; or through grants or contracts that allocate slots with a provider who offers child
care services. The Final Rule established three categories of care:


Center-based child care: Group care provided in a facility outside of the child’s or
provider’s home



Family child care: Care provided in a private residence other than the child’s residence



In-home child care: Care provided in the child’s home

Tribal Lead Agencies with large allocations are required to operate a certificate program that
permits families to choose care from all three categories of care.
Child Care Services (658E(c)(2)(A): 658E(c)(3)(A)-(B); 658P(6)-(7); 98.16(i)(1); 98.30; 98.50)
In-home care limits.
If the Tribal Lead Agency allows for in-home care (i.e., care provided in the child’s own home),
as described in 98.16(i)(2), does the Tribal Lead Agency limit the use of in-home care in any
way?
No.
Yes. What limits does the Tribal Lead Agency set? Check only those that apply:
Restricted based on the minimum number of children in the care of the
provider due to the Fair Labor Standards Act (minimum wage) requirement.
Describe:
Restricted based on the provider meeting a minimum age requirement (a
relative provider must be at least 18 years of age based on the definition of
eligible child care provider (98.2). Describe:
Restricted based on hours of care (e.g., a certain number of hours, nontraditional work hours). Describe:
Restricted to care by relatives only. Describe:
Restricted to care for children with special needs or medical conditions.
Describe:
Restricted to in-home providers that meet additional health and safety
requirements beyond those required by the CCDF program. Describe:
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Other. Describe:
Funding direct child care services by the Tribal Lead Agency.
How does the Tribal Lead Agency fund its direct child care services? Check only those that
apply:
Certificates. (Tribal Lead Agencies with large allocations must operate certificate
programs).
Grants or contracts with approved child care providers.
CCDF-funded Tribally Operated Center.
1. Does the Tribal Lead Agency provide child care services exclusively through a Tribally Operated
Center(s)?
Yes (option available only to Tribal Lead Agencies with medium
allocations). Skip the rest of Section 6. Continue to Section 7.
No. Continue to the next question.
Provision of grants or contracts.
CCDF direct services may be provided through grants or contracts that allocate slots with a
provider who offers child care services. Does the Tribal Lead Agency use grants or contracts for
child care slots to increase the supply and/or to improve the quality of child care programs
(658E(c)(2)(M))?
No, grants or contracts are not used for the purposes of increasing supply or improving
quality.
Yes. Grant- or contract-funded slots are used to increase the supply and/or to improve
the quality of the following types of child care programs through (check only those that
apply):
Providers offering Native language education or a culturally based curriculum.
Providers serving specific populations. (Please reference and complete Table
6.1.1.4 below.)
Providers serving children needing care during non-traditional hours.
Providers meeting or exceeding higher quality standards, such as programs with
higher QRIS ratings or nationally accredited programs.

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Providers offering bonuses, higher pay, or other financial incentives to teaching
staff for reaching higher levels of education and/or qualifications.
Other. Describe:
Table 6.1.1.4:
Grants or Contracts Are Used in Child Care
Programs That Serve

To Increase the
Supply of Care

To Increase the
Quality of Care

i. Children with disabilities

☐

ii. Infants and toddlers

☐

iii. School-age children

☐

iv. Children needing non-traditional hour care

☐

v. Children experiencing homelessness

☐

vi. Children with diverse linguistic or cultural
backgrounds

☐

vii. Children in underserved areas

☐

viii. Children in urban areas

☐

ix. Children in rural areas

☐

x. Other populations, please specify

☐

Methods to Inform Families of Child Care Provider Categories
Informing families of child care provider options.
How are families informed of the option to choose from the full range of child care provider
categories—for example, center-based child care, family child care, in-home child care
providers, and other provider types as applicable (658E(c)(2)(A)(i); 658P(2); 658Q))? Check only
those that apply:
Certificate that also includes information about the choice of providers, including highquality providers
Consumer education materials on choosing child care
Verbal communications at the time of application
Community outreach, workshops, or other in-person activities
Other. Describe:
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Assessing Child Care Market Rates
The regulations at 98.83(d)(1)(iv) exempt all Tribal Lead Agencies from the requirement to use
a market rate survey or alternative methodology to set provider payment rates because many
Tribal service areas are in rural, isolated areas, making such a requirement difficult.
Although they are exempt from the market rate survey requirement, Tribal Lead Agencies
must set sufficient base payment rates to provide equal access to the full range of child care
services and must set rates that cover the costs of providing higher quality care. At a
minimum, Tribal Lead Agencies with large allocations must operate certificate programs and
are required to show how payment rates are adequate, including a description of how
payment rates are established; how they support the health, safety, quality, and staffing
requirements, along with the cost of providing higher quality care; and, where applicable, how
they support cultural and linguistic appropriateness.
Tribal Lead Agencies, at their option, may still conduct a market rate survey or an alternative
methodology approach or use the state's methodologies to set payment rates. If using an
alternative methodology, a Tribal Lead Agency may use child care resource and referral data to
assess child care costs in its service area. See https://www.acf.hhs.gov/occ/resource/ccdf-acfpi-2018-01 for additional alternative methodology guidance.

