Download:
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pdfACF-118A OMB Control Number: 0970-0198
Expira on date: XXXX
THE PAPERWORK REDUCTION ACT OF 1995 (P.L. 104–13)
Through this informa on collec on, the Administra on for Children and Families (ACF) is gathering data
on the Tribal Lead Agency’s grant program to understand the design and effec veness of the program and
to inform technical assistance needs. The public repor ng burden for this collec on of informa on is
es mated to average 20 hours per response for the Triennial Child Count (for all Tribal Lead Agencies) 60
hours per response for Part I (for all direct funded Tribal Lead Agencies), five hours per response for Part II
(for direct funded Tribal Lead Agencies with small alloca ons) and 20 hours per response for Part III (for
direct funded Tribal Lead Agencies with medium and large alloca ons), including the me for reviewing
instruc ons, gathering and maintaining the data needed, and reviewing the collec on of informa on. This
collec on of informa on is required to retain a benefit (P.L. 105-285, Sec on 680(b) as amended). An
agency may not conduct or sponsor, and a person is not required to respond to, a collec on of
informa on subject to the requirements of the Paperwork Reduc on Act of 1995, unless it displays a
currently valid Office of Management and Budget (OMB) control number. The OMB number is 0970-0198
and the expira on date is XXXX. For any comments on this collec on of informa on, please contact ACF’s
Office of Child Care.
Child Care and Development Fund (CCDF) Plan
for
Tribe: Click or tap here to enter text.
Op onal: Click or tap here to upload Tribal seal.
Federal Fiscal Years 2026–2028
This Plan describes the Child Care and Development Fund (CCDF) program to be administered by the CCDF
Tribal Lead Agency for the period from 10/01/2025 to 9/30/2028. As provided for in the applicable
statutes and regula ons, the Tribal Lead Agency has the flexibility to modify this program at any me,
including amending the op ons selected or described herein.
For purposes of simplicity and clarity, the specific provisions printed herein of applicable laws and
regula ons are some mes paraphrases of, or excerpts and incomplete quota ons from, the full text. The
Tribal Lead Agency acknowledges its responsibility to adhere to laws and regula ons regardless of these
modifica ons.
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Introduc on and How to Approach Plan Development .......................................................................4
PART I: ALL TRIBAL LEAD AGENCIES ....................................................................................................6
1
CCDF Program Administra on ......................................................................................................6
1.1 Defini on of Indian Child................................................................................................................ 6
1.2 Defini on of Service Area ............................................................................................................... 6
1.3 Child Count (Direct Funded and P.L. 102-477) ............................................................................... 7
1.4 CCDF Leadership ............................................................................................................................. 8
1.5 Designated Tribal Lead Agency ...................................................................................................... 9
1.6 Administra on through Contracts or Agreements ...................................................................... 11
1.7 Consulta on in the Development of the Tribal CCDF Plan .......................................................... 11
1.8 Categories of Care ........................................................................................................................ 12
1.9 Coordina on of Services .............................................................................................................. 13
1.10 Program Integrity and Accountability .......................................................................................... 14
1.11 Disaster Preparedness and Response Plan .................................................................................. 15
2
Health and Safety of Child Care Se ngs ..................................................................................... 17
2.1 Rela ve Providers......................................................................................................................... 17
2.2 Overview of Health and Safety Standards, Training, and Inspec ons ......................................... 19
2.3 Health and Safety Standards and Pre-Service/Orienta on Training............................................ 21
2.4 Ongoing Training .......................................................................................................................... 26
2.5 Staff/Child Ra os and Group Sizes ............................................................................................... 26
2.6 Provider Qualifica ons ................................................................................................................. 28
2.7 Monitoring and Enforcement of Health and Safety Requirements ............................................. 28
2.8 Monitoring Inspectors .................................................................................................................. 29
2.9 Comprehensive Background Checks ............................................................................................ 30
2.10 Comprehensive Background Checks for Household Members in Family Child Care ................... 38
2.11 Disqualifying Crimes for Employment Eligibility .......................................................................... 39
2.12 Fees .............................................................................................................................................. 40
2.13 Timeliness in Returning the Results ............................................................................................. 41
2.14 Provisional Hire ............................................................................................................................ 41
2.15 Privacy of Comprehensive Background Check Results................................................................. 42
2.16 Appeals for Child Care Staff .......................................................................................................... 42
2.17 Jus fica on for Alterna ve Approaches ...................................................................................... 43
3
Quality Improvement................................................................................................................. 45
3.1 Quality Ac vi es Needs Assessment Methodology ..................................................................... 45
3.2 Quality Improvement Goals and Ac vi es................................................................................... 45
PART II: TRIBAL LEAD AGENCIES WITH SMALL ALLOCATIONS ............................................................. 48
4
Direct Services ........................................................................................................................... 48
4.1 Direct Child Care Services............................................................................................................. 48
4.2 Direct Child Care Funding Methods ............................................................................................. 48
4.3 Eligibility Criteria .......................................................................................................................... 48
4.4 Payment Rates.............................................................................................................................. 49
PART III: TRIBAL LEAD AGENCIES WITH MEDIUM AND LARGE ALLOCATIONS...................................... 50
5
Child and Family Eligibility, Enrollment, and Con nuity of Care .................................................. 50
5.1 Basis for Determining Eligibility.................................................................................................... 50
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5.2 Eligible Children and Families....................................................................................................... 52
5.3 Applica on and Eligibility Determina on/Redetermina on Process .......................................... 54
6
Equal Access to Quality Child Care .............................................................................................. 58
6.1 Descrip on of Direct Child Care Services ..................................................................................... 58
6.2 Establishing Adequate Payment Rates ......................................................................................... 59
6.3 Improving Access for Vulnerable Children and Families .............................................................. 61
6.4 Family Contribu on to Payments ................................................................................................. 61
7
Family Outreach and Consumer Educa on.................................................................................. 63
7.1 Sharing Informa on with Families ............................................................................................... 63
7.2 Informa on on Developmental Screenings ................................................................................. 63
7.3 Consumer and Provider Educa on............................................................................................... 64
7.4 Consumer Educa on ................................................................................................................... 66
7.5 Informa on on Monitoring and Enforcement ............................................................................. 68
7.6 Parental Complaint Process ......................................................................................................... 69
Appendix 1: Triennial Child Count Declara on/Demonstra on Consor um Member Tribe ................ 71
Appendix 1-A: Triennial Child Count Declara on/Demonstra on (P.L. 102-477) Consor um Member
Tribe.......................................................................................................................................... 73
Appendix 2: Tribal Early Learning Ini a ve (TELI) .............................................................................. 74
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Introduction and How to Approach Plan Development
Overview
The Child Care and Development Block Grant Act (CCDBG) (42 U.S.C. 9857 et seq.), together with Sec on
418 of the Social Security Act (42 U.S.C. 618), authorize the Child Care and Development Fund (CCDF), the
primary federal funding source devoted to suppor ng families with low incomes afford child care and to
increasing the quality of child care for all children. The CCDF program is administered by the Office of Child
Care (OCC) within the Administra on for Children and Families (ACF) at the U.S. Department of Health and
Human Services (HHS) and provides resources to state, territory, and Tribal governments via their
designated CCDF Lead Agency.
CCDF plays a vital role in suppor ng family well-being and child development. It facilitates parental
employment, training, and educa on, improving the economic stability and well-being of par cipa ng
families. It also supports child development, promo ng safe high-quality care and learning environments
for children when child care is needed.
As required by the CCDBG Act, this Tribal CCDF Plan serves as the Tribal Lead Agency’s applica on for a
three-year cycle of CCDF funds and is the primary mechanism OCC uses to determine Tribal Lead Agency
compliance with the requirements of the statute and regula ons. Tribal CCDF Lead Agencies must comply
with the rules set forth in the CCDBG Act and corresponding ACF-issued rules and regula ons found at 45
CFR Part 98, which are cited throughout the Plan. For example, the cita on for immuniza on
requirements is noted as §98.41(a)(1)(i). The CCDF Plan is a fundamental part of OCC’s oversight of CCDF
and is designed to align with and complement other oversight mechanisms, including administra ve and
financial data repor ng, audits, and the ACF-700 Tribal Annual Report.
The Tribal CCDF program includes flexibili es specifically to address a broad range of Tribal needs and
popula on sizes, including ered program requirements based on the size of the Tribal Lead Agency’s
CCDF alloca on. CCDF categorizes a Tribal Lead Agency as receiving a small, medium, or large alloca on
based on its alloca on in federal fiscal year (FFY) 2016. A Tribal Lead Agency designed as “small alloca on”
received less than $250,000 in FFY 2016. A Tribal Lead Agency designated as “medium alloca on”
received between $250,000 and $1 million in FFY 2016. A Tribal Lead Agency designated as “large
alloca on” received over $1 million in FFY 2016. A Tribal Lead Agency with a small alloca on has the most
flexibility in spending CCDF funds, though they must spend all their CCDF program funds in alignment with
the goals and purposes of the CCDF program and comply with health and safety, monitoring, background
checks, and quality spending requirements. To align with these more limited CCDF program requirements,
a Tribal Lead Agency with a small alloca on completes an abbreviated CCDF Plan.
Organiza on of Plan
In its Tribal CCDF Plan, a Tribal Lead Agency must describe how it implements the Tribal CCDF program.
The Plan is organized into the following parts and sec ons:
Part I (all Tribal Lead Agencies): Three sec ons on program administra on, the triennial child count, health
and safety, and quality improvement.
Part II (only for Tribal Lead Agencies with small alloca ons): One sec on on direct services.
Part III (only for Tribal Lead Agencies with medium and large alloca ons): Three sec ons on child and
family eligibility, enrollment and con nuity of care, equal access, and family outreach and consumer
educa on.
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Appendix 1: Triennial Child Count Declara on/Demonstra on: Relevant for Consor a Tribal Lead Agencies
of all alloca on sizes. Consor a Tribal Lead Agencies must submit a child count declara on/demonstra on
for each member Tribe for the Tribal Lead Agency to act on its behalf. The template (or a similar
document) must be completed and signed by an individual authorized to act for the par cipa ng member
Tribe/Village. The Consor a Lead Agency must upload the declara on/demonstra on as part of their child
count submission.
Appendix 2: Tribal Early Learning Ini a ve (TELI): Relevant for all Tribal Lead Agencies of all alloca on
sizes. A Tribal Lead Agency has the op on to submit Appendix 2, which will serve as a no fica on to OCC
that it plans to join the TELI Network and receive universal technical assistance on developing and
strengthening Tribal early childhood systems building. This ini a ve is voluntary, and Tribal Lead Agencies
are not required to complete this appendix.
Completing the Plan
This Plan aims to capture the most accurate and up-to-date informa on about how a Tribal Lead Agency is
implemen ng its Tribal CCDF program in compliance with the requirements of CCDF. In responding to Plan
ques ons, Tribal Lead Agencies should provide concise and specific summaries and/or may use bullet
points as appropriate to the ques on.
Tribal CCDF Plan Submission
A Tribal Lead Agency will submit its Plan to OCC electronically through the Child Care Automated
Repor ng System (CARS). CARS will include all language and ques ons included in the final Tribal CCDF
Plan template approved by the Office of Management and Budget (OMB).
A Tribal Lead Agency must submit its FFY 2026 – 2028 CCDF Plan to OCC no later than July 1, 2025.
Note: The format of the ques ons in CARS could be modified from the pdf version of the document to
ensure compliance with Sec on 508 policies regarding accessibility to electronic and informa on
technology for individuals with disabili es.
Plan Review
OCC will review submi ed Tribal CCDF Plans for completeness and compliance with federal policies. Each
Tribal Lead Agency will receive a le er approximately 90 days a er the Plan is due to inform the Tribal
Lead Agency that its Plan has been approved or approved with condi ons.
Amendment Process
OCC recognizes that a Tribal Lead Agency may wish to modify and adapt its CCDF program to address
evolving needs and priori es. A Tribal Lead Agency must submit amendments to its Plan as it makes
substan al policy and program changes during the three-year Plan cycle, including when addressing areas
of non-compliance.
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FFY 2026–2028 CCDF Tribal Plan
PART I: ALL TRIBAL LEAD AGENCIES
1 CCDF Program Administration
1.1 Definition of Indian Child
For the purposes of determining eligibility, Tribal Lead Agencies must define Indian child (§98.81(b)(2)(i)).
This defini on must be limited to children from federally recognized Indian Tribes, consistent with the
CCDBG Act’s defini on of Indian Tribe (§98.2).
This defini on could include children who are Tribal members, whose membership is pending, who are
eligible for membership, and/or are children or descendants of members and could also include adopted
children, foster children, or stepchildren.
1.1.1
Indian Child
For the purposes of determining CCDF eligibility, the Tribal Lead Agency defines an Indian child as: Click
or tap here to enter text.
1.2 Definition of Service Area
Programs and ac vi es must be carried out for the benefit of Indian children living on or near the Indian
reserva on, which is called the service area. A Tribal Lead Agency must define its service area in the Tribal
CCDF Plan (§98.83(b)). The service area must be within reasonably close geographic proximity to the
borders of a Tribe’s reserva on (except for Tribes in Alaska, California, and Oklahoma). Tribes that do not
have reserva ons must establish service areas within reasonably close geographic proximity to the area
where the Tribe’s popula on resides.
Tribal Lead Agencies are expected to be able to provide services to eligible families throughout the service
area. ACF will not approve an en re state as a Tribe’s service area.
1.2.1
Service Area
a. The Tribal Lead Agency defines the service area as: Click or tap here to enter text.
b. Optional: In addition to the description above, a clearly labeled map of the service area is attached.
Attachment: Click or tap here to upload an attachment.
1.2.2
Neighboring and/or Overlapping Service Areas
Is the service area (as defined in 1.2.1) neighboring and/or overlapping with the service area(s) of any
other Tribal Lead Agencies?
☐ No.
☐ Yes. If yes, answer the following questions:
a. Identify those other Tribal Lead Agencies with neighboring and/or overlapping service areas.
Describe: Click or tap here to enter text.
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FFY 2026–2028 CCDF Tribal Plan
b. Describe the Tribal Lead Agency’s process for ensuring unduplicated child counts for
neighboring and/or overlapping service area(s): Click or tap here to enter text.
1.3 Child Count (Direct Funded and P.L. 102-477)
For the purposes of determining a Tribe/Tribal organiza on’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, (§98.80). The child count submi ed is not reflec ve of the number of children who receive direct child
care services. Instead, the child count gives the number of children younger than 13 who meet the Tribal
Lead Agency’s defini on of Indian child and who reside in the designated service area.
The Tribal child count will be effec ve from October 1, 2025, to September 30, 2028, and will be valid for
three years. If a consor um gains or loses a member organiza on(s), then the adjustments will be made
accordingly.