6.2.1

Determining Cost of Care
Cost of care by Tribal Lead Agency.
How did the Tribal Lead Agency determine the cost of care? Please indicate if any of the
following sources of information were used in assessing the cost of care or price of care within
the service area. Check only those that apply:
State market rate survey. State(s):

Date(s) completed:

State alternative methodology. State(s):

Date(s) completed:

Child care resource and referral data. Describe:
Tribal market rate survey. Date completed:
Alternative methodology. Date completed:
Other. Describe:
Establishing Adequate Payment Rates
Tribal Lead Agencies are required to establish payment rates for child care services that ensure
eligible families have equal access to child care services comparable to those services provided to
families not eligible to receive CCDF services (658E(c)(4); 98.16(r); 98.45(a); 98.45(b)(1)-(2);
(98.45(b)(7)-(8)).
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Establishing Payment Rates
Describe how the Tribal Lead Agency establishes payment rates:
Base Payment Rates
Tribal Lead Agencies are required to set base payment rates at least at a level sufficient to cover
the costs to the provider of the health, safety, quality, and staffing requirements included in the
CCDBG Act and Final Rule.
Description of how base payment rates support needs of providers.
Describe how the Tribal Lead Agency’s base payment rates enable providers to meet the
health, safety, quality, and staffing requirements under the CCDF program:
Base Rates Support of Quality
Description of how base rates support needs of Tribal communities.
Describe how the Tribal Lead Agency’s base payment rates support quality and meet the needs
of the Tribal communities they serve (e.g., where applicable, cultural and linguistic
appropriateness):
Payment Rates
The payment rates should reflect the variety of care offered in the Tribal Lead Agency’s program
(e.g., different rates based on the child’s age, the category of care). Tribal Lead Agencies are
reminded that payment rates cannot be based on a family’s eligibility, such as receiving TANF or
participation in education or training. Include all payment rates and the definition of service areas
in the attached payment rates.
For center-based providers and family child care providers, provide the full-time weekly base
payment rate for each age group that the Tribal Lead Agency serves. If weekly rates are not
published, then the Tribal Lead Agency will need to calculate its equivalent. If the payment rates
differ, use the most common payment rates for center-based providers and family child care
provider.
Full-time weekly base payment rates for center-based care
Infant (6 months):
Toddler (18 months):
Preschooler (4 years):
School-age child (6 years; Based on full-day, full-year rates that would be paid during the
summer):
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Payment rates for family child care providers
Infant (6 months):
Toddler (18 months):
Preschooler (4 years):
School-age child (6 years; Based on full-day, full-year rates that would be paid during the
summer):

Effective date of payment rate.
The effective date of those payment rates is:
payment rate attachment(s).)

(Include tiered/differential rates in the

Tiered, Differential, or Add-On Rates
Tribal Lead Agencies can choose to establish tiered rates, differential rates, or add-ons to their base
rates. This process allows them to increase payments for targeted needs (i.e., a higher rate for
children with special needs as an incentive and for additional costs).
Tribal Lead Agencies must set payment rates that ensure eligible families have the same access
to care as families not eligible for subsidies. They may set the rates based on what providers
charge for care, but also must take into account the cost of care to providers. Providers usually
set their prices based on a number of factors impacted by the cost of providing care, such as staff
salaries and benefits, training and professional development, curricula and supplies, group size
and child/staff ratios, enrollment levels, facility size, and other costs. Taking those factors into
account means that Tribal Lead Agencies may set different rates for different kinds of care; for
example, payment rates for infants may be higher than rates for school-age children because it
costs providers more to offer infant care given more restricted child/staff ratios.
In addition, Tribal Lead Agencies can choose to set tiered payment rates or create rate add-ons
(sometimes called “differential rates”) to their regular rates to increase payments for targeted
needs. For example, a Tribal Lead Agency could encourage more care during non-traditional
hours by paying providers who work evenings a 15-percent add-on over the regular payment
rate. An example of tiered rates is paying family child care providers who earn a child
development associate (CDA) 5 percent more than the regular rate and paying those who earn
accreditation 10 percent more. Tiered rates and add-ons are often used to encourage and
support care for specific populations (such as children with special needs, infants and toddlers,
school-age children, children in rural areas, or children experiencing homelessness) and to
encourage providers to increase or sustain their program quality.
Types of tiered payment or differential rates by Tribal agency.
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Does the Tribal Lead Agency provide any type of tiered payment or differential (add-on) rates
(658E(c)(4)(C)(ii))?
No.
Yes. Describe each of the tiered or differential (add-on) rates that the Tribal Lead Agency has
chosen to implement. Check only those that apply:
Tiered or differential rate for non-traditional hours
Tiered or differential rate for children with special needs (special needs as defined
by the Tribal Lead Agency)
Tiered or differential rate for infants and toddlers
Tiered or differential rate for school-age programs
Tiered or differential rate for higher quality (quality as defined by the Tribal Lead
Agency)
Other tiered or differential rates. Describe:
Payment Rates to Support Equal Access
Ensuring sufficient payment rates for equal access.
How does the Tribal Lead Agency ensure that payment rates are sufficient to ensure equal
access? Equal access would offer children receiving CCDF subsidies access to the same services
(e.g., type of care, quality of care) as children not receiving CCDF subsidies.
To certify, check only those that apply and provide a description of the rationale that the Tribal
Lead Agency used to determine equal access (658E (c)(4)(A)).
Feedback from families, including family/parent surveys or family/parent complaints.
Describe:
Feedback from providers, including provider surveys or provider complaints.
Payment rates are set at the 75th percentile or higher of the most recent state or Tribal
market rate survey.
Using tiered rates/differential rates (as described in 6.3.5) to increase access for high-need
populations.
Other. Describe:
Implement Generally Accepted Payment Practices and Ensure Timeliness of Payments
The Tribal Lead Agency must establish payment practices that apply to all CCDF child care providers
in the Tribe’s service area, including measures to ensure timely payments by either (1) paying
prospectively prior to the delivery of services or (2) paying within no more than 21 calendar days of
the receipt of a complete invoice for services. To the extent feasible, the Tribal Lead Agency must also
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support the fixed costs of providing child care services by delinking provider payments from a child’s
occasional absences by (1) paying based on a child’s enrollment rather than attendance, (2) providing
full payment if a child attends at least 85 percent of the authorized time, (3) providing full payment if
a child is absent for 5 or fewer days in a month, or (4) using an alternative approach for which the
Tribal Lead Agency provides a justification in its Plan (658E(c)(2)(S)(ii); 98.45(l)(2)).
Tribal Lead Agencies are also required to use CCDF payment practices that reflect generally
accepted payment practices of child care providers who serve children who do not receive CCDFfunded assistance. Unless the Tribal Lead Agency is able to demonstrate that the following policies
are not generally accepted in its service area or among particular categories or types of providers,
Tribal Lead Agencies must (1) pay providers based on established part-time or full-time rates rather
than paying for hours of service or smaller increments of time and (2) pay for reasonable, mandatory
registration fees that the provider charges to private-paying families (658E(c)(2)(S); 98.45(l)(3)).
In addition, there are other generally accepted payment practices that are required. Tribal Lead
Agencies are required to ensure that child care providers receive payment for any services in
accordance with a payment agreement or an authorization for services, ensure that child care
providers receive prompt notice of changes to a family’s eligibility status that could impact
payment, and establish timely appeal and resolution processes for any payment inaccuracies and
disputes (98.45(l)(4)-(6); 658E(c)(2)(S)(ii)).
Timeliness of Payments
Ensuring timeliness of payments.
The Tribal Lead Agency must ensure the timeliness of payments by either option below. Check
which option the Tribal Lead Agency is implementing:
Paying providers prior to the delivery of child care services. Describe the policy or
procedure:
Paying providers within no more than 21 calendar days of the time a complete invoice for
services has been received from the provider. Describe the policy or procedure:
Delinking Provider Payments from Occasional Absences
To the extent feasible, the Tribal Lead Agency must support the fixed costs of providing child care
services by delinking provider payments from a child’s occasional absences. Tribal Lead Agencies
that do not choose one of the three options listed below have the flexibility to use an alternative
approach but must provide justification that the alternative approach is as thorough as the three
options provided. (For example, a Tribal Lead Agency may choose to allow for additional excused
and/or unexcused absences above the level of 85 percent or allow for more than five absences and
still provide for the full payment. They also may choose an alternative time period for measuring
absences, such as using multiple months instead of just 1 month).
Supporting fixed costs of providing child care services.
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The Tribal Lead Agency must support the fixed costs of providing child care services by
delinking provider payments from a child’s occasional absences. Check the option below that
the Tribal Lead Agency is implementing. The lead agency must choose at least one of the
following:
Paying providers based on a child’s enrollment rather than paying based on attendance.
Providing full payment to providers if the child attends at least 85 percent of the
authorized time.
Providing full payment to providers if the child is absent for 5 or fewer days in a month.
Using an alternative approach for which the Tribal Lead Agency provides justification in its
plan. Describe the alternative approach and provide a justification that this approach is not
weaker than the three options listed above:
Payment Practices
The Tribal Lead Agency’s payment practices must reflect generally accepted payment practices of
child care providers who serve children who do not receive CCDF subsidies. Describe the policy or
procedure for the following two practices or evidence that such practices are not generally
accepted in its service area (658E(c)(2)(S); 98.45(l)(3)).
Paying on a part-time or full-time basis
Paying on a part-time or full-time basis (rather than paying hourly or for smaller increments of
time). Describe the policy or procedure or describe why this practice is not generally accepted:
Reasonable mandatory registration fees by provider.
Paying for reasonable mandatory registration fees that the provider charges to private-paying
families. (This requirement does not include other fees, such as activity or transportation fees.)
Describe the policy or procedure or describe why this practice is not generally accepted:
Payment Disputes
The Tribal Lead Agency ensures that providers are paid in accordance with a written payment
agreement or an authorization for services that includes, at a minimum, information regarding
provider payment policies, such as rates, schedules, any fees charged to the providers, and the
dispute-resolution process.
Describe the policy or procedure:

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Notifying Providers of Eligibility Changes
The Tribal Lead Agency ensures prompt notice to providers regarding any changes to the family’s
eligibility status that could impact payments, and such a notice is sent no later than the day that
the Tribal Lead Agency becomes aware that such a change will occur.
Describe the policy or procedure:
Payment Appeal and Resolution Process
The Tribal Lead Agency ensures it has a timely appeal and resolution process for payment
inaccuracies and disputes.
Describe the policy or procedure:

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7 Promote Family Engagement Through Outreach and Consumer Education
(Tribal Lead Agencies with Medium and Large Allocations)
Tribal Lead Agencies are required to support families in making informed choices about the services
that best suit their needs. Tribal Lead Agencies may provide information to families through the child
care assistance system, partner agencies, and other methods of their choosing.
In this section, Tribal Lead Agencies will address how information on accessing high-quality child care
and other financial assistance is made available to eligible families. In addition, Tribal Lead Agencies will
describe how information on developmental screenings and best practices concerning children’s
development, including their social-emotional development, is shared. Tribal Lead Agencies have the
option to share this information through a consumer education website targeting families receiving
CCDF assistance, the general public, and when appropriate, child care providers. Tribal Lead Agencies
will also describe the parental-complaint process in this section. Finally, this section addresses the
consumer statement that is provided to families supported with CCDF program funds.
Tribal Lead Agencies are not subject to the requirement to produce a consumer education website, but
must still collect and disseminate the provider-specific consumer education information above. Tribal
Lead Agencies may do so using methods other than a website such as making paper copies of consumer
education information available to the public.