Note: A consor um must also submit Appendix 1: Triennial Child Count Declara on/Demonstra on for
each par cipa ng member Tribe/Village.
A 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.
1.3.1
Child Count
(If the Tribal Lead Agency is not a consortium, it is required to answer this question.)
The Tribal Lead Agency certifies that the number of Indian children younger than age 13 (as defined in
1.1.1) who reside in the service area (as defined in 1.2.1) for the Tribal Lead Agency is: Click or tap here
to enter text. (number)
1.3.2
Consortium Child Count
(If the Tribal Lead Agency is a consortium, it is required to answer this question.)
The Tribal Lead Agency certifies that the number of Indian children younger than age 13 (as defined in
1.1.1) who reside in the service area (as defined in 1.2.1) for the consortium Tribal Lead Agency and
consortium members are:
Consortium Tribal Lead
Agency
Mandatory Count of Children
Less than 13 Years Old
Discretionary Count of Children
Less than 13 Years Old
TOTAL
(System Calculated)
(Automated in CARS—Sum of all
consortium members)
(Automated in CARS—Sum of all
consortium members)
Consortium Member
Mandatory
Count of
Children Less
Signed
Declaration/Demonstration for
Each Consortium Member
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FFY 2026–2028 CCDF Tribal Plan
Discretionary
Count of
Children Less
than 13 Years
Old
than 13 Years
Old
(upload letter)
Example in Appendix 1
Click or tap
here to upload.
Click or tap
here to upload.
Click or tap here to upload.
Member 2
Click or tap
here to upload.
Click or tap
here to upload.
Click or tap here to upload.
Member 3
Click or tap
here to upload.
Click or tap
here to upload.
Click or tap here to upload.
Member 4, etc.
Click or tap
here to upload.
Click or tap
here to upload.
Click or tap here to upload.
Member 1
(CARS will prepopulate
consortium members;
delete or add as
necessary)
1.3.3
102-477 Reallotted Tribal Discretionary Funds
(If a Tribe has a P.L. 102-477 consolidated plan, it is required to answer this question.)
Reallotted Discretionary funds are unused current grant year Discretionary funds re-awarded into the
same originating grant year by ACF to other Tribal Lead Agencies (thus retaining original obligation and
liquidation requirements). To be eligible to receive reallotted funds, the Tribal Lead Agency must
indicate their interest below.
Does the Tribal Lead Agency request discretionary funds should they be available through the
reallotment process?
☐ Yes.
☐ No.
1.4 CCDF Leadership
This sec on iden fies the Tribal Na on or par cipa ng member Tribes/Villages of a Tribal consor um
leadership of the CCDF program, including the designated Tribal Lead Agency. 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 en es.
1.4.1
Program Compliance
By submitting this Plan, the Tribal Lead Agency assures that it will have in effect a program that
complies with the provisions of the CCDF Plan, and that it is administered in accordance with the Child
Care and Development Block Grant (CCDBG) Act (42 U.S.C. § 9857 et seq.), as amended by the CCDBG
Act of 2014 (Pub. L. 113-186); section 418 of the Social Security Act (42 U.S.C. § 618); and all other
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applicable federal laws and regulations.
☐ Check this box to provide assurance.
1.4.2
Tribe or Tribal Consortium Information
a. Official name of the federally recognized Tribe as listed in the Federal Register or Tribal consortium:
Click or tap here to enter text.
b. Name of Tribal Chair, President, or Leader: Click or tap here to enter text.
c. Title: Click or tap here to enter text.
d. Address: Click or tap here to enter text.
e. City, state, ZIP code: Click or tap here to enter text.
f.
Telephone number: Click or tap here to enter text.
g. Email address: Click or tap here to enter text.
1.4.3
Tribal Consortium
(If the Tribal Lead Agency is a consortium, it is required to answer this question.)
A Tribal consortium refers to a partnership between two or more Tribal governments authorized by the
governing bodies of those Tribes/Alaska Native Villages to allow the Tribal consortium to apply for and
receive CCDF funding on behalf of the participating member Tribes/Villages. A Tribal consortium must
describe how it coordinates services, including direct services, on behalf of each of its participating
member Tribes/Villages (§98.81(b)(8)(ii)).
Describe how child care services are provided to each participating member Tribe/Village in the
consortium: Click or tap here to enter text.
1.5 Designated Tribal Lead Agency
The Tribe or Tribal consor um must designate an agency to represent the Tribe/consor um as the Tribal
Lead Agency. This designated agency agrees to administer the Tribal CCDF program in accordance with
applicable federal laws and regula ons and the provisions of this Plan (§98.10; §98.16(a); §98.83(a)).
The Tribal Lead Agency can be a department or sub-agency, such as the CCDF department, human services
department, or workforce development department. In some cases, the Tribe itself may be the Tribal Lead
Agency.
Note: An amendment to the Tribal CCDF Plan is required in the event of a change in the designated Tribal
Lead Agency.
1.5.1
Designated Agency by the Tribe or Tribal Consortium
Which agency has been designated by the Tribe or Tribal consortium to administer the CCDF program?
Name of Tribal Lead Agency: Click or tap here to enter text.
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1.5.2
Contact Information for the Tribal CCDF Administrator
Identify the CCDF Administrator designated by the Tribal Lead Agency. The CCDF Administrator serves
as the day-to-day contact 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 Co-Administrator/Assistant Administrator and include relevant
contact information for the Co-Administrator in 1.5.3.
a. Name of Tribal CCDF Administrator: Click or tap here to enter text.
b. Title: Click or tap here to enter text.
c. Mailing address: Click or tap here to enter text.
d. Physical address (if different than mailing address): Click or tap here to enter text.
e. Phone number: Click or tap here to enter text.
f.
Cell phone number: Click or tap here to enter text.
g. Email address: Click or tap here to enter text.
1.5.3
Contact Information for the Tribal CCDF Co-Administrator/Assistant Administrator
a. Name of Tribal CCDF Co-Administrator/Assistant Administrator: Click or tap here to enter text.
b. Title: Click or tap here to enter text.
c. Mailing address (if different from above): Click or tap here to enter text.
d. Physical address (if different than mailing address): Click or tap here to enter text.
e. Phone number: Click or tap here to enter text.
f.
Cell phone number: Click or tap here to enter text.
g. Email address: Click or tap here to enter text.
1.5.4
Contact Information for the Tribal Fiscal Contact
Identify the fiscal contact designated by the Tribal Lead Agency. The fiscal contact serves as the person
who will answer questions related to the annual Financial Reporting Form for Tribal CCDF Lead Agencies
(ACF-696T), and other related CCDF fiscal topics. If there is more than one designated contact person
with shared responsibility for fiscal management, please identify the person in 1.5.5 and include
relevant contact information:
a. Name of Tribal fiscal contact: Click or tap here to enter text.
b. Title: Click or tap here to enter text.
c. Mailing address: Click or tap here to enter text.
d. Physical address (if different than mailing address): Click or tap here to enter text.
e. Phone number: Click or tap here to enter text.
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FFY 2026–2028 CCDF Tribal Plan
f.
Cell phone number: Click or tap here to enter text.
g. Email address Click or tap here to enter text.
1.5.5
Optional: Contact Information for Any Other Needed Tribal Contact
Identify any additional contacts that OCC should include in correspondence with the Tribe or Tribal Lead
Agency:
a. Name of the other Tribal contact: Click or tap here to enter text.
b. Title: Click or tap here to enter text.
c. Mailing address: Click or tap here to enter text.
d. Physical address (if different than mailing address): Click or tap here to enter text.
e. Phone number: Click or tap here to enter text.
f.
Cell phone number: Click or tap here to enter text.
g. Email address: Click or tap here to enter text.
1.6 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
administra on of the CCDF program (§98.11(a)(3)).
1.6.1
Direct Administration and Operation
Will the Tribal Lead Agency directly administer and operate the CCDF program?
☐ 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 and certifies that there is a written agreement between the Tribal Lead Agency and other
agencies.
1.7 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 appropriate
representa ves of the local government of the Tribal Na on (§98.14(b)). Tribal Lead Agencies are also
required to conduct a public hearing to provide an opportunity for the general public to comment on the
provision of the child care services under the CCDF Plan (§98.14(c)). For the purposes of developing this
CCDF Plan, consulta on involves mee ng with or obtaining input from appropriate representa ves of the
Tribal community.
1.7.1
Consultation and Representation
Does the Tribal Lead Agency certify that it consulted with appropriate representatives of the local
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FFY 2026–2028 CCDF Tribal Plan
government of the Tribal Nation in the development of this Plan, as practicable (§98.14(b))?
☐ Yes.
☐ No.
1.7.2
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 (§98.14(c)).
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, 2025. The Tribal Lead Agency must provide 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 draft Plan available to the
public in advance of the hearing.
Does the Tribal Lead Agency certify that it held at least one hearing after at least 20 days of public
notice to provide the public an opportunity to comment on the provision of child care services under
the CCDF Plan before the Plan is submitted to ACF, but no earlier than nine months before the Plan
becomes effective?
☐ Yes.
☐ No.
1.7.3
Plan Availability to the Public
A Tribal Lead Agency must make its submitted and final Plan, any Plan amendments, and any waivers
publicly available (§98.14(d)).
Does the Tribal Lead Agency certify that it makes the final CCDF Plan, any subsequent Plan
amendments, and waivers available to the public?
☐ Yes.
☐ No.
1.8 Categories of Care
The Tribal Lead Agency must iden fy the categories of care CCDF eligible families may choose from,
including those current or planned during the three-year Plan period.
Note: Choices in 1.8.1-1.8.3 will affect skip pa erns throughout the Plan.
1.8.1
Center-Based Child Care (Including Tribally Operated Centers)
Does the Tribal Lead Agency use center-based child care providers, including Tribally operated centers,
which are providers licensed or otherwise authorized to provide child care services for fewer than 24
hours per day per child in a nonresidential setting, unless care in excess of 24 hours is due to the nature
of work of a child’s parent(s)?
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☐ Yes.
☐ No.
1.8.2
Family Child Care
Does the Tribal Lead Agency use family child care providers, which are individuals who provide child
care services for fewer than 24 hours per day per child in a private residence other than the child’s
residence, unless care in excess of 24 hours is due to the nature of the work of a child’s parent(s)?
☐ Yes.
☐ No.
1.8.3
In-Home Child Care
Does the Tribal Lead Agency use in-home child care providers, which are individuals who provide child
care services in the child's own home?
☐ Yes.
☐ No.
1.9 Coordination of Services
The Tribal Lead Agency is required, as prac cable, to coordinate services with other Tribal, federal, state,
and/or local child care and early childhood development programs and agencies, such as:
Public health
Employment services/workforce development
Temporary Assistance for Needy Families (TANF)
Child care licensing
Head Start and/or Early Head Start
State Advisory Council on Early Childhood Educa on and Care
Statewide a erschool network
Emergency management and response
Child and Adult Care Food Program (CACFP)
McKinney-Vento state coordinates for homeless educa on
Agencies responsible for Medicaid and state children’s health insurance program
Mental health services
Child care resource and referral agencies
A Tribal Lead Agency must demonstrate in the Plan how it encourages partnerships, if applicable and to
the extent prac cable, among Tribal agencies, other public agencies, other Tribes and Tribal organiza ons,
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private en es, and community-based organiza ons to leverage exis ng service delivery systems and to
increase the supply and quality of services (§98.14(a)).
1.9.1
Coordination of Services
Briefly describe the ways coordination occurs and the results of those coordination efforts: Click or tap
here to enter text.
1.10 Program Integrity and Accountability
The Tribal Lead Agency is responsible for making sure that policies and procedures are in place to monitor
programs and services, ensure compliance with the rules of the program, and provide oversight in the
expenditure of all funds, including iden fying improper expenditures and undertaking fraud preven on
and recovery efforts.
1.10.1 Identifying Improper Payments
Tribal Lead Agencies are required to describe effective internal controls to identify improper payments.
a. Briefly describe how the Tribal Lead Agency’s effective internal controls ensure integrity and
accountability, including processes to ensure sound fiscal management (§98.68(a)). Describe: Click
or tap here to enter text.
b. How does the Tribal Lead Agency prevent and identify improper payments (§98.68(b))? Check those
that are included in the Tribe’s policies and procedures:
i.
☐ Train staff on CCDF policies and regulations.
ii. ☐ Conduct supervisory staff reviews or quality assurance reviews.
iii. ☐ Share data with other programs (e.g., state CCDF program, Tribal or state TANF program,
Head Start, CACFP, other Tribal offices).
iv. ☐ Run system reports that flag errors.
v. ☐ Review enrollment documents and attendance or billing records.
vi. ☐ Review provider records.
vii. ☐ Perform ongoing monitoring and assessment of policy implementation.
viii. ☐ Train staff on Tribal procurement procedures.
ix. ☐ Inform families on allowable uses of Tribal CCDF funds.
x. ☐ Create a timeline for review of a family’s presumptive eligibility determinations.
xi. ☐ Other. Briefly describe: Click or tap here to enter text.
1.10.2 Investigating and Collecting Improper Payments
The Tribal Lead Agency is required to recover improper payments that are the result of fraud
(§98.68(b)(2)). How does the Tribal Lead Agency investigate and collect improper payments resulting
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from fraud (intentional errors or program violations)? Check those that apply:
a. ☐ Coordinate with and refer to other Tribal, state, or federal agencies (e.g., Tribal Council, law
enforcement).
b. ☐ Require recovery if the improper payment exceeds a specific dollar amount. Identify the
minimum dollar amount: $Click or tap here to enter text.
c. ☐ Recover through repayment plans.
d. ☐ Reduce payments in subsequent months.
e. ☐ Recover through payroll deductions (i.e., for CCDF clients, providers, and staff employed by the
Tribe).
f.
☐ Other. Briefly describe: Click or tap here to enter text.
1.11 Disaster Preparedness and Response Plan
(If the Tribal Lead Agency has a medium or large allocation, it is required to answer 1.11.1-1.11.3. Tribal
Lead Agencies with small allocations are only required to answer 1.11.3.)
Tribal Lead Agencies with medium and large alloca ons are required to establish a Child Care Disaster Plan
for the Tribal service area. The plan must be developed in consulta on with relevant agencies and
partners and must describe how it will address the needs of children, including the need for safe child care
before, during, and a er a state of emergency declared by the Governor or Tribal Chief Execu ve for a
major disaster or emergency (§98.16(dd) and as defined by Sec on 102 of the Robert T. Stafford Disaster
Relief and Emergency Assistance Act, 42 U.S.C. 5122).
Tribal Lead Agencies with small alloca ons are not required to establish a Child Care Disaster Plan, but are
required to include in its policies and procedures standards for disaster procedures including evacua on,
reloca on; shelter-in-place; lockdown; communica on and reunifica on with families; con nuity of
opera ons; accommoda ons for infants and toddlers, children with disabili es, and children with chronic
medical condi ons; and conduc ng emergency preparedness training and prac ce drills for staff and
volunteers.
1.11.1 Child Care Disaster Plan Collaboration
Did the Tribal Lead Agency collaborate with other agencies to develop the Child Care Disaster Plan,
which may include other programs within the Tribal Lead Agency’s governance structure, or any other
partners identified by the Tribal Lead Agency (§98.16(dd)(1))? (e.g., Tribal or state emergency
management agency, child care licensing agency, or health department):
☐ Yes.
☐ No. Briefly describe: Click or tap here to enter text.
1.11.2 Child Care Disaster Plan Components
Does the Child Care Disaster Plan include the following required components (§98.16(dd)(2)):
a. Guidelines for the continuation of child care subsidies?
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☐ Yes.
☐ No.
b. Guidelines for the continuation of child care services?
☐ Yes.
☐ No.
c. Procedures for the coordination of post-disaster recovery of child care services?
☐ Yes.
☐ No.
1.11.3 Child Care Disaster Plan Disaster Procedures
Does the Tribal Lead Agency certify it has included in its Tribal CCDF Disaster Plan (or for small
allocations, in its policies and procedures) standards for disaster procedures including evacuation;
relocation; shelter-in-place; lockdown; communication and reunification with families; continuity of
operations; accommodations for infants and toddlers, children with disabilities, and children with
chronic medical conditions; and conducting emergency preparedness training and practice drills for
staff and volunteers (§98.41(a)(1)(vii))?
☐ Yes.
☐ No.
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2 Health and Safety of Child Care Settings
Child care health and safety standards and enforcement prac ces are essen al to protect the health and
safety of children while out of their parents’ care. CCDF provides a minimum threshold for child care
health and safety policies and prac ces but leaves authority to Tribal Lead Agencies to design, adapt, or
adopt standards that appropriately protect children’s safety and promote nurturing environments that
support their healthy growth and development. Tribal Lead Agencies should implement standards for
ra os, group size limits, and provider qualifica ons that help ensure that the child care environment is
conducive to safety and learning and enable caregivers to promote all domains of children’s development.
Health and safety standards should set clear and enforceable expecta ons for providers, set the
founda on for health and safety training, and establish the baseline for monitoring and inspec on.
In this sec on, a Tribal Lead Agency will describe its health and safety standards, pre-service or orienta on
training on health and safety, monitoring system(s), and its comprehensive background checks approach.
Tribal Lead Agencies may adopt state health and safety standards, training, monitoring, and
comprehensive background checks, or they may set their own. Tribal Lead Agencies have the flexibility to
describe alterna ve monitoring and background check approaches and to provide jus fica on(s) for the
approach(es). Tribal Lead Agencies will be skipped out of ques ons if they are adop ng state standards or
prac ces.
2.1 Relative Providers
Tribal Lead Agencies can use rela ve providers in either family child care or in-home se ngs. If the Tribal
Lead Agency u lizes rela ve providers in its CCDF program (defined in CCDF as grandparents, greatgrandparents, siblings if living in a separate residence, aunts, and uncles age 18 and over), the Tribal Lead
Agency has the flexibility to determine exemp ons for rela ve providers for health and safety standards,
training, monitoring, and comprehensive background checks if the individual cares only for rela ve
children.
Note: Tribal Lead Agencies that only u lize rela ve providers and exempt those providers from background
check requirements only need to complete Sec on 2.1 in Sec on 2. For Tribal Lead Agencies who require
rela ve providers to complete some or all background check requirements, Sec ons 2.9 through 2.17 are
required.
Check the exemp ons the Tribal Lead Agency has for eligible rela ve providers age 18 and over for the
following health and safety requirements.
2.1.1
Relative Providers
Does the Tribal Lead Agency allow for relative providers?
☐ No, the Tribal Lead Agency does not have relative providers. (If checked, skip 2.1.2-2.1.6.)
☐ Yes. If Yes, please check the category of care the Tribal Lead Agency allows
☐ Family child care: Care is provided by relative in a private residence other than the child’s
residence.
☐ In-home child care: Care is provided by relative in the child’s home.
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2.1.2
Relative Providers Only
Does the Tribal Lead Agency only provide child care services utilizing relative providers?
☐ Yes. (If checked, skip 2.2-2.8.)
☐ No.
2.1.3
Health and Safety Standards
Select one of the two options:
☐ Relative providers are exempt from all health and safety standard requirements.
☐ Select the topical standards required for relative providers:
a. ☐ The prevention and control of infectious diseases (including immunizations)
b. ☐ Prevention of sudden infant death syndrome (SIDS) and use of safe sleeping practices
c. ☐ Administration of medication, consistent with standards for parental control
d. ☐ Prevention and response to emergencies due to food and allergic reactions
e. ☐ Building and physical premises safety, including identification of and protection from
hazards, bodies of water, and vehicular traffic
f.
☐ Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment
g. ☐ Emergency preparedness and response planning
h. ☐ Handling and storage of hazardous materials and the appropriate disposal of
biocontaminants
i.
☐ Appropriate precautions in transporting children
j.
☐ Pediatric first aid and pediatric cardiopulmonary resuscitation (CPR)
k. ☐ Recognition and reporting of child abuse and neglect
l.
2.1.4
☐ Other. Describe: Click or tap here to enter text.
Health and Safety Training
Select one of the two options:
☐ Relative providers are exempt from all health and safety training requirements.
☐ Select the topical pre-service or orientation trainings required for relative providers:
a. ☐ The prevention and control of infectious diseases (including immunizations)
b. ☐ Prevention of sudden infant death syndrome (SIDS) and use of safe sleeping practices
c. ☐ Administration of medication, consistent with standards for parental control
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d. ☐ Prevention and response to emergencies due to food and allergic reactions
e. ☐ Building and physical premises safety, including identification of and protection from
hazards, bodies of water, and vehicular traffic
f.
☐ Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment
g. ☐ Emergency preparedness and response planning
h. ☐ Handling and storage of hazardous materials and the appropriate disposal of
biocontaminants
i.
☐ Appropriate precautions in transporting children
j.
☐ Pediatric first aid and pediatric cardiopulmonary resuscitation (CPR)
k. ☐ Recognition and reporting of child abuse and neglect
l.
2.1.5
☐ Other: Click or tap here to enter text.
Monitoring and Enforcement
Select one of the three options:
☐ Relative providers are exempt from all monitoring and enforcement requirements.
☐ Relative providers are exempt from some monitoring and enforcement requirements. Describe: Click
or tap here to enter text.
☐ Relative providers are subject to all monitoring and enforcement requirements.
2.1.6
Comprehensive Background Checks
Select one of the three options:
☐ Relative providers are exempt from all CCDF background check requirements.
☐ Relative providers are exempt from some CCDF background check requirements. Describe: Click or
tap here to enter text.
☐ Relative providers are subject to all CCDF background checks.
(If “Yes” is checked in 2.1.2 and “…exempt from all…” is checked in 2.1.6, skip 2.9 and 2.11-2.17.)
(If “Yes” and ONLY “In-home child care…” are checked in 2.1.1, skip 2.10.)
2.2 Overview of Health and Safety Standards, Training, and Inspections
Use the check boxes below to indicate the health and safety standards (§98.41(a)), monitoring systems
(§98.42(a); §98.42(b)), and comprehensive background check processes (§98.43(a)(1)) used by the Tribal
Lead Agency for each category of care.
Note: For Tribal Lead Agencies that u lize both rela ve providers and nonrela ve providers, Sec ons 2.2
through 2.11 ques ons apply to non-rela ve providers only. If mul ple boxes are checked in a category of
care, describe the combina on.
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2.2.1
Center-Based Care (Including Tribally Operated Centers)
Center-based care, including Tribally operated centers, is group care provided in a facility outside the
child’s or provider’s home.
a. Check the health and safety standards that apply for center-based care, including Tribally operated
centers:
i.
☐ Tribal health and safety standards
ii. ☐ State health and safety standards. State(s): Click or tap here to enter text.
iii. If both Tribal and state standards are selected, briefly describe how each type of standard is
applied: Click or tap here to enter text.
b. Check the monitoring and inspection systems that apply for center-based care, including Tribally
operated centers:
i.
☐ Tribal Monitoring and Inspection. List entity(ies): Click or tap here to enter text.
ii. ☐ State Monitoring Inspections. List entity(ies): Click or tap here to enter text.
iii. If both Tribal and state monitoring options are checked, provide a brief description of the
combination of monitoring entities (e.g., describe how more than one of the monitoring entities
above are combined or used to ensure comprehensive monitoring of all providers and
standards). Briefly describe: Click or tap here to enter text.
c. Does a state agency conduct all comprehensive background checks on behalf of the Tribal Lead
Agency for all center-based care, including Tribally operated centers?
☐ Yes. List the state(s): Click or tap here to enter text.
☐ No.
(If only 2.2.1a.ii and 2.2.1b.ii are checked, skip 2.3.1-2.8.3.)
(If only 2.2.1a.ii, 2.2.1b.ii, and “Yes” in 2.2.1c are checked, skip 2.3.1-2.17.2.)
2.2.2
Family Child Care
Family child care is care provided in a private residence other than the child’s residence.
a. Check the health and safety standards that apply for family child care (check all that apply):
i.
☐ Tribal health and safety standards
ii. ☐ State health and safety standards. State(s): Click or tap here to enter text.
iii. If both Tribal and state standards are selected, briefly describe how each type of standard is
applied: Click or tap here to enter text.
b. Check the monitoring systems that apply for family child care (check all that apply):
i.
☐ Tribal Monitoring. List monitoring entity(ies): Click or tap here to enter text.
ii. ☐ State Monitoring. List monitoring entity(ies): Click or tap here to enter text.
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iii. If both Tribal and state monitoring are selected, provide a brief description of the combination
of monitoring entities (e.g., describe how more than one of the monitoring entities above are
combined or used to ensure comprehensive monitoring of all providers and standards).
Describe: Click or tap here to enter text.
c. Does a state agency conduct all comprehensive background checks on behalf of the Tribal Lead
Agency for all family child care?
☐ Yes. List the state(s): Click or tap here to enter text.
☐ No.
(If only 2.2.2a.ii and 2.2.2b.ii are checked, skip 2.3.1-2.8.3.)
(If only 2.2.2a.ii, 2.2.2b.ii, and “Yes” in 2.2.2c are checked, skip 2.3.1-2.17.2.)
2.2.3
In-Home Care
In-home care is care provided in the child’s home.
a. Check the health and safety standards that apply for in-home care (check all that apply):
i.
☐ Tribal health and safety standards
ii. ☐ State health and safety standards. State(s): Click or tap here to enter text.
iii. If both Tribal and state standards are selected, briefly describe how each type of standard is
applied: Click or tap here to enter text.
b. Check the monitoring systems that apply for in-home care:
i.
☐ Tribal Monitoring. List monitoring entity(ies): Click or tap here to enter text.
ii. ☐ State Monitoring. List monitoring entity(ies): Click or tap here to enter text.
iii. If both Tribal and state monitoring are selected, provide a brief description of the combination
of monitoring entities (e.g., describe how more than one of the monitoring entities above are
combined or used to ensure comprehensive monitoring of all providers and standards).
Describe: Click or tap here to enter text.
c. Does a state agency conduct all comprehensive background checks on behalf of the Tribal Lead
Agency for all in-home child care?
☐ Yes. List the state(s): Click or tap here to enter text.
☐ No.
(If only 2.2.3a.ii and 2.2.3b.ii are checked, skip 2.3.1-2.8.3.)
(If only 2.2.3a.ii, 2.2.3b.ii, and “Yes” in 2.2.3c are checked, skip 2.3.1-2.17.2.)
2.3 Health and Safety Standards and Pre-Service/Orientation Training
Tribal Lead Agencies are required to establish health and safety standards for all providers receiving CCDF
funds rela ng to the topics listed below, as appropriate to the provider se ng and age of the children
served (§98.41(a)). This requirement is applicable to all providers receiving CCDF program funds except for
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certain rela ves, which may be exempted by the Tribal Lead Agency. Addi onally, Tribal Lead Agencies
must ensure caregivers, teachers, and directors are trained on health and safety standards either in preservice training or within a three-month orienta on period. Training must cover each of the required
standards that address the health and safety requirements described in §98.41(a) and be appropriate to
the provider se ng and the age of children served.
In this sec on, the Tribal Lead Agency will describe health and safety standards that apply to all providers.
A standard describes the ac ons that must be taken by child care providers to ensure the health and
safety of children in care.
In the first part of each health and safety topic, Tribal Lead Agencies must provide a brief
summary or list of components for each standard and any varia ons based on the category of
care and the ages of children served.
In the second part of each health and safety topic, Tribal Lead Agencies must cer fy that the
training topic is to be completed by providers either in pre-service training or within an
orienta on period (to be completed within three months of hire).
2.3.1
Prevention and Control of Infectious Diseases (Including Immunizations)
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(i)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period?
(§98.41(a)(2))?
☐ Yes.
☐ No.
c. Does the Tribal Lead Agency certify that it established a grace period (in consultation with the state
or Tribal health agency (§98.41(a)(1)(i)(C))) that allows children experiencing homelessness to
receive CCDF assistance while providing families with a reasonable time to take any necessary
actions to comply with immunization and other health and safety requirements?
☐ Yes.
☐ No.
d. Does the Tribal Lead Agency certify that it established a grace period (in consultation with the state
or Tribal health agency (§98.41(a)(1)(i)(C))) that allows children in foster care to receive CCDF
assistance while providing families with a reasonable time to take any necessary actions to comply
with immunization and other health and safety requirements?
☐ Yes.
☐ No.
2.3.2
Prevention of SIDS and the Use of Safe Sleeping Practices
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(ii)): Click or tap here to enter text.
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b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.3
Administration of Medication, Consistent with Standards for Parental Control
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(iii)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.4
Prevention of and Response to Emergencies Due to Food and Allergic Reactions
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(iv)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.5
Safety of Building and Physical Premises
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(v)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.6
Prevention of Shaken Baby Syndrome, Abusive Head Trauma, and Child Maltreatment
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(vi)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
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☐ Yes.
☐ No.
2.3.7
Emergency Preparedness and Response Planning
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(vii)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.8
Handling/Storage of Hazardous Materials and Appropriate Disposal of Biocontaminants
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(viii)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.9
Precautions in Transporting Children
Does the Tribal Lead Agency permit providers to transport children?
☐ No.
☐ Yes. If yes, answer the following questions:
a. Describe the standard and any variations based on category of care and/or ages of children
served (§98.41(a)(1)(ix)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.10 Pediatric First Aid and Pediatric Cardiopulmonary Resuscitation (CPR)
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(x)): Click or tap here to enter text.