Parental-Complaint Process
The Tribal Lead Agency must certify that the Tribe maintains a record of substantiated parental
complaints and makes information regarding such complaints available to the public on request
(658E(c)(2)(C); 98.15(b)(3)).
Tribal Lead Agencies must provide a detailed description of the reporting process for parents to
submit complaints about child care providers, including the following information:
 The process for substantiating complaints
 The manner in which the Tribal Lead Agency maintains a record of substantiated parental
complaints
 Ways that the Tribal Lead Agency makes information on such parental complaints available to
the public on request (98.16(j); 98.32(b)(c)(d)).
Process for Reporting Complaints
Process of reporting complaints by Tribal Lead Agencies.
Describe the Tribal Lead Agency’s reporting process through which parents can submit
complaints about child care providers (including a Tribally Operated Center, if applicable).
Provide a link if it is a Web-based process:

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Process for Responding to Complaints
Process of responding to complaints by Tribal Lead Agencies.
Describe the Tribal Lead Agency’s process and timeline for screening, substantiating, and
responding to complaints regarding CCDF providers. Describe whether the process includes
monitoring and highlight any differences in processes for providers monitored by the Tribal
Lead Agency, a state-licensing agency, or another entity or agency. Note: Monitoring details are
referenced in section 2:
Maintaining Parental Complaints Records
Maintaining a record of substantiated parental complaints.
Certify by describing how a Tribal Lead Agency, a state-licensing, or another entity or agency
maintains a record of substantiated parental complaints. Highlight any differences in processes
for CCDF and non-CCDF providers and Tribally regulated, licensed, and license-exempt
providers. Additionally, how does the Tribal Lead Agency coordinate with a state-licensing
agency, or another entity or agency to ensure that the complaint has been addressed:
Providing Public Access to Substantiated Parental Complaints
Information about parental complaints available to the public.
Certify by describing how the Tribal Lead Agency, a state-licensing agency, or other
entity/agency makes information about substantiated parental complaints available to the
public upon request:
Consumer Education for Families, Providers, and the Public
Consumer Education Accessibility and Providing Monitoring and Inspection Information
Tribal Lead Agencies are required to provide information to families, the general public, and when
applicable, child care providers through a method of their choice, which is consumer-friendly and
easily accessible (658E(c)(2)(E)(i)(III)). The available information must include provider-specific
information, monitoring and inspection reports about the provider, and the quality of each
provider (if such information is available about the provider) (658E(c)(2)(D); 98.33(a)). The
information should also provide access to an annual service area report on deaths, serious injuries,
and the number of substantiated cases of child abuse that have occurred in child care settings. To
assist families with any additional questions, the information should provide contact information to
local CCR&R organizations and any other agencies that can assist families in better understanding
the information.
Ensuring information is consumer-friendly and accessible.
Describe how the Tribal Lead Agency ensures that its information is consumer-friendly and
easily accessible. (Note: Although there is no Federal CCDF definition for easily accessible, Tribal
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Lead Agencies may consider easily accessible information to be simple to obtain, written in
plain language, and easy to understand.):
Monitoring and inspecting child care providers.
Describe how the Tribal Lead Agency informs families, providers, and the public on how the
Tribal Lead Agency and/or another entity or agency conducts monitoring and inspections of
child care providers (including Tribally Operated Centers, if applicable). Refer to Section 2.3
where monitoring enforcement policies and practices for CCDF providers are described:
Monitoring and Enforcement Policies and Practices for CCDF Providers
Dissemination of Policies and Procedures for Background Checks, Regulated Providers, and Provider
Quality
Consumer information about conducting background checks.
Describe how the Tribal Lead Agency informs families, providers, and the public on the policies
and procedures related to comprehensive background checks for providers/staff members of
child care providers, and the offenses that prevent individuals from being employed by a child
care provider or a provider from receiving CCDF program funds. (Note: Background check
policies and processes are described in Section 2.5):
Listing licensed providers.
Describe how the Tribal Lead Agency lists all licensed providers and, at the discretion of the
Tribal Lead Agency, all providers eligible to deliver Tribal CCDF services. Providers caring for
children to whom they are related do not need to be included. Check only those that apply:
Not applicable, as this Tribal CCDF Program does not serve any licensed providers and
the Tribal Lead Agency opts not to list all providers eligible to deliver Tribal CCDF
services.
Prepares a document with a list of providers
Uses the state’s website link for a localized list of providers searchable by ZIP Code
Uses a CCR&R agency to obtain lists of providers
Other:

Quality information and reporting of quality ratings
Tribal Lead Agencies must also identify specific quality information about each child care
provider for whom they have quality information. Tribal Lead Agencies may determine the type
of quality information provided. How does the Tribal Lead Agency report quality ratings or
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other quality information included with provider-specific information? Check only those that
apply:
Not applicable, as the Tribal Lead Agency does not have a QRIS or obtain any quality
information
QRIS managed by the Tribal Lead Agency
QRIS managed by the state
National accreditation
Enhanced licensing system
Meeting Head Start/Early Head Start Program Performance Standards
Meeting prekindergarten (preK) quality requirements
School-age standards, where applicable
Other. Describe:

Monitoring and Inspection Reporting
Tribal Lead Agencies are required to make monitoring and inspection reports available about each
licensed provider and about each non-relative provider eligible to provide CCDF services. These
reports must include results of required annual monitoring visits and visits due to major
substantiated complaints about a provider’s failure to comply with health and safety requirements
and child care policies. The reports must be in plain language (i.e., communication the audience can
understand the first time they read it), as defined by the Tribal Lead Agency and must be timely to
ensure that the results of the reports are available and easily understood by parents and families
when they are deciding on a child care provider. Tribal Lead Agencies must provide at least 3 years
of reports (when available), beginning October 1, 2019, and going forward.
Describe how the reports are made available to the public.
Online (e.g., uses the state’s website link)
Hard copy by request
Require provider to post
Other. Describe:
What is the Tribal Lead Agency’s definition of plain language? (Note: If states issue monitoring
and inspection reports, “Not applicable, state issues monitoring and inspection reports.”)
Are monitoring and inspection reports in plain language?
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Not applicable, state issues monitoring and inspection reports.
Yes.
No. If no, describe how plain-language summaries are used to meet the regulatory
requirements and include a link to a sample summary:
Monitoring and inspection report contents.
Check to certify what the monitoring and inspection reports and/or their plain-language
summaries include regarding the following CCDF requirements:
Not applicable, the state issues monitoring and inspection reports.
Date of inspection:
Full report of inspection, including areas of compliance and non-compliance.
Health and safety violations, including violations that resulted in fatalities or serious
injuries. Describe how these health and safety violations are prominently displayed:
Corrective actions taken by the Tribal Lead Agency and/or child care provider.
Describe:
The process for correcting inaccuracies in reports. Describe:
The process for providers to appeal the findings in reports, including the time
requirements and timeframes for filing the appeal, for undertaking the investigation,
and for removing any violations determined on appeal to be unfounded. Describe:
How reports are made available in a timely manner. Specifically, provide the Tribal
Lead Agency’s definition of “timely” and describe how it ensures that reports are
made available within its timeframe:
Although Tribal Lead Agencies define “timely,” OCC recommends Tribal Lead
Agencies update results as soon as possible and no later than 90 days after an
inspection is done or corrective action is taken.
Maintaining monitoring reports.
Describe the process for maintaining monitoring reports. Specifically, provide the minimum
number of years reports are made available and the policy for record-keeping (98.33(a)(4)(iv)).
(Note: There is a requirement that a minimum number of 3 years of reports be made available.
If states issue monitoring and inspection reports, “Not applicable, state issues monitoring and
inspection reports.”):

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Aggregated Data on Serious Injuries, Deaths, and Substantiated Cases of Child Abuse
Aggregate data on serious injuries, deaths, and substantiated cases of child abuse that have
occurred in child care settings each year must be made available. The data must be organized by
category of care (e.g., center-based child care, family child care, in-home child care) for all eligible
CCDF provider categories in the Tribal Lead Agency’s service area. The aggregate report should not
list individual provider-specific information or personally-identifiable information.
Certify by describing:
Submission of reports relating to serious injuries or deaths.
A description of how child care providers must submit reports of any serious injuries or deaths
of children occurring in child care to the designated entity (98.16 (ff)):
Obtaining aggregate data from the monitoring agency. A description of how the Tribal lead
agency obtains the aggregate data from the entity:
Definition of “substantiated child abuse”.
The definition of “substantiated child abuse” used by the Tribal Lead Agency for this
requirement:
Definition of “serious injury”.
The definition of “serious injury” used by the Tribal Lead Agency for this requirement:
Contact Information for Referrals
The consumer education information should include contact information for referrals to local child
care resource and referral organizations.
Providing CCR&R referrals.
How does the Tribal Lead Agency provide referrals to local CCR&R agencies through the
consumer education information? Describe:
Contact Information for Consumer Education Information
Consumer education information.
The consumer education information should include how families can contact the Tribal Lead
Agency, its designee, or other programs that can help the parent understand the information
included. Describe:
Additional Consumer and Provider Education
Tribal Lead Agencies are required to certify that they will collect and disseminate information
about the full range of child care services to promote parental choice to parents of eligible children,
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the general public, and where applicable, child care providers. The consumer education information
can be provided through CCR&R organizations or through direct conversations with eligibility case
workers and child care providers. Outreach and counseling can also be effectively provided via
information sessions or intake processes for families (658E(c)(2)(E); 98.15(b)(4); 98.33(b)).
Availability of Child Care Services
Information and availability about child care services.
Describe how the Tribal Lead Agency shares information with eligible families, the general
public, and where applicable, child care providers, about the availability of child care services
provided through the CCDF program and other programs for which the family may be eligible,
such as state or Tribal PreK, and the availability of financial assistance to obtain child care
services. Check only those that apply and describe what information is provided.
Tribal newsletter
Social media
Website
Intake process
CCR&R organization
Information sessions
Tribal meetings
Other. Describe:
Dissemination of Program Information
Dissemination of program information to families, the public and providers.
Describe how the Tribal Lead Agency provides the required information about the following
programs and benefits to the parents/families of eligible children, the general public, and
where applicable, child care providers. Within the description include, at a minimum, what
information is provided, how the information is provided, and how the information is tailored
to a variety of audiences, including parents/families, the public, and providers. Include any
partners who assist in providing this information. Check only those that apply:
Temporary Assistance for Needy Families program:
Head Start and Early Head Start programs:
Low Income Home Energy Assistance Program (LIHEAP):
Supplemental Nutrition Assistance Programs (SNAP):
Women, Infants, and Children (WIC) Program:
Child and Adult Care Food Program (CACFP):
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Medicaid and Children’s Health Insurance Program (CHIP):
Programs carried out under Individuals with Disabilities Education Act (IDEA) Part B, Section
619, and Part C:
Information on Child Development Research and Best Practices
Describe how the Tribal Lead Agency makes information available to families, providers, and the
general public on research and best practices concerning children’s development, including physical
health and development, particularly healthy eating and physical activity. Information about
successful parent and family engagement should also be shared.
Describe what information (content) is provided:
Describe how the information is provided. Check only those that apply:
Verbally
Newsletter
Website
Classes or training
Brochure
Other:
Information to audiences, including parents, families, providers, and the general public.
Certify by clicking that the information is tailored to a variety of audiences, including
parents, families providers, and the general public.
Identify any partners in providing this information. Check only those that apply:
Other Tribal department
Indian Health Services
State
Head Start and Early Head Start programs
SNAP
WIC program
CACFP
Other:

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Information on Policies Regarding Social-Emotional and Behavioral Issues and Early Childhood
Mental Health
Providing information on early childhood mental health.
Describe how information is shared on the Tribal Lead Agency’s policies regarding socialemotional and behavioral issues and early childhood mental health. Include how the Tribal
Lead Agency shares information on positive behavioral intervention and supports models,
based on research and best practices for those from birth to school-age. Describe what and
how information is provided and tailored to a variety of audiences and include any partners in
providing this information. Tribal Lead Agencies that rely on states to provide this information
may include the website provided to families instead of a full description of the content:
Preventing the Suspension and Expulsion of Children from Birth to Age 5
Policies to prevent suspension/expulsion of children from birth to age 5.
Describe the Tribal Lead Agency’s policies to prevent the suspension and expulsion of children
from birth to age 5 in child care and other early childhood programs receiving CCDF program
funds (98.16(ee)), including how those policies are shared with families, providers, and the
general public:
Procedures for Providing Information on Developmental Screenings
Tribal Lead Agencies are required to provide information and referrals on developmental
screenings. This information should include resources and services that the Tribe can deploy, such as
Early and Periodic Screening, Diagnosis, and Treatment (EPSDT) services under Medicaid, carried out
under Title XIX of the Social Security Act, and developmental screening services available through the
IDEA Part B, Section 619, and Part C. Tribal Lead Agencies must also include a description of how a
family or child care provider can use these resources and services to obtain developmental
screenings for children who receive subsidies and who might be at risk of cognitive or other
developmental delays, including social, emotional, physical, or linguistic delays (658E(c)(2)(E)(ii)).
Tribal Lead Agencies are required to provide this information to eligible families during CCDF intake
and to child care providers through training and education (98.33(c)).
Certify by Describing Developmental Screenings:
Collection of information on resources for developmental screenings.
How the Tribal Lead Agency collects and disseminates information on existing resources and
services available for conducting developmental screenings to CCDF families, the general
public, and where applicable, child care providers (98.16(j), 98.33(c), and 98.83(d)(1)(i)):
Procedures for families and child care providers to the EPSDT program.

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The procedures for providing information on and referring families and child care providers to
the EPSDT program under Medicaid and developmental screening services available under Part
B and Part C of the IDEA:
Providing families information on developmental screenings.
How does the Tribal Lead Agency provide information on developmental screenings to families
receiving a subsidy as part of the intake process?
1. Describe what information is provided:
2. Describe how it is provided. Check only those that apply:
Verbally during the intake process
Brochure or other written information given during the intake process
Other:
3. Identify any partners involved:
EPSDT program available under Medicaid
Part B and Part C IDEA programs
Head Start and/or Early Head Start programs
Other:

Resources and services to obtain developmental screenings.
How CCDF families or child care providers receiving CCDF can use the available resources and
services to obtain developmental screenings for CCDF children at risk for cognitive or other
developmental delays:
Information through training and professional development.
How child care providers receive this information through training and professional
development:
Consumer Statement for Families Receiving CCDF Program Funds
Tribal Lead Agencies must provide CCDF families with a consumer statement, in hard copy or
electronically, if the Tribal Lead Agency has chosen to post information to a consumer education
website, that contains specific information about the child care provider they select. This
information should include:

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

Health and safety requirements met by the provider



Any licensing or regulatory requirements met by the provider



The date the provider was last inspected

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

Any history of violations of these requirements



Any voluntary quality standards met by the provider

It must also describe:


How CCDF subsidies are designed to promote equal access



How to submit a complaint through a hotline



How to contact local resource and referral agencies or other community-based supports
that assist families in finding and enrolling in a quality child care (98.33(d)) program