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b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.11 Recognition and Reporting of Child Abuse and Neglect
a. Describe the standard and any variations based on category of care and/or ages of children served
(§98.41(a)(1)(xi)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period
(§98.41(a)(2))?
☐ Yes.
☐ No.
2.3.12 Child Development
(If the Tribal Lead Agency has a small allocation, it is not required to answer this question.)
a. Describe the standard, including the major domains of cognitive, social, emotional, and physical
development and approaches to learning and any variations based on category of care and/or ages
of children served (§98.44(b)(1)(iii)): Click or tap here to enter text.
b. Is this standard addressed in a pre-service training or within a 90-day orientation period (§98.44
(b)(1)(iii))?
☐ Yes.
☐ No.
2.3.13 Optional: Additional Standards
In addition to the CCDF required health and safety standards, Tribal Lead Agencies may require
providers to comply with additional standards such as 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)).
Does the Tribal Lead Agency require providers to follow any health and safety standards in addition to
the CCDF-required health and safety topics?
☐ Yes. Briefly describe (e.g., nutrition, access to physical activity, caring for children with special needs,
or any other areas the Tribal Lead Agency requires providers to follow to promote child development or
to protect children’s health and safety): Click or tap here to enter text.
☐ No.
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2.4 Ongoing Training
Tribal Lead Agencies must have ongoing training requirements on health and safety for caregivers,
teachers, and directors of programs receiving CCDF funds (§98.44(b)(2)).
2.4.1
Ongoing Training
Does the Tribal Lead Agency certify that it has ongoing training requirements on health and safety for
caregivers, teachers, and directors for all providers serving children participating in CCDF?
☐ Yes.
☐ No.
2.5 Staff/Child Ratios and Group Sizes
Tribal Lead Agencies must have standards for appropriate ra os between staff and children and
appropriate group size limits for specific age popula ons. Tribal Lead Agencies must set requirements for
qualifica ons for providers (§98.41(d)).
2.5.1
Age Classifications
Briefly describe how the Tribal Lead Agency defines the following age classifications:
a. Infant. Briefly describe: Click or tap here to enter text.
b. Toddler. Briefly describe: Click or tap here to enter text.
c. Preschool. Briefly describe: Click or tap here to enter text.
d. School-Age. Briefly describe: Click or tap here to enter text.
2.5.2
Center-Based Care Staff/Child Ratios and Group Sizes
For center-based care, including Tribally operated centers, provide the maximum staff/child ratio and
group size for the settings and age groups below (§98.41(d)(1 – 2)):
a. Infant
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
b. Toddler
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
c. Preschool
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
d. School-Age
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i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
e. Mixed-Age Groups
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
2.5.3
Family Child Care Staff/Child Ratios and Group Sizes
For family child care, provide the maximum staff/child ratio and group size for the settings and age
groups below (§98.41(d)(1 – 2)):
a. Infant
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
b. Toddler
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
c. Preschool
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
d. School-Age
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
e. Mixed-Age Groups
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
2.5.4
In-Home Care Staff/Child Ratios and Group Sizes
For in-home care, provide the maximum staff/child ratio and group size for the settings and age groups
below (§98.41(d)(1 – 2)):
a. Infant
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
b. Toddler
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
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ii. Group Size: Click or tap here to enter text.
c. Preschool
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
d. School-Age
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
e. Mixed-Age Groups
i.
Ratio: Click or tap here to enter staff/Click or tap here to enter children.
ii. Group Size: Click or tap here to enter text.
2.6 Provider Qualifications
Describe the provider qualifica ons for each of the Tribal Lead Agency’s categories of care (§98.41(d)(3)).
2.6.1
Center-Based Care (including Tribally Operated Centers)
Briefly describe provider (caregiver, teacher, etc.) minimum qualifications: Click or tap here to enter
text.
2.6.2
Family Child Care
Briefly describe provider (director, caregiver, teacher, etc.) minimum qualifications: Click or tap here to
enter text.
2.6.3
In-Home Care
Briefly describe provider (caregiver, teacher, etc.) minimum qualifications: Click or tap here to enter
text.
2.7 Monitoring and Enforcement of Health and Safety Requirements
Tribal Lead Agencies must cer fy that procedures are in effect to ensure that child care providers caring
for children receiving CCDF services comply with all applicable CCDF and Tribal health and safety
requirements.
This cer fica on may include, but is not limited to, any systems used to ensure that providers meet health
and safety requirements, any documenta on 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 inspec ons of child care providers and facili es that receive CCDF program funds.
Note: All rela ve provider informa on is entered in Sec on 2.1.
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2.7.1
Annual Inspections
Briefly describe the Tribal Lead Agency’s policies for annual inspections of CCDF providers for
compliance with 1) health and safety and 2) fire safety requirements for the following categories of care
(§98.42(b)(2)(ii)):
a. Center-based child care, including Tribally operated centers. Briefly describe: Click or tap here to
enter text.
b. Family child care. Briefly describe: Click or tap here to enter text.
c. In-home care. Briefly describe: Click or tap here to enter text.
2.7.2
Optional: Differential Approach to Inspection Requirements
Does the Tribal Lead Agency have an optional differential approach to the inspection requirements
(§98.42(b)(2)(iv)(B))?
☐ Yes. Briefly describe the alternative approach and how it is comprehensive and protects the health
and safety of children in care: Click or tap here to enter text.
☐ No.
2.8 Monitoring Inspectors
Tribal Lead Agencies must ensure individuals who are hired as inspectors or monitors are qualified to
inspect child care providers and facili es and have received health and safety training appropriate to the
provider se ng 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 Sec ons 2.3 and
2.4. Tribal Lead Agencies must also ensure the ra o of inspectors or monitors to child care providers and
facili es is maintained at a level sufficient to conduct effec ve inspec ons of child care providers and
facili es on a mely basis in accordance with Tribal, federal, state, and local laws.
2.8.1
Qualifications for Inspectors or Monitors to Inspect Facilities and Providers
Does the Tribal Lead Agency have policies that ensure individuals who inspect child care facilities have
the expertise, experience, or education, as determined by the Tribal Lead Agency, to comprehensively
conduct inspections to protect the health and safety of children in care (§98.42(b)(1))?
☐ Yes.
☐ No.
2.8.2
Inspectors or Monitors Training on Health and Safety Requirements
Does the Tribal Lead Agency train inspectors or monitors 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)?
☐ Yes.
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☐ No.
2.8.3
Ratio of Inspectors or Monitors to Child Care Providers
Does the Tribal Lead Agency have policies to ensure the ratio of inspectors to child care providers and
facilities is maintained at a level sufficient to enable the Tribe to conduct effective inspections on a
timely basis (§98.42(b)(3))?
☐ Yes.
☐ No.
2.9 Comprehensive Background Checks
All Tribal Lead Agencies are required to conduct comprehensive background checks for employed and
prospec ve staff members of all child care programs eligible to deliver CCDF services.
Comprehensive background checks must include three in-state checks, two na onal checks, and three
interstate checks if the individual lived in another state or territory in the preceding five years. The
background check components must be completed at least once every five years.
A Tribal Lead Agency may choose to partner with a state(s) to complete the comprehensive background
check process or conduct the checks itself using preapproved methods or alterna ve approaches.
Tribes may propose an alterna ve approach for assessing criminal history, sex offender status, and child
abuse and neglect history. The alterna ve approach is subject to ACF approval, and ACF will not approve
approaches with blanket exemp ons that bypass the intent of protec ng children’s safety.
For the following categories of care, select the methods the Tribal Lead Agency uses to meet the
comprehensive background check requirements. If using alterna ve approaches, the Tribal Lead Agency
must describe how the alterna ve approaches selected are comprehensive and ensure the health and
safety of children in child care in 2.17.
Note: Rela ve provider background check methods are described in Sec on 2.1 (§98.16(o); §98.43(b);
§98.83(d)(3); §98.83(f)(3)).
(If only preapproved method options are checked in 2.9.1-2.9.3, skip 2.11.1.)
2.9.1
Comprehensive Background Checks for Center-Based Care
Choose the method for conducting each of the eight components the Tribal Lead Agency uses for
center-based care, including Tribally operated centers.
a. Criminal registry or repository using fingerprints in the current state of residency (§98.43(b)(3)(i)):
i.
☐ State agency conducts a criminal history check on behalf of the Tribal Lead Agency
ii. ☐ Tribal Lead Agency uses access to a state criminal registry or repository. It submits and
receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
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iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, briefly describe how each method is utilized: Click or
tap here to enter text.
b. Sex offender registry or repository check in the current state of residency (§98.43(b)(3)(ii)):
i.
☐ State agency conducts a sex offender registry check on behalf of the Tribal Lead Agency
ii. ☐ Tribal Lead Agency uses access to a state sex offender registry or repository. It submits and
receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap here
to enter text.
c. Child abuse and neglect registry and database check in the current state of residency
(§98.43(b)(3)(iii)):
i.
☐ State agency conducts a child abuse and neglect registry check on behalf of the Tribal Lead
Agency
ii. ☐ The Tribal Lead Agency uses access to a state child abuse and neglect registry or repository.
It submits and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap here
to enter text.
d. Federal Bureau of Investigation (FBI) fingerprint check (§98.43(b)(1)):
i.
☐ State agency conducts a FBI fingerprint check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses a state’s access to the FBI NGI System (a P.L. 92-544 state
statute or a state’s discretion under the NCPA/VCA)
iii. ☐ U.S. Department of Justice (DOJ) Tribal Access Program (TAP)
iv. ☐ FBI-approved channeler
v. ☐ Hard copy fingerprint cards mailed to the FBI
vi. ☐ Alternative approach: Third-party vendor
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vii. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
e. National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) name-based
search (§98.43(b)(2)):
i.
☐ State agency conducts a NCIC NSOR check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses a state’s access to the NCIC NSOR name-based records
iii. ☐ Alternative approach: FBI fingerprint check (which includes an automatic check the of the
NCIC NSOR fingerprint records)
iv. ☐ Alternative approach: Third-party vendor
v. ☐ Alternative approach: Private or public sex offender registry. Describe: Click or tap here to
enter text.
vi. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
f.
Criminal registry or repository in the previous state of residency (in the past five years)
(§98.43(b)(3)(i)):
i.
☐ State agency conducts criminal history check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state criminal registry or repository. It submits and
receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap here
to enter text.
g. Sex offender registry or repository check in the previous state of residency (in the past five years)
(§98.43(b)(3)(ii)):
i.
☐ State agency conducts a sex offender registry check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state sex offender registry or repository. It submits
and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap here
to enter text.
h. Child abuse and neglect registry and database check in the previous state of registry (in the past five
years) (§98.43(b)(3)(iii)):
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i.
☐ State agency conducts child abuse and neglect registry check on behalf of the Tribal Lead
Agency
ii. ☐ The Tribal Lead Agency uses access to a state child abuse and neglect registry or repository.
It submits and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap here
to enter text.
2.9.2
Comprehensive Background Checks for Family Child Care
Choose the method the Tribal Lead Agency uses for conducting each of the eight components for family
child care:
☐ The Tribal Lead Agency uses the same approach for comprehensive background checks as listed for
center-based care as listed in 2.9.1. (If checked, skip 2.9.2a-h.)
☐ The Tribal Lead Agency uses a different approach for comprehensive background checks for family
child care as listed in 2.9.1.
a. Criminal registry or repository using fingerprints in the current state of residency
(§98.43(b)(3)(i)):
i.
☐ State agency conducts a criminal history check on behalf of the Tribal Lead Agency
ii. ☐ Tribal Lead Agency uses access to a state criminal registry or repository. It submits and
receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
b. Sex offender registry or repository check in the current state of residency (§98.43(b)(3)(ii)):
i.
☐ State agency conducts a sex offender registry check on behalf of the Tribal Lead Agency
ii. ☐ Tribal Lead Agency uses access to a state sex offender registry or repository. It submits
and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
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v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
c. Child abuse and neglect registry and database check in the current state of residency
(§98.43(b)(3)(iii)):
i.
☐ State agency conducts a child abuse and neglect registry check on behalf of the Tribal
Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state child abuse and neglect registry or
repository. It submits and receives information. List the state(s): Click or tap here to enter
text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
d. Federal Bureau of Investigation (FBI) fingerprint check (§98.43(b)(1)):
i.
☐ State agency conducts a FBI fingerprint check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses a state’s access to the FBI NGI System (a P.L. 92-544 state
statute or a state’s discretion under the NCPA/VCA)
iii. ☐ U.S. Department of Justice (DOJ) Tribal Access Program (TAP)
iv. ☐ FBI-approved channeler
v. ☐ Hard copy fingerprint cards mailed to the FBI
vi. ☐ Alternative approach: Third-party vendor
vii. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
e. National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) name-based
search (§98.43(b)(2)):
i.
☐ State agency conducts a NCIC NSOR check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses a state’s access to the NCIC NSOR name-based records
iii. ☐ Alternative approach: FBI fingerprint check (which includes an automatic check the of
the NCIC NSOR fingerprint records)
iv. ☐ Alternative approach: Third-party vendor
v. ☐ Alternative approach: Private or public sex offender registry. Describe: Click or tap here
to enter text.
vi. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
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f.
Criminal registry or repository in the previous state of residency (in the past five years)
(§98.43(b)(3)(i)):
i.
☐ State agency conducts a criminal history check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state criminal registry or repository. It submits
and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
g. Sex offender registry or repository check in the previous state of residency (in the past five
years) (§98.43(b)(3)(ii)):
i.
☐ State agency conducts a sex offender registry check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state sex offender registry or repository. It
submits and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
h. Child abuse and neglect registry and database check in the previous state of registry (in the past
five years) (§98.43(b)(3)(iii)):
i.
☐ State agency conducts a child abuse and neglect registry check on behalf of the Tribal
Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state child abuse and neglect registry or
repository. It submits and receives information. List the state(s): Click or tap here to enter
text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
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2.9.3
Comprehensive Background Checks for In-Home Care
Choose the method for conducting each of the eight components the Tribal Lead Agency uses for inhome child care:
☐ The Tribal Lead Agency uses the same approach for comprehensive background checks for family
child care as listed in 2.9.1 or 2.9.2: (If checked, skip 2.9.3a-h.)
☐ Center-based care
☐ Family child care
☐ The Tribal Lead Agency uses a different approach for comprehensive background checks for family
child care as listed in 2.9.1 or 2.9.2.
a. Criminal registry or repository using fingerprints in the current state of residency
(§98.43(b)(3)(i)):
i.
☐ State agency conducts a criminal history check on behalf of the Tribal Lead Agency
ii. ☐ Tribal Lead Agency uses access to a state criminal registry or repository. It submits and
receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
b. Sex offender registry or repository check in the current state of residency (§98.43(b)(3)(ii)):
i.