Note: If the consumer statement is provided electronically, Tribal Lead Agencies should consider how
to ensure that the statement is accessible to families and that families have a way to contact
someone to address questions they have.
Certify by describing Consumer Statement contents and how received by families
Provision of Consumer statement for families.
How the Tribal Lead Agency provides families receiving CCDF program funds with a consumer
statement. Check only those that apply:
Hard copy
Referral to a website(s), including state website
Combination of hard copy and a website(s)
Other. Describe:
Consumer statement elements.
What is included in the consumer statement? Check those that apply or provide a sample in the
describe box below. Tribal Lead Agencies that disseminate a state’s consumer statement may
select “other” and include a sample or a link to the state consumer statement in the describe
box.
(Note: The consumer statement must include the eight requirements listed below.)
Health and safety requirements met by the provider
Licensing or regulatory requirements met by the provider
Date the provider was last inspected
Any history of violations of these requirements
Any voluntary quality standards met by the provider
How CCDF subsidies are designed to promote equal access
How to submit a complaint about a provider
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How to contact a local resource and referral agency or other community-based
organization to receive assistance in finding and enrolling in a quality child care
program
Other. Describe:
Consumer statement provided to families.
When is the consumer statement provided to families receiving CCDF program funds?

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Appendix 1
Triennial Child Count Declaration
If the Tribal Lead Agency is not a Consortium, complete the information below.
Name of Tribe/Tribal Lead Agency:
This certifies that the number of Indian children younger than age 13 (as defined in CCDF Plan) who
reside on or near the reservation or service area (as defined in CCDF Plan) is:
(number).
The Tribal Lead Agency may not count any children who are included in the child count of another CCDF
Tribal Lead Agency. To ensure unduplicated child counts, a Tribal Lead Agency is required to confer with
all other CCDF Tribal Lead Agencies that have overlapping or neighboring service areas.
The counts above show the number of Indian children younger than age 13 as of
(date).

Tribal Lead Agencies are advised that ACF will not accept Child Count Declarations based on child counts
that were conducted before July 1 of the year prior to the Child Count Declaration.
If the Tribal Lead Agency is a Consortium, complete the information below.
Name of Tribe/Tribal Lead Agency: [Consortium]
The Tribal Lead Agency may not count any children who are included in the child count of another CCDF
Tribal Lead Agency. To ensure unduplicated child counts, a Tribal Lead Agency is required to confer with
all other CCDF Tribal Lead Agency that have overlapping or neighboring service areas.
The counts below show the number of Indian children younger than age 13 as of
(date).

This certifies that the number of Indian children (as defined in CCDF Plan) who reside on or near the
reservation or service area (as defined in CCDF Plan) for the Consortium Lead Agency and each
Consortium Member are:

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Consortium Lead
Agency

Mandatory Count of Children
Less than 13 Years Old

Discretionary Count of Children
Less than 13 Years Old

Lead agency name
TOTAL (System
Calculated)

Consortium Member

Sum of row above PLUS all
consortium members

Mandatory Count of
Children Less than 13
Years Old

Sum of row above PLUS all consortium
members

Discretionary Count
of Children Less than
13 Years Old

Declaration Letter for Each
Consortium Member (attach letter)

Member 1 (from
Section 1)

attachment

Member 2

attachment

Member 3

attachment

Member 4, etc.

attachment

Indian Child Definition
Identify which Indian child(ren) are counted in the Tribal Lead Agency’s child count (98.81(b)(2)(i)).
Programs and activities are to be carried out for the benefit of Indian children. Although Tribal Lead
Agencies have some flexibility in defining “Indian Child,” the definition must be limited to children from
federally recognized Indian Tribes, consistent with the CCDBG Act’s definition of Indian Tribe (98.2). This
information could include children who are Tribal members, whose membership is pending, who are
eligible for membership, and/or are children/descendants of members and could also include adopted
children, foster children, step-children, etc.
The Tribal Lead Agency defines an “Indian child” as:
Indian Reservation or Service Area
Programs and activities are to be carried out for the benefit of Indian children living on or near the Indian
reservation or service area. The service area must be within reasonably close geographic proximity to the
borders of a Tribe’s reservation (except for Tribes in Alaska, California, and Oklahoma). Tribes that do not
have reservations must establish service areas within reasonably close geographic proximity to the area
where the Tribe’s population resides. There is an expectation that the Tribal Lead Agency will be able to
provide services to families throughout the service area. ACF will not approve an entire state as a Tribe’s
service area. Tribal Lead Agencies can limit services within the reservation boundaries or go beyond the
reservation boundaries.
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If a Tribal Lead Agency establishes a different service area than the borders of the Tribe’s reservation or
existing service area for CCDF purposes, it must be within reasonably close geographic proximity
(658O(c)(2)(B); 98.80(e); 98.81(b)(2)(ii); 98.81(b)(3)(ii); 98.83(b)); for example, “Permanent residence is
within the reservation boundaries; however, the participant is temporarily attending school outside of the
reservation area,” or “[the participant] resides within 20 miles of the reservation boundaries.”
The Tribal Lead Agency defines the Reservation/Service Area as:_____

Official Signature of Individual Authorized to Act for the Tribe

Print Name

Print Title

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Date:

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Appendix 1-A
Triennial Child Count Declaration (P.L. 102-477)
If the Tribal Lead Agency is not a Consortium, complete the information below.
Name of Tribe/Tribal Lead Agency:
This certifies that the number of Indian children younger than age 13 (as defined in CCDF Plan Section
of the 102-477 Plan) who reside on or near the reservation or service area (as defined in CCDF section
of the 102-477 Plan) is:
(number).
The Tribal Lead Agency may not count any children who are included in the child count of another CCDF
Tribal Lead Agency. To ensure unduplicated child counts, a Tribal Lead Agency is required to confer with
all other CCDF Tribal Lead Agencies that have overlapping or neighboring service areas.
This count above shows the number of Indian children younger than age 13 as of
(date).