☐ State agency conducts a sex offender registry check on behalf of the Tribal Lead Agency
ii. ☐ Tribal Lead Agency uses access to a state sex offender registry or repository. It submits
and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
c. Child abuse and neglect registry and database check in the current state of residency
(§98.43(b)(3)(iii)):
i.
☐ State agency conducts a child abuse and neglect registry check on behalf of the Tribal
Lead Agency
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ii. ☐ The Tribal Lead Agency uses access to a state child abuse and neglect registry or
repository. It submits and receives information. List the state(s): Click or tap here to enter
text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
d. Federal Bureau of Investigation (FBI) fingerprint check (§98.43(b)(1)):
i.
☐ State agency conducts a FBI fingerprint check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses a state’s access to the FBI NGI System (a P.L. 92-544 state
statute or a state’s discretion under the NCPA/VCA)
iii. ☐ U.S. Department of Justice (DOJ) Tribal Access Program (TAP)
iv. ☐ FBI-approved channeler
v. ☐ Hard copy fingerprint cards mailed to the FBI
vi. ☐ Alternative approach: Third-party vendor
vii. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
e. National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) name-based
search (§98.43(b)(2)):
i.
☐ State agency conducts a NCIC NSOR check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses a state’s access to the NCIC NSOR name-based records
iii. ☐ Alternative approach: FBI fingerprint check (which includes an automatic check the of
the NCIC NSOR fingerprint records)
iv. ☐ Alternative approach: Third-party vendor
v. ☐ Alternative approach: Private or public sex offender registry. Describe: Click or tap here
to enter text.
vi. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
f.
Criminal registry or repository in the previous state of residency (in the past five years)
(§98.43(b)(3)(i)):
i.
☐ State agency conducts a criminal history check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state criminal registry or repository. It submits
and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
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iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
g. Sex offender registry or repository check in the previous state of residency (in the past five
years) (§98.43(b)(3)(ii)):
i.
☐ State agency conducts a sex offender registry check on behalf of the Tribal Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state sex offender registry or repository. It
submits and receives information. List the state(s): Click or tap here to enter text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
h. Child abuse and neglect registry and database check in the previous state of registry (in the past
five years) (§98.43(b)(3)(iii)):
i.
☐ State agency conducts a child abuse and neglect registry check on behalf of the Tribal
Lead Agency
ii. ☐ The Tribal Lead Agency uses access to a state child abuse and neglect registry or
repository. It submits and receives information. List the state(s): Click or tap here to enter
text.
iii. ☐ Alternative approach: Third-party vendor
iv. ☐ Alternative approach: Tribal database or repository. Briefly describe: Click or tap here to
enter text.
v. ☐ Alternative approach: Other. Describe: Click or tap here to enter text.
vi. If more than two methods are checked, describe how each method is utilized: Click or tap
here to enter text.
2.10 Comprehensive Background Checks for Household Members in Family Child Care
(If the Tribal Lead Agency uses family child care, it is required to complete this section.)
For family child care, the comprehensive background check requirement includes the caregiver and
household members (i.e., any other adults residing in the family home child care who are age 18 or older).
ACF recognizes that comple ng all eight comprehensive background checks for household members may
be burdensome for Tribes and will consider an alterna ve approach of at least one background check or
comple ng some of the required checks. Tribal Lead Agencies who use this alterna ve approach must
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indicate which background checks apply to household members and must jus fy the alterna ve approach
in sec on 2.17 (§98.43(a)(2)(ii)(C)).
2.10.1 Comprehensive Background Checks for Household Members
What comprehensive background check components are required for family child care household
members over 18 years of age?
☐ All eight required components are required using the methods listed in 2.9.2 for family child care.
☐ An alternative approach to what is listed in 2.9.2 that includes a combination of the following
components. Check those that apply:
a. ☐ Criminal registry or repository using fingerprints in the current state of residency
b. ☐ Sex offender registry or repository check in the current state of residency
c. ☐ Child abuse and neglect registry and database check in the current state of residency
d. ☐ Federal Bureau of Investigation (FBI) fingerprint check
e. ☐ National Crime Information Center National Sex Offender Registry (NCIC NSOR) name-based
search
f.
☐ Criminal registry or repository in the previous state of residency (in the past five years)
g. ☐ Sex offender registry or repository check in the previous state of residency (in the past five
years)
h. ☐ Child abuse and neglect registry and database check in the previous state of residency (in the
past five years)
2.11 Disqualifying Crimes for Employment Eligibility
The Tribal Lead Agency must determine child care staff members (including prospec ve child care staff
members) ineligible for employment or to deliver services if convicted of a felony for any of the following
crimes specified in §98.43(c)(1)(iv): murder, child abuse or neglect, a crime against children, including child
pornography, spousal abuse, a crime involving rape or sexual assault, kidnapping, arson, physical assault
or ba ery, a drug-related offense commi ed during the preceding five years, or has been convicted of a
violent misdemeanor commi ed as an adult against a child, including the following crimes: child abuse,
child endangerment, and sexual assault, or of any misdemeanor involving child pornography.
The Tribal Lead Agency must also determine a child care staff member or prospec ve child care staff
member ineligible for employment for any components in §98.43(c)(1)(i) through §98.43(c)(1)(iii):
refuses to consent to a background check,
knowingly makes materially false statements in connec on with the background check, or
is registered, or is required to be registered, on the state/territory sex offender registry or
repository or the Na onal Sex Offender Registry (NSOR).
(If the Tribal Lead Agency only uses state systems for comprehensive background checks, it is not
required to complete this section.)
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2.11.1 Disqualifying Crimes for Employment Eligibility
a. Does the Tribal Lead Agency determine child care staff members or prospective child care staff
members ineligible for child care employment or to deliver services based on conviction for crimes
and other factors listed in §98.43(c)(1)?
☐ Yes.
☐ No.
b. Does the Tribal Lead Agency have additional crimes for which it determines individuals ineligible for
child care employment or to deliver services?
☐ Yes. List additional disqualifying crimes: Click or tap here to enter text.
☐ No.
c. Does the Tribal Lead Agency use an alternative approach that implements less than a lifetime ban
for offenses that are not crimes against children?
☐ Yes. Briefly describe the alternative approach: Click or tap here to enter text.
☐ No.
2.11.2 Felony Drug Offense Review Process
Does the Tribal Lead Agency have a review process for a felony drug offense committed within the
preceding five years to determine if that individual is still eligible for employment (§98.43(e)(4))?
☐ Yes. Briefly describe: Click or tap here to enter text.
☐ No.
2.12 Fees
The Tribal Lead Agency may not charge fees that exceed the actual costs of processing applica ons and
administering a comprehensive background check, regardless of whether the checks are conducted by the
Tribe, a state, or a third-party vendor or contractor.
(If the Tribal Lead Agency only uses state systems for comprehensive background checks, it is not
required to answer this section.)
2.12.1 Fees
Does the Tribal Lead Agency ensure that fees charged for completing the background check reflect the
actual cost of processing and administration (§98.43(f))?
☐ Yes.
☐ No. If no, briefly describe the cost to the Tribal Lead Agency of processing and administering the
background check and the amount charged to the applicant: Click or tap here to enter text.
☐ Not applicable. The Tribal Lead Agency does not charge fees for background checks.
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2.13 Timeliness in Returning the Results
The Tribal Lead Agency must conduct comprehensive background checks as quickly as possible and
provide the results of employment determina on to the provider and to the current or prospec ve staff
member within 45 days a er the date the provider submi ed the request.
Tribal Lead Agencies have the flexibility to make employment eligibility decisions for provisional hires if
not all background check components are completed within 45 days.
(If the Tribal Lead Agency only uses state systems for comprehensive background checks, it is not
required to answer this section.)
2.13.1 Timeliness in Returning the Results
Does the Tribal Lead Agency provide employment determination results to the provider and current or
prospective staff member within 45 days (§98.43(e)(1))?
☐ Yes.
☐ No. Describe the alternative approach: Click or tap here to enter text.
2.14 Provisional Hire
Tribal Lead Agencies must receive a qualifying result for either the FBI criminal background check or a
fingerprint-based in-state criminal background check where the individual lives before prospec ve staff
members may provide services or be in the vicinity of children. Un l all the background check components
have been completed, the prospec ve staff member must be supervised at all mes by someone who has
already received a qualifying result on a background check within the past five years.
2.14.1 Provisional Hire
Does the Tribal Lead Agency allow a provisional hire to begin work before a qualifying result from an FBI
fingerprint criminal check or an in-state fingerprint-based criminal history check (§98.43(d)(4))?
☐ No.
☐ Yes. If yes, answer the following questions:
a. Does the Tribal Lead Agency require a qualifying result from the FBI fingerprint check or
state/Tribal criminal checks before a provisional hire begins work with children?
☐ Yes.
☐ No. Describe the alternative approach: Click or tap here to enter text.
b. Does the Tribal Lead Agency require a provisional hire to be supervised by staff with a qualifying
result for the comprehensive background check while awaiting results from all components of
the comprehensive background check?
☐ Yes.
☐ No. Describe the alternative approach: Click or tap here to enter text.
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2.15 Privacy of Comprehensive Background Check Results
Tribal Lead Agencies must ensure privacy by providing the results of the background check to the child
care provider (i.e., employer) in a statement that only indicates whether a child care staff member
(including staff member, prospec ve staff member, or household member) is eligible or ineligible for
employment, without revealing any detailed informa on of criminal history, disqualifying crimes, or other
related informa on regarding the individual. 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 does not
include personally iden fiable informa on (§98.43(e)(2)(iii)). ACF will consider alterna ve approaches that
allow some informa on to be shared with the child care provider.
Note: This provision is subject to limita ons in FBI policy and state or Tribal privacy requirements, which
may prevent the release of informa on. Tribal Lead Agencies must jus fy any alterna ve approach.
(If the Tribal Lead Agency only uses state systems for comprehensive background checks, it is not
required to answer this section.)
2.15.1 Privacy of Comprehensive Background Check Results
Does the Tribal Lead Agency certify it provides the results of the employment determination to the
provider without revealing any specific/detailed criminal history about the child care staff member
(including staff member, prospective staff member, or household member) (§98.43(e)(2)(i))?
☐ Yes.
☐ No. Describe the alternative approach: Click or tap here to enter text.
2.16 Appeals for Child Care Staff
Tribal Lead Agencies must have a process that allows an individual (including staff member, child care staff
member, prospec ve staff member, or household member) to appeal the results of a background check to
challenge the accuracy or completeness of the informa on contained in the individual’s background check
report.
(If the Tribal Lead Agency only uses state systems for comprehensive background checks, it is not
required to answer this section.)
2.16.1 Appeals Process
Does the appeals process:
a. Provide the affected individual with information in writing related to each disqualifying crime in a
report, along with information/notice on the opportunity to appeal (§98.43(e)(2)(ii))?
☐ Yes.
☐ No.
b. Provide the affected individual with clear instructions about how to complete the appeals process
for each background check component if the individual wishes to challenge the accuracy or
completeness of the information contained in such individual’s background report
(§98.43(e)(3)(ii))?
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☐ Yes.
☐ No.
c. Ensure the Tribal Lead Agency attempts to verify the accuracy of the information challenged by the
individual, including making an effort to locate any missing disposition information related to the
disqualifying crime (§98.43(e)(3)(iii))?
☐ Yes.
☐ No
d. Get completed in a timely manner (§98.43(e)(3)(iv))?
☐ Yes.
☐ No.
e. Ensure the affected individual receives written notice of the decision. In the case of a negative
determination, the decision must indicate (1) the Tribal Lead Agency’s efforts to verify the accuracy
of information challenged by the individual, (2) any additional appeals rights available to the
individual, and (3) information on how the individual can correct records at issue in the case
(§98.43(e)(3)(v))?
☐ Yes.
☐ No.
2.17 Justification for Alternative Approaches
(If the Tribal Lead Agency only checks preapproved methods in 2.9-2.16, it is not required to answer
2.17.1-2.17.2.)
Tribal Lead Agencies may use alterna ve approaches to complete all eight of the comprehensive
background checks (Plan ques on 2.9); the implementa on of less than life me bans for offenses that are
not crimes against children (2.11); the policies that allow longer than 45 days to conduct comprehensive
background checks (2.13); provisional hire (2.14); or any private informa on shared with the child care
provider (i.e., employer) (2.15), as applicable.
OCC will consider alterna ve approaches in cases where the Tribe does not have authority or access to
conduct a par cular component of the check, par cularly in cases where staff are not Tribal employees
(e.g., staff of family child care providers or center-based providers receiving vouchers/cer ficates).
In the ques on below, describe how the alterna ve approach(es) selected in Plan ques ons 2.9-2.16 are
comprehensive and ensure the health and safety of children in child care, as applicable.
2.17.1 Barriers in Completing CCDF Background Checks
What are the issues or barriers in completing the required CCDF background checks using approved
methods? Check those that apply:
☐ 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.
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☐ No existing formal or informal MOU or MOA with a state to access criminal or child abuse databases
for CCDF purposes.
☐ Other. Describe: Click or tap here to enter text.
2.17.2 Justification for Alternative Approaches
Describe how the alternative approach(es) in Plan questions 2.10-2.16 are comprehensive and ensure
the health and safety of children in child care: Click or tap here to enter text.
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3 Quality Improvement
The quality of child care affects children’s safety and healthy development while in care se ngs, and highquality child care can be founda onal across the lifespan of a child. Tribal CCDF quality funds can be used
in a broad variety of ways to improve the quality of child care for all children in care, including for
culturally relevant ac vi es, to meet the unique needs of Tribal children, families, and communi es. Tribal
Lead Agencies may use CCDF for quality improvement ac vi es for all Indian children in care in the
defined service area, not just those receiving child care subsidies.
Required Minimum for Quality Spending
Tribal Lead Agencies with Small
Alloca ons
Tribal Lead Agencies with Medium and
Large Alloca ons
Quality Set-Aside*
9%
9%
Infant-Toddler*
NA
3%
Total Quality*
9%
12%
*Does not apply to discre onary base amount.
3.1 Quality Activities Needs Assessment Methodology
3.1.1
Quality Activities Needs Assessment Methodology
How did the Tribal Lead Agency assess needs to identify goals and activities to improve quality? Check
those that apply:
a. ☐ Parent, family, community, or Tribal meetings
b. ☐ Self-assessments
c. ☐ Surveys to families, providers, and Tribal leadership
d. ☐ Site visits and/or monitoring inspection visits
e. ☐ Community assessments
f.
☐ Other. Describe: Click or tap here to enter text.
3.2 Quality Improvement Goals and Activities
CCDF quality set-aside funds must be used on at least one of ten quality improvement ac vi es described
in CCDF regula ons and may include suppor ng preserva on and revitaliza on of Indigenous language
and culture in child care programs. The quality ac vi es must be aligned with the Tribal Lead Agency’s
assessment of the service area’s need to carry out such services and care. The Tribal Lead Agency may
describe ac vi es currently underway, planned, or expected during the three-year Plan period (§98.53(a)).
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3.2.1
Quality Improvement Activities
Identify the Tribal Lead Agency’s plans to spend CCDF funds for selected quality improvement activities.
Check at least one quality activity:
a. ☐ Training and Professional Development: This category supports the training and professional
development of the child care workforce. For example, the Tribal Lead Agency could fund training
for required health and safety training topics, language and literacy, promotion of child
development, family engagement, implementation of developmentally appropriate and culturally
and linguistically responsive instruction, or more.
Briefly describe: Click or tap here to enter text.
b. ☐ Early Learning and Developmental Guidelines: This category supports developing, maintaining,
or implementing early learning and developmental guidelines. For example, the Tribal Lead Agency
could fund staff trainings on child development and early learning guidelines, use of the state’s
early learning guidelines, development or implementation of the Tribal Lead Agency’s own Tribally
specific guidelines, or more.
Briefly describe: Click or tap here to enter text.
c. ☐ Quality Rating and Improvement Systems: This category supports developing, implementing, or
enhancing a quality improvement system. For example, the Tribal Lead Agency could fund
participation in a state QRIS, collaboration with other Tribes to implement a QRIS or similar rating
system, development of a Tribal QRIS or similar rating system, or more.
Briefly describe: Click or tap here to enter text.
d. ☐ Supply and Quality of Services for Infants and Toddlers: This category supports improving the
supply and quality of child care services for infants and toddlers. For example, the Tribal Lead
Agency could fund training and professional development to enhance child care providers’' abilities
to provide developmentally appropriate services for infants and toddlers, Indigenous language and
culturally responsive practices for infants and toddlers, transparent and easy-to-understand
consumer information about high-quality infant-toddler care that includes information on infanttoddler language, social-emotional, and early literacy and numeracy cognitive development, or
more.
Briefly describe: Click or tap here to enter text.
e. ☐ Child Care Resource and Referral Services (CCR&R Services): This category supports establishing
or expanding a system of CCR&R services. For example, the Tribal Lead Agency could fund
partnerships with other Tribes to offer CCR&R services, incorporation of CCR&R services into the
family intake process, use of a state CCR&R, or more.
Briefly describe: Click or tap here to enter text.
f.
☐ Licensing, Inspection, Monitoring, Training, Health, and Safety: This category supports
facilitating compliance with Tribal child care licensing, monitoring, inspection, and health and safety
standards. For example, the Tribal Lead Agency could fund health and safety materials/equipment
(e.g., carbon monoxide detectors, fencing, personal protective equipment), classroom materials and
resources, conducting monitoring visits of child care providers, or more.
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Briefly describe: Click or tap here to enter text.
g. ☐ Evaluating the Quality of Child Care Programs: This category supports evaluating the quality of
child care programs, including how programs positively impact children. For example, the Tribal
Lead Agency could purchase quality assessment tools, implement surveys to collect provider or
family input, conduct internal training on the use of quality evaluations, or more.
Briefly describe: Click or tap here to enter text.
h. ☐ Supporting Providers in the Voluntary Pursuit of Accreditation: This category supports
accreditation by an accrediting body with demonstrated, valid, and reliable program standards of
high quality. For example, the Tribal Lead Agency could use accreditation guidelines as a quality
measure, fund any aspect of national accreditation (e.g., accreditation from the National
Association for the Education of Young Children or National Association for Family Child Care, or
accreditation developed by a Tribal association), pay annual accreditation fees, or more.
Briefly describe: Click or tap here to enter text.
i.
☐ High-Quality Program Standards: This category supports Tribal or local efforts to develop or
adopt high-quality program standards relating to health, mental health, nutrition, physical activity,
and physical development. For example, the Tribal Lead Agency could use Minimum Health and
Safety Standards: A Guide for American Indian and Alaska Native CCDF Grantees, Caring for Our
Children, Head Start Program Performance Standards, or more to develop or adopt high-quality
program standards.
Briefly describe: Click or tap here to enter text.
j.
☐ Other Measurable Quality Improvement Activities: This category supports other activities the
Tribal Lead Agency will engage in to improve the quality of child care services and the measurement
of outcomes related to improved provider preparedness, child safety, child well-being, or
kindergarten entry, including culturally relevant quality activities. For example, the Tribal Lead
Agency could incorporate Tribal language into child care settings, offer culturally based training
opportunities for families and providers, serve traditional Indigenous foods in child care programs,
fund written materials, including newsletters, brochures, and checklists on child care topics,
develop or participate in the Tribal Early Learning Initiative (TELI), or more. For more information
about TELI, see Appendix 2.
Briefly describe: Click or tap here to enter text.
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PART II: TRIBAL LEAD AGENCIES WITH SMALL ALLOCATIONS
4 Direct Services
Tribal Lead Agencies with small alloca ons do not have to offer direct services to children, but CCDF funds
must be used in alignment with the goals and purpose of CCDF (§98.1). If the Tribal Lead Agency chooses
to offer direct services, it is exempt from requirements listed in Sec on 5: Child and Family Eligibility,
Enrollment, and Con nuity of Care, Sec on 6: Equal Access, and Sec on 7: Family Outreach and Consumer
Educa on, but not from the requirements listed in §98.83(f).
4.1 Direct Child Care Services
4.1.1
Direct Child Care Services
Indicate if the Tribal Lead Agency will offer direct child care services.
Check the appropriate box below:
☐ Yes. The Tribal Lead Agency will offer direct child care services.
☐ No. The Tribal Lead Agency will not be offering direct child care services. If no, this concludes the
abbreviated CCDF Plan for Tribal Lead Agencies with small allocations.
(If “No” is checked, skip 4.2.1-4.4.1. The application is complete.)
4.2 Direct Child Care Funding Methods
4.2.1
Funding Methods
a. How does the Tribal Lead Agency provide direct child care services? Check those that apply:
☐ Certificates and vouchers
☐ Grants or contracts with approved child care providers (e.g., the Tribal Lead Agency uses grants
or contracts for child care slots to increase the supply and prioritize children in underserved areas,
infants and toddlers, children with disabilities [as defined by the Tribal Lead Agency], and children
who receive care during nontraditional hours and/or to improve quality of child care programs)
☐ Tribally operated center
b. Does the Tribal Lead Agency provide child care services exclusively through one or more Tribally
operated centers?
☐ Yes.
☐ No.
4.3 Eligibility Criteria
Tribal Lead Agencies with small alloca ons who choose to provide direct child care services must at a
minimum, limit eligibility to Indian children (as defined in Plan ques on 1.1.1) residing in the defined
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service area (as defined in Plan ques on 1.2.1). If the Tribal Lead Agencies have addi onal eligibility
criteria, please describe below.
4.3.1
Eligibility Criteria
Describe the Tribal Lead Agency’s eligibility criteria: Click or tap here to enter text.
4.4 Payment Rates
(If “Yes” is checked in 4.2.2b, the Tribal Lead Agency is not required to answer this question.)
4.4.1
Provider Payments
Describe how the Tribal Lead Agency sets payment rates for each provider type: Click or tap here to
enter text.
The abbreviated CCDF plan for Tribal Lead Agencies with small alloca ons ends here.
(CARS ends the application.)
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PART III: TRIBAL LEAD AGENCIES WITH MEDIUM AND LARGE ALLOCATIONS
5 Child and Family Eligibility, Enrollment, and Continuity of Care
Stable and reliable child care arrangements facilitate job stability for parents and healthy development of
children. CCDF eligibility and enrollment policies can contribute to these goals. Policies and procedures
that create barriers to families accessing CCDF interrupt a parent’s ability to work and may deter eligible
families from par cipa ng in CCDF.
To address these concerns, Tribal Lead Agencies must provide children with a minimum of 12 months
between eligibility determina ons, limit repor ng requirements during the 12-month period, and ensure
eligibility determina on and redetermina on processes do not interrupt a parent’s work or school.
In this sec on, a Tribal Lead Agency will iden fy how it defines eligible children and families and how the
Tribal Lead Agency’s eligibility and enrollment policies support equal access for eligible children and
families.
5.1 Basis for Determining Eligibility
Tribal Lead Agencies with medium and large alloca ons must include the basis for determining family
eligibility, in addi on to children mee ng the defini on of Indian child in Plan ques on 1.1.1 and living
within the service area in 1.2.1, through one of two op ons or a combina on of both, as described below.
Standard Eligibility: Tribal Lead Agencies implemen ng standard eligibility 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) meet the Tribal Lead Agency’s defini on of Indian Child, (2) reside in the Tribal service
area, (3) be under age 13, and (4) reside with a parent or caregiver who is working, a ending a job training
or an educa onal program, or receive or need to receive protec ve services.
Per §98.81(b)(1)(ii), Tribal Lead Agencies have the op on to disregard family income and assets as an
eligibility requirement described under §98.20(a)(2). If the Tribal Lead Agency chooses to assess income or
implement an asset limit, it is not required to limit family income to 85 percent of State Median Income
(SMI) or family assets at $1 million. Should the Tribal Lead Agency set an eligibility limit below 85 percent
of SMI, it must implement policies required under §98.21 that are ed to the income requirement,
including the implementa on of a graduated phase-out process during re-determina on (§98.21(b)) and
con nued assistance requirements (§98.21(a)(2)). Tribal Lead Agencies that set income limits above 85
percent SMI may establish a graduated phase out or con nued assistance policies but are not required to.
Categorical Eligibility: If 100 percent of the Tribe’s Median Income (TMI) is below 85 percent of the State
Median Income (SMI), the Tribal Lead Agency has the op on 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,
educa on, or training status, provided that the provision for services s ll goes to those with the highest
need (§98.81(b)(1)(i)). Tribal Lead Agencies that use categorical eligibility must s ll ensure that children
meet the Tribal Lead Agency’s Indian child and service area defini ons to be eligible for services. Tribal
Lead Agencies that use categorical eligibility may create opportuni es to align or partner CCDF programs
with other Tribal early childhood programs, including Tribal home visi ng, Early Head Start, Head Start,
state-funded Pre-K, and Tribally funded Pre-K.
A Tribal Lead Agency that chooses to use categorical eligibility will receive the same funding alloca on as if
it had chosen to use standard eligibility thresholds. Addi onal funds will not be allocated.
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Combina on of Categorical and Standard Eligibility: Tribal Lead Agencies also have the op on to use
different criteria in different parts of the service area, or a Tribal consor um may establish different
eligibility tracks based on the preferences of its par cipa ng Tribes.
5.1.1
Basis for Determining Eligibility
Which option does the Tribal Lead Agency choose as the basis for determining child eligibility
((§98.81(b)(1))?
a. ☐ Standard Eligibility
b. ☐ Categorical Eligibility in the entire service area
c. ☐ Categorical Eligibility in part of the service area
(If “a” is checked, skip 5.1.3 and 5.1.4.)
(If “b” is checked, skip 5.2.1 and 5.2.2.)
5.1.2
Timely Eligibility Documentation and Verification
Describe the policies in place for timely documentation and verification that children meet eligibility
criteria at the time of eligibility determination and redetermination (§98.16(h)(10), §98.68(c)): Click or
tap here to enter text.
5.1.3
Categorical Eligibility Demonstration
a. Demonstrate that 100% of the Tribal Median Income (TMI) is below 85% of the State Median
Income (SMI) for a family of four:
i.
100 percent of Tribal Median Income: $Click or tap here to enter text./month (must be less than
85 percent SMI)
ii. 85 percent of State Median Income: $Click or tap here to enter text./month
b. What data sources were used for TMI and SMI?
i.
Source data for TMI: Click or tap here to enter text.
ii. Source data for SMI, including the name of the state: Click or tap here to enter text.
5.1.4
Additional Eligibility Criteria
If utilizing categorical eligibility, the Tribal Lead Agency may add additional eligibility criteria in addition
to the requirement of meeting the definition of Indian Child, residing within the service area, and the
child age limits.
Does the Tribal Lead Agency use additional optional eligibility criteria (§98.20(b))?
☐ No.
☐ Yes, describe: Click or tap here to enter text.
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5.2 Eligible Children and Families
5.2.1
Eligibility Criteria: Age of Children Served
Tribal Lead Agencies may provide child care assistance for Indian children less than 13 years of age in
the defined service area (§98.20(a)(1)). In addition, Tribal Lead Agencies can choose to serve children
under age 19 if those children are physically or mentally unable of caring for themselves or are under
court supervision (§98.20(a)(1)(ii)).
a. The Tribal CCDF program serves eligible children from ages Click or tap here to enter text. (e.g.,
weeks/months/years) through Click or tap here to enter text. (e.g., weeks/months/years or under
age 13).
b. Does the Tribal Lead Agency allow CCDF-funded child care for children ages 13 and older but under
age 19 who are physically and/or mentally incapable of self-care?
☐ No.
☐ Yes, and the upper age limit is: Click or tap here to enter text. (may not equal or exceed age 19).
i.
Provide the Tribal Lead Agency’s definition of physical and/or mental incapacity: Click or tap
here to enter text.
c. Does the Tribal Lead Agency allow CCDF participation for children ages 13 and older but under age
19 who are under court supervision?
☐ Yes, and the upper age limit is: Click or tap here to enter text. (may not equal or exceed age 19).
☐ No.
d. How does the Tribal Lead Agency define the following eligibility terms?
i.
Define “residing with” (§98.16(g)(5)): Click or tap here to enter text.
ii. Define “in loco parentis” (§98.16(g)(9)): Click or tap here to enter text.
(If the Tribal Lead Agency chooses categorical eligibility, skip 5.2.2-5.2.4 and 5.3.1-5.3.5.)
5.2.2
Eligibility Criteria: Reason for Care
Tribal Lead Agencies have broad flexibility in defining the work, training, educational activities, and
protective services required to qualify for child care assistance. Tribal Lead Agencies do not have to set
a minimum number of hours for families to qualify for work, training, or educational activities, and
there is no requirement to limit authorized child care services strictly based on the work, training, or
educational schedule/hours of the parent(s).
How does the Tribal Lead Agency define the following for the purpose of determining eligibility
(§98.16(g))?
a. “Working”: Click or tap here to enter text.
b. “Job training”: Click or tap here to enter text.
c. “Education”: Click or tap here to enter text.
d. “Attending” (a job training or educational program): Click or tap here to enter text.
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e. Does the Tribal Lead Agency extend eligibility to specific populations of children otherwise not
eligible by including them in its definition of children in, or in need of protective services
(§98.20(a)(3)(ii))?
☐ No.
☐ Yes. If yes, provide the Tribal Lead Agency’s definition of protective services by checking those
below that are included (§98.16(g)(7)):
i.