If the Tribal Lead Agency is a Consortium, complete the information below.
Name of Tribe/Tribal Lead Agency: [Consortium]
The Tribal Lead Agency may not count any children who are included in the child count of another CCDF
Tribal Lead Agency. To ensure unduplicated child counts, a Tribal Lead Agency is required to confer with
all other CCDF Tribal Lead Agencies that have overlapping or neighboring service areas.
The counts below show the number of Indian children younger than age 13 as of
(date).

This certifies that the number of Indian children (as defined in CCDF Plan Section of the 102-477 Plan)
who reside on or near the reservation or service area (as defined in CCDF section of the 102-477 Plan)
for the Consortium Lead Agency and each Consortium Member are:

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Consortium Lead
Agency

Mandatory Count of Children
Less than 13 Years Old

Discretionary Count of Children
Less than 13 Years Old

Lead agency name
TOTAL (System
Calculated)

Consortium Member

Sum of row above PLUS all
consortium members

Mandatory Count of
Children Less than 13
Years Old

Sum of row above PLUS all consortium
members

Discretionary Count
of Children Less than
13 Years Old

Declaration Letter for Each
Consortium Member (attach letter)

Member 1 (from
Section 1)

attachment

Member 2

attachment

Member 3

attachment

Member 4, etc.

attachment

Tribal Lead Agencies are advised that ACF will not accept Child Count Declarations based on child counts
that were conducted before July 1 of the year prior to the Child Count Declaration.

Official Signature of Individual Authorized to Act for the Tribe

Date:

Print Name
Print Title

Request for Reallotted Tribal Discretionary Funds
The Tribe named above requests discretionary funds that may be available through the reallotment
process.

Yes

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Appendix 2

The Tribal Lead Agency is applying for participation in the Tribal Early Learning Initiative.

Yes

Tribal Early Learning Initiative
This appendix offers interested Tribal CCDF lead agencies the opportunity to describe how the Tribal CCDF
program funds will be used, particularly quality funds, to support applicable child care services for Tribal
Early Learning Initiative (TELI) efforts in the community. This initiative is voluntary, and Tribal CCDF lead
agencies are not required to complete this section if they are not interested in pursuing TELI efforts. The
TELI activities must be allowable under the use of CCDF program funds.
A Tribal Early Learning Initiative (TELI) effort in a Tribal community is designed to:
 Better coordinate Tribal early learning and development programs, including child care, Head Start,
preschool, home visiting, and other services
 Create and support seamless, high-quality early childhood systems
 Raise the quality of services to children and families across the prenatal-to-kindergarten-entry
continuum
 Identify and break down barriers to collaboration and systems improvement
To submit a request to support applicable TELI efforts, complete the questions below.
1. Describe which early childhood program partners will collaborate on the TELI effort (e.g., Head
Start/Early Head Start, Tribally run early childhood program, home visiting program, Bureau of
Indian Education FACE program) and what the existing level of collaboration is across these early
childhood partners at the start of the TELI effort. Are there other programs you intend to partner
with (e.g., child welfare, health, mental health, nutrition, family support, housing)?
2. Check and describe the activities for which you will use Tribal CCDF program funds to support the
TELI effort:
☐

Hiring a TELI Coordinator (part time or full time) to provide coordination, facilitation, and
administrative support to the TELI effort.



What will be the qualifications of this individual?
What will the coordinator’s responsibilities be?

Describe:

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☐

Convening an early childhood council or advisory group to guide the TELI effort and
develop the community’s vision for an early childhood system that meets the needs of
young children and their families.


Who do you intend to involve in the TELI advisory group? Is it a new group or an
existing group? How will the group be used?

Describe:

☐

Conducting a needs assessment examining the need for early childhood services (ages 0 to
5), the ways that early childhood services are delivered, and barriers to the coordination
and integration of services.



What will the Tribal Lead Agency look at in the TELI needs assessment?
How will the Tribal Lead Agency carry out the needs assessment? Who will be involved?

Describe:

☐

Developing a vision and strategic plan for supporting and strengthening early childhood
services and systems in the community.


What will be the process for developing the strategic plan?

Describe:

☐

Investing in a coordinated data system to allow for the collection, housing, and sharing of
data across early childhood programs to support improved services to families.
 Are you developing a new system or modifying an existing system?
 Who will be involved in developing the data system?
Describe:

☐

Conducting professional development activities that support the range of early childhood
providers in the community.
 What types of activities will be held?
 Which programs and providers will be involved?
Describe:

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☐

Developing coordinated application, referral, and intake systems across programs that
make it less burdensome for families to access early childhood services.
 Which programs will be involved?
 What will be the process for developing a coordinated application, referral, and intake
system?
Describe:

☐

Implementing family engagement and leadership activities in the community.
 What types of activities will be implemented?
 Which programs will be involved?
Describe:

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File Created	2022-04-08