☐ Children in foster care
ii. ☐ Children in kinship care
iii. ☐ Children who are in families under court supervision
iv. ☐ Children who are in families receiving supports or otherwise engaged with a child welfare
agency
v. ☐ Children participating in an early childhood or school-aged partnership (e.g., Tribal Early
Head Start – Child Care Partnership, CCDF and school-aged care partnerships)
vi. ☐ Children experiencing homelessness
vii. ☐ Children whose family has been affected by a natural disaster
viii. ☐ Other. Describe: Click or tap here to enter text.
f.
Does the Tribal Lead Agency use CCDF funds to provide respite care to custodial parents of children in
protective services (§98.17(g)(7))?
☐ Yes.
☐ No.
5.2.3
Eligibility Criteria: Income Limits
Tribal Lead Agencies do not need to consider family income in eligibility determinations but can chose
to do so. Tribal Lead Agencies also have flexibility in defining family income and setting income limits.
This flexibility allows for the exclusion or deduction of certain types of income from calculations of total
family incomes and setting the income limit above 85% of the State Median Income (SMI). If a Tribal
Lead Agency chooses to set the income limit for families above 85% SMI, it does not have to answer the
graduated phase out questions below.
a. Does the Tribal Lead Agency use income to determine eligibility?
☐ No.
☐ Yes.
b. What is the income eligibility percentage of TMI at the time of initial eligibility determination? If
there are different percentages per family size, report a family size of three: Click or tap here to
enter text. (If the response is greater than 85%, skip 5.2.3c.)
c. Does the Tribal Lead Agency certify that it has a graduated phase out for families with incomes less
than 85% TMI?
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☐ Yes. Describe the Tribal Lead Agency’s graduated phase-out process, including methods for
informing families and providers (§98.21(b)(1)): Click or tap here to enter text.
☐ No.
d. The Tribal Lead Agency processes for initial determination and redetermination must take into
account irregular fluctuations in earnings (§98.21(c)).
Check the processes that the Tribal Lead Agency uses to take into account irregular fluctuations in
earnings:
i.
☐ Average the family’s earnings over a period of time (e.g., 12 months). Describe: Click or tap
here to enter text.
ii. ☐ Request earning statements that are most representative of the family’s monthly income.
iii. ☐ Deduct temporary or irregular increases in wages from the family’s income level.
iv. ☐ Are there other ways the Tribal Lead Agency takes into account irregular fluctuations in
earnings? Describe: Click or tap here to enter text.
5.2.4
Optional: Additional Eligibility Criteria
The Tribal Lead Agency may establish optional additional eligibility criteria (§98.20(b)).
Does the Tribal Lead Agency establish additional child or family eligibility criteria?
☐ Yes. Describe: Click or tap here to enter text.
☐ No.
5.3 Application and Eligibility Determination/Redetermination Process
5.3.1
Reducing Barriers to Family Enrollment and Redetermination
A Tribal Lead Agency has the flexibility to consider a child presumptively eligible for up to three months
and begin to receive child care subsidy prior to full documentation and eligibility determination. The
Tribal Lead Agency has the flexibility to verify eligibility as appropriate by using documents or
verification from other benefit programs (e.g., Head Start, TANF, etc.).
Note: Policies for children experiencing homelessness should not be reported here, and instead should be
reported in question 6.3.2c.
Check any eligibility practices the Tribal Lead Agency uses to reduce barriers to enrollment:
a. ☐ Establishing presumptive eligibility (§98.21(e)). Describe the policy and how long the period of
eligibility is: Click or tap here to enter text.
b. ☐ Leveraging eligibility from other public assistance programs (§98.21(g)). Describe: Click or tap
here to enter text.
c. ☐ Coordinating eligibility determinations for children in the same household. Describe: Click or tap
here to enter text.
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d. ☐ Other practices to reduce barriers to enrollment. Describe: Click or tap here to enter text.
e. ☐ None. The Tribal Lead Agency does not use any practices to reduce barriers to enrollment.
5.3.2
Priority for Child Care Services
a. Tribal Lead Agencies must set priority rules to ensure the provision of child care services goes to
children experiencing homelessness and children with special needs, which may include any
vulnerable populations as defined by the Tribal Lead Agency. Does the Tribal Lead Agency certify
that it prioritizes child care services to children experiencing homelessness and children with special
needs, as defined by the Tribal Lead Agency (§98.46(a))?
☐ Yes.
☐ No.
b. The Tribal Lead Agency may also establish additional priority rules (§98.20(b)). Does the Tribal Lead
Agency set additional prioritization policies?
☐ Yes. Describe: Click or tap here to enter text.
☐ No.
5.3.3
12-Month Eligibility
Tribal Lead Agencies are required to establish minimum 12-month eligibility and redetermination
period, regardless of changes in a family’s eligibility, including changes in a child’s age and changes in a
family’s residency within a Tribal service area.
The Tribal Lead Agency may not terminate assistance prior to the end of the 12-month period if a family
experiences temporary changes in participation in work, training, or educational activities and will
receive services at least at the same level.
Temporary changes shall include, at a minimum:
Any time-limited absence from work for an employed parent due to reasons such as the need
to care for a family member or an illness;
Any interruption in work for a seasonal worker who is not working between regular industry
work seasons;
Any student holiday or break for a parent participating in training or education;
Any reduction in work, training, or education hours, as long as the parent is still working or
attending training or education;
Any other cessation of work or attendance at a training or education program that does exceed
three months or a longer period of time established by the Tribal Lead Agency;
Any change in age, including turning 13 years old during the eligibility period; and
Any change in residency within the Tribal service area.
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a. Does the Tribal Lead Agency certify that its policies or procedures provide a minimum 12-month
eligibility period for each child at initial eligibility determination (§98.21(a))?
☐ Yes.
☐ No.
b. Does the Tribal Lead Agency certify that its policies or procedures provide a minimum 12-month
eligibility period for each child at redetermination (§98.21(d))?
☐ Yes.
☐ No.
c. Does the Tribal Lead Agency certify that its temporary change requirements follow the
requirements outlined above (§98.21(a)(1)(ii))?
☐ Yes.
☐ No. Describe: Click or tap here to enter text.
d. Does the Tribal Lead Agency include any additional conditions in the definition of “temporary
changes in activity”?
☐ Yes. Describe: Click or tap here to enter text.
☐ No.
5.3.4
Non-Temporary Changes to Family Eligibility
If a Tribal Lead Agency chooses to terminate assistance due to a parent’s non-temporary (permanent)
loss or cessation of work, attendance at a job training, educational program, or other eligible activity, it
must provide at least three months of continued assistance at the same level. Tribal Lead Agencies
have the flexibility to allow a family who loses its eligible activity within three months of the end of the
authorization period to continue its benefits until its redetermination date. Tribal Lead Agencies are
encouraged to consider how policies will impact the families served and to ensure that such
requirements help a parent find new employment without adding unnecessary burden.
At the end of the minimum three-month period of continued assistance, if the parent has engaged in a
qualifying work, training, or educational program activity, 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.
Does the Tribal Lead Agency choose to discontinue assistance during the minimum 12-month eligibility
period due to a parent’s non-temporary or permanent loss or cessation of eligible activity?
☐ No. The Tribal Lead Agency does not discontinue assistance during the 12-month eligibility period
due to a parent’s non-temporary change.
☐ Yes. If yes, describe the Tribal Lead Agency’s policies and procedures for offering a minimum threemonth period to allow parents to engage in a job search and to resume participation in an eligible
activity (§98.21(a)(2)(i)): Click or tap here to enter text.
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5.3.5
Discontinuing Assistance
The Tribal Lead Agency may discontinue assistance prior to the next minimum 12-month
redetermination in limited circumstances. Check the allowable circumstances used by the Tribal Lead
Agency to discontinue assistance, if applicable:
a. ☐ Excessive unexplained absences (after multiple attempts to contact the family, including the
prior notification of a possible discontinuation of assistance)
b. ☐ A change in residency outside of the Tribal service area
c. ☐ Substantiated fraud or intentional program violations that invalidate prior determinations of
eligibility. Describe the violations that lead to discontinuing assistance: Click or tap here to enter
text.
5.3.6
Eligibility Change Reporting
Tribal Lead Agencies may only require families to report limited changes during the minimum 12-month
eligibility period.
Specifically, 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.
a. Does the Tribal Lead Agency require families to report changes (e.g., change of address, change in
child care provider) (§98.21(i)(2))?
☐ Yes. Describe what is required to be reported and the options for families to report changes
(e.g., phone call, email, in person): Click or tap here to enter text.
☐ No.
b. Does the Tribal Lead Agency ensure 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) (§98.21(i)(2)(iii)):
☐ Yes.
☐ No.
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6 Equal Access to Quality Child Care
Core purposes of CCDF are to provide parental choice in child care arrangements and to provide equal
access to child care for families par cipa ng in CCDF as families not par cipa ng in CCDF.
This sec on addresses many of the CCDF provisions related to equal access. This includes families being
able to access the full range of providers available; building a supply of high-quality child care to address
the needs of popula ons facing par cularly acute shortages (e.g., children with disabili es, infants and
toddlers, nontradi onal hour care); adequate payment rates for providers; differen al payment rates, if
appropriate; and other strategies that support parental choice and access by helping to ensure that child
care providers are available to serve children par cipa ng in CCDF.
6.1 Description of Direct Child Care Services
6.1.1
Funding Methods
Tribal Lead Agencies can provide direct child care services through a subsidy program (certificates),
grants or contracts, or operational costs of a Tribally operated center.
Which funding methods are used by the Tribal Lead Agency to fund its direct services program? Check
those that apply:
a. ☐ Certificates. Note: Tribal Lead Agencies with large allocations are required to operate a
certificate program that permits families to choose from all three categories of care.
b. ☐ Grants or contracts with approved child care providers for child care slots
c. ☐ Operational costs for a Tribally operated center. Note: A Tribally operated center for CCDF
purposes is defined as a center that uses CCDF funds for operational costs, such as utilities, payroll,
and maintenance in lieu of subsidy payments.
Does the Tribal Lead Agency provide child care services exclusively through one or more Tribally
operated centers?
☐ Yes (This option is available only to Tribal Lead Agencies with medium allocations (§98.30(a)).
(If checked, skip 6.2. The Tribal Lead Agency is still required to answer 6.1.2, if applicable, and
6.1.3.)
☐ No.
6.1.2
Funding Direct Child Care Services
(If the Tribal Lead Agency is a consortium, it is required to answer this question.)
Describe the direct services funded by CCDF for each of the participating Tribes of the consortium
(§98.83(c)(1)): Click or tap here to enter text.
6.1.3
Building the Supply of Child Care
Tribal Lead Agencies are required to develop and implement strategies to increase the supply of child
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care services and to improve the quality of care for children who are typically underserved, as listed
below in options a through d (§98.16(y)). These populations include children who receive care during
nontraditional hours, infants and toddlers, children with disabilities, and children in underserved
geographic areas, as defined by the Tribal Lead Agency.
Strategies may include alternative payment rates to child care providers, differential payment rates, the
provision of direct contracts or grants for child care slots, offering child care certificates to parents for
relative care or family child care options, or training support using quality set-aside or other quality
supports.
Briefly describe the strategies to increase the supply and improve the quality of child care services of
the categories below:
a. ☐ Children in need of nontraditional hours of care. Describe: Click or tap here to enter text.
b. ☐ Infants and toddlers. Describe: Click or tap here to enter text.
c. ☐ Children with disabilities. Describe: Click or tap here to enter text.
d. ☐ Children in underserved geographic areas. Describe: Click or tap here to enter text.
e. ☐ Other. Describe: Click or tap here to enter text.
6.2 Establishing Adequate Payment Rates
Tribal Lead Agencies must set sufficient base payment rates to provide equal access to the full range of
child care services, cover the costs of providing child care, and are comparable to those provided to
families not eligible to receive CCDF assistance. The Tribal Lead Agency will include a descrip on of the
Tribe's payment rates, how the rates are established, and how the rates support quality, including, where
applicable, cultural and linguis c appropriateness.
6.2.1
Payment Rates to Support Equal Access
Does the Tribal Lead Agency certify that payment rates are sufficient to ensure equal access
(§98.45(a))?
☐ Yes.
☐ No. Briefly describe: Click or tap here to enter text.
6.2.2
Setting Payment Rates
Tribal Lead Agencies are required to set base payment rates at least at a level sufficient to cover the
costs of meeting the health, safety, quality, and staffing requirements.
Briefly describe how the Tribal Lead Agency’s base payment rates were established and how the rates
support quality and meet the needs of the Tribal communities served (e.g. cultural, and linguistic
appropriateness) (§98.81(b)(5)): Click or tap here to enter text.
6.2.3
Payment Rates
The payment rates should reflect the categories of care offered in the Tribal Lead Agency’s program and
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should also reflect any variations based on the child’s age or the type or quality 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.
For each category of care offered, provide the full-time weekly base payment rate for each age group
that the Tribal Lead Agency defines in Plan question 2.5.1 and 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
highest payment rates for center-based care and family child care. (CARS opens the categories of care
from 1.9; others are grayed out.)
a. Full-time weekly base payment rates for center-based care. If there are different base payment
rates for geographical areas, provide the highest rates:
i.
Infant: Click or tap here to enter text.
ii. Toddler: Click or tap here to enter text.
iii. Preschooler: Click or tap here to enter text.
iv. School-age child (based on full-day, full-year rates that would be paid during the summer): Click
or tap here to enter text.
b. Full-time weekly base payment rates for family child care. If there are different base payment rates
for geographical areas, please provide the highest rates:
i.
Infant: Click or tap here to enter text.
ii. Toddler: Click or tap here to enter text.
iii. Preschooler: Click or tap here to enter text.
iv. School-age child (based on full-day, full-year rates that would be paid during the summer): Click
or tap here to enter text.
c. Full-time weekly base payment rates for in-home care. If there are different base payment rates for
geographical areas, please provide the highest rates:
i.
Infant: Click or tap here to enter text.
ii. Toddler: Click or tap here to enter text.
iii. Preschooler: Click or tap here to enter text.
iv. School-age child (based on full-day, full-year rates that would be paid during the summer): Click
or tap here to enter text.
6.2.4
In-Home Care Limits
(If the Tribal Lead Agency offers in-home care, it is required to answer this question.)
Does the Tribal Lead Agency limit the use of in-home care in any way, such as minimum age of provider,
number of children in care, hours of care, relative providers, etc. (§98.16(e)(1)(iii))?
☐ Yes. Describe: Click or tap here to enter text.
☐ No.
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6.3 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 (§98.50(a)(4); §98.46(a)(2)). The priori za on of CCDF assistance
services is not limited to eligibility determina on.
6.3.1
Children With Special Needs
A Tribal Lead Agency has flexibility in how it defines 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) (§98.16(g)(1)).
Briefly describe the Tribal Lead Agency’s definition of children with special needs: Click or tap here to
enter text.
6.3.2
Services for Children Experiencing Homelessness
Tribal Lead Agencies are required to expend CCDF program funds to:
Permit the enrollment (after an initial eligibility determination) of children experiencing
homelessness (as defined by the McKinney-Vento Act) while required documentation is
obtained—allowing a grace period,
Provide training and technical assistance to child care providers and the appropriate Tribal Lead
Agency (or designated entity) staff in identifying and serving children experiencing
homelessness, and
Conduct specific outreach to families experiencing homelessness.
Does the Tribal Lead Agency certify it permits the enrollment of children experiencing homelessness (as
defined by the McKinney-Vento Act) while required documentation is obtained, provides training and
technical assistance to child care providers, and the appropriate Tribal Lead Agency (or designated
entity) staff in identifying and serving children experiencing homelessness, and conduct specific
outreach to families experiencing homelessness (§98.51)?
☐ Yes.
☐ No.
6.4 Family Contribution to Payments
The Tribal Lead Agency may exempt all families par cipa ng in CCDF from co-payments or may waive copayments for some popula ons and charge co-payments for other groups of families. Co-payments may
not be more than seven percent of the family’s income (§98.45(b)(5).
6.4.1
Parent Co-Payments
Does the Tribal Lead Agency exempt all families from co-payments?
☐ Yes.
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☐ No. If no, answer the following questions:
a. Does the Tribal Lead Agency waive co-payments for any families? Check only those that apply:
i.
☐ Families whose income is below 150 percent of poverty level
ii. ☐ Families whose income is below 100 percent of poverty level
iii. ☐ Children who have a disability
iv. ☐ Children experiencing homelessness
v. ☐ Children enrolled in Early Head Start or Head Start
vi. ☐ Other. Briefly describe: Click or tap here to enter text.
b. What is the highest co-payment families are charged as a percentage of family income
(§98.45(b)(5)); §98.45(l)(3)?: Click or tap here to enter text.
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7 Family Outreach and Consumer Education
Tribal Lead Agencies are required to support families in making informed choices about the services that
best suit their needs. Effec ve consumer educa on ensures that families know what services they have
access to and what they may want to look for in determining whether a child care provider is a good fit for
their family.
In this sec on, Tribal Lead Agencies share informa on about developmental screenings, consumer
educa on, research, best prac ces, access to monitoring and enforcement results, and the parental
complaint process. Tribal Lead Agencies must collect and share the informa on with families, providers,
and the general public, but Tribal Lead Agencies are not required to have a consumer educa on website.
7.1 Sharing Information with Families
Tribal Lead Agencies must share informa on with families par cipa ng in CCDF, in hard copy or
electronically, that contains specific informa on about the selected child care provider. The following
eight pieces of informa on are required (§98.33(d)):
Health and safety requirements met by the provider,
Any licensing or regulatory requirements met by the provider,
The date the provider was last inspected,
Any history of viola ons 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 through a hotline, and
How to contact local resource and referral agencies, family liaison, or other community-based
supports that assist families in finding and enrolling in a quality child care program.
7.1.1
Sharing Information with Families
Does the Tribal Lead Agency certify it shares information with families, either in hard copy or
electronically, that contains the required information about the provider a family has selected, including
the eight required elements above (§98.33(d))?
☐ Yes, the Tribal Lead Agency shares information with families that contains the eight required
elements.
☐ No, the Tribal Lead Agency does not share information with families with all the required elements.
7.2 Information on Developmental Screenings
Tribal Lead Agencies are required to share informa on and referrals on developmental screenings. This
informa on should include resources and services that the Tribe can share, such as Early and Periodic
Screening, Diagnosis, and Treatment (EPSDT) services under Medicaid and developmental screening
services available through the Individuals with Disabili es Educa on Act (IDEA) Part B, Sec on 619,
(Preschool Grants) and Part C (Early Interven on for Infants and Toddlers with Disabili es). Tribal Lead
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Agencies are required to share this informa on with eligible families during CCDF intake and to child care
providers through training and educa on.
7.2.1
Information on Resources for Developmental Screenings
Does the Tribal Lead Agency certify that it collects and shares information on the following to eligible
parents and for training and education intended for CCDF child care providers ((§98.33(c)(1)):
a. Existing resources and services available for obtaining developmental screening?
☐ Yes.
☐ No.
b. EPSDT program under the Medicaid program and developmental screening services available under
Part B, Section 619 and Part C of IDEA?
☐ Yes.
☐ No.
7.2.2
Resources and Services to Obtain Developmental Screenings
Does the Tribal Lead Agency certify that families participating in CCDF 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 (§98.33(c)(2))?
☐ Yes.
☐ No.
7.3 Consumer and Provider Education
A Tribal Lead Agency is required to cer fy that it will collect and share informa on about the full range of
child care services to promote parental choice to parents of eligible children, the general public, and
where applicable, child care providers.
7.3.1
Sharing Child Care Services Information and Availability
Does the Tribal Lead Agency certify it shares information with families, providers, and the general public
about:
The availability of child care services,
The full range of categories of care provided through the CCDF program,
Other programs for which the family may be eligible, such as Head Start, state or Tribal PreK,
and
The availability of financial assistance to obtain child care services (§98.33(b)(1)(i))?
☐ Yes.
☐ No.
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7.3.2
Sharing Program Information
Does the Tribal Lead Agency certify that it shares information with families, providers, and the general
public about the following programs and benefits, as practicable (§98.33(b)(1)(ii))?
Check those that apply:
a. ☐ Temporary Assistance for Needy Families (TANF) Program
b. ☐ Head Start and Early Head Start Programs
c. ☐ Low Income Home Energy Assistance Program (LIHEAP)
d. ☐ Supplemental Nutrition Assistance Program (SNAP)
e. ☐ Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) Program
f.
☐ Child and Adult Care Food Program (CACFP)
g. ☐ Medicaid and Children’s Health Insurance Program (CHIP)
h. ☐ Programs carried out under Individuals with Disabilities Education Act (IDEA) Part B, Section 619,
and Part C
7.3.3
Families Receiving TANF
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 six (§98.33(f)).
Does the Tribal Lead Agencies inform parents who receive TANF benefits about this exception?
☐ Yes.
☐ No.
7.3.4
Sharing Child Development Research and Best Practices
Does the Tribal Lead Agency certify it shares information with families, providers, and the general public
about child development research and best practices? The information must be tailored to a variety of
audiences, and the information must include (§98.33(b)(1)(iv)):
Physical health and development,
Healthy eating and physical activity, and
Successful parent and family engagement.
☐ Yes.
☐ No.
7.3.5
Sharing Social-Emotional, Behavioral, and Mental Health Information
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Does the Tribal Lead Agency certify that it shares information with families, providers, and the general
public about its policies regarding social-emotional and behavioral issues and early childhood mental
health? The information must include:
Information on positive behavioral intervention and supports models, based on research and
best practices for those from birth to school age,
Any partners who assist in providing this information (§98.33(b)(1)(v)).
☐ Yes.
☐ No.
7.3.6
Sharing Suspension and Expulsion Prevention Information
Briefly describe the Tribal Lead Agency’s policies to prevent the suspension and expulsion of children
from birth to age five in child care and other early childhood programs receiving CCDF program funds
(§98.33(b)(1)(v)): Click or tap here to enter text.
7.4 Consumer Education
A Tribal Lead Agency is required to provide informa on to families, the general public, and when
applicable, child care providers through a method of its choice that is consumer-friendly and easily
accessible. The available informa on must include:
Provider-specific informa on,
The quality of each provider (if informa on is available),
Contact informa on to local CCR&R organiza ons and any other agencies that can assist families
in be er understanding the informa on.
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.
7.4.1
Consumer-Friendly and Accessible Information
Does the Tribal Lead Agency certify that it ensures its information is consumer-friendly and easily
accessible (§98.33(a))?
Note: There is no federal CCDF definition for easily accessible:
☐ Yes.
☐ No.
7.4.2
Sharing Background Check Information
Does the Tribal Lead Agency certify it shares information with families, providers, and the general public
about policies and procedures for provider/staff comprehensive background checks, including offenses
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that prevent individuals from being employed or a provider from receiving CCDF funds (§98.33(a)(1))?
Note: Background check policies and processes are described in Section 2.11:
☐ Yes.
☐ No.
☐ Not applicable; Tribally operated center only.
7.4.3
Searchable List of Providers
The Tribal Lead Agency must share a localized list with families, providers, and the general public that
includes all licensed child care providers and differentiation between licensed and license-exempt
providers. The list must be searchable by ZIP code. The Tribal Lead Agency may also share all providers
eligible to deliver Tribal CCDF services. Relative providers do not need to be included (§98.33(a)(2)).
Does the Tribal Lead Agency certify that it shares a list of licensed providers that differentiates between
licensed and licensed-exempt providers and is searchable by ZIP code?
☐ Yes.
☐ No.
7.4.4
Sharing Quality Information and Reporting of Quality Ratings
If the Tribal Lead Agency has quality information about each child care provider, the Tribal Lead Agency
must include the information with its provider-specific information. Tribal Lead Agencies may
determine the type of quality information included (§98.33(a)(3)).
Does the Tribal Lead Agency certify that it shares quality ratings or other quality information about each
child care provider?
☐ Yes.
☐ No.
☐ Not applicable.
7.4.5
Sharing CCR&R Referrals
Does the Tribal Lead Agency certify that it shares information with families, providers, and the general
public about the referral process to local CCR&R agencies (§98.33(a)(6))?
☐ Yes.
☐ No.
☐ Not applicable.
7.4.6
Parental Access to Children
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Does the Tribal Lead Agency certify that it has procedures to ensure parents have unlimited access to
their children and to the provider caring for their children during normal hours of provider operation?
(§98.31)?
☐ Yes.
☐ No.
7.5 Information on Monitoring and Enforcement
A Tribal Lead Agency is required to provide informa on to families, the general public, and when
applicable, child care providers through a method of its choice that is consumer-friendly and easily
accessible on:
Monitoring and inspec on reports for providers, and
An annual service area report on deaths, serious injuries, and the number of substan ated cases
of child abuse that have occurred in child care se ngs.
7.5.1
Sharing Monitoring and Inspection Information
Does the Tribal Lead Agency certify that it shares information with families, providers, and the general
public about how child care providers are monitored and inspected by the Tribal Lead Agency and/or
another entity or agency (including Tribally operated centers, if applicable) (§98.33(a)(1)(ii))?
Note: Monitoring enforcement policies and practices are referenced in Section 2.7:
☐ Yes.
☐ No.
7.5.2
Monitoring and Inspection Report Contents
Tribal Lead Agencies must share monitoring and inspection reports with families, providers, and the
general public. These reports must include the following six required elements in plain language and in
a timely manner:
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,
Information on the date of such inspection,
Areas of compliance and non-compliance,
Information on corrective actions taken by the Tribal Lead Agency and child care provider,
where applicable,
Any health and safety violations, including any fatalities and serious injuries occurring at the
provider, prominently displayed on the report or summary, and
A minimum of three years of results where available.
The Tribal Lead Agency must also establish a process for correcting inaccuracies.
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Does the Tribal Lead Agency certify that its monitoring and inspection reports meet the six required
elements (§98.33(a)(4))?
☐ Yes, the Tribal Lead Agency shares monitoring and inspection reports and/or plain-language
summaries that meet the six required elements for Tribally regulated providers.
☐ Not applicable. The state issues all monitoring and inspection reports.
☐ No.
7.5.3
Sharing Aggregate Data on Serious Injuries, Deaths, and Child Abuse
Tribal Lead Agencies must share annual aggregate data with families, providers, and the general public
on serious injuries, deaths, and substantiated cases of child abuse that have occurred in child care
settings. The data must be organized by category of care (e.g., center-based child care, including Tribally
operated centers, family child care, in-home child care) for all eligible CCDF provider categories in the
Tribal Lead Agency’s service area. The aggregate data report should not list individual provider-specific
information or personally identifiable information.
Tribal Lead Agencies must designate a Tribal or state entity to which child care providers must submit
reports of any serious injuries or deaths of children occurring in child care.
a. Does the Tribal Lead Agency certify that it shares annual aggregated data on serious injuries,
deaths, and substantiated cases of child abuse that have occurred in child care settings
(§98.33(a)(5))?
☐ Yes.
☐ No.
b. Identify the Tribal or state entity(ies) to which child care providers must submit reports of any
serious injuries or deaths of children occurring in child care: Click or tap here to enter text.
7.6 Parental Complaint Process
A Tribal Lead Agency must have a process for parents to submit complaints about child care providers and
make information regarding these complaints available to the public on request.
7.6.1
Process for Reporting Complaints
Briefly describe the Tribal Lead Agency’s process for how parents can submit complaints about child
care providers (§98.32(a)): Click or tap here to enter text.
7.6.2
Process for Responding to Complaints
Briefly describe the Tribal Lead Agency’s process for how it screens, substantiates, and responds to
complaints regarding CCDF providers, including if monitoring is included in the process (§98.32(d)(1)):
Click or tap here to enter text.
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7.6.3
Process for Maintaining a Record of Substantiated Parental Complaints
Briefly describe the Tribal Lead Agency’s process for how it maintains a record of substantiated parental
complaints. If the record is maintained by the state or another agency, describe how the Tribal Lead
Agency has access to the record of substantiated parental complaints (§98.32(d)(2)): Click or tap here to
enter text.
7.6.4
Process for Providing Public Access to Substantiated Complaints
Briefly describe the Tribal Lead Agency’s process for how the public can request information about
substantiated parental complaints (§98.32(c)): Click or tap here to enter text.
7.6.5
Sharing Contact Information for Consumer Education Information
Does the Tribal Lead Agency certify that it shares information with families, providers, and the general
public about how families can contact the Tribal Lead Agency, its designee, or other programs that can
help families understand the consumer information shared throughout Section 7 (§98.33(a)(7))?
☐ Yes.
☐ No.
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FFY 2026–2028 CCDF Tribal Plan
Appendix 1: Triennial Child Count Declaration/Demonstration
Consortium Member Tribe
Name of Tribe:
Name of Tribal Lead Agency: [Consor um]
The Tribe may not count any children who are included in the child count of another CCDF Tribe. To
ensure unduplicated child counts, a Tribe is required to confer with all other CCDF Tribes that have
overlapping or neighboring service areas.
This cer fies that the number of Indian children (as defined below) who reside on near the service area
(as defined below) for the Consortium Member Tribe is: Click or tap here to enter text. (number)
Indian Child Defini on
Iden fy which Indian child(ren) are counted in the Tribe’s child count (§98.80(e)).
Programs and ac vi es are to be carried out for the benefit of Indian children. Although Tribes have some
flexibility in defining “Indian child,” the defini on must be limited to children from federally recognized
Indian Tribes, consistent with the CCDBG Act’s defini on of Indian Tribe (§98.2). This informa on 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, stepchildren, etc.
The Tribe defines an “Indian child” as: Click or tap here to enter text.
Service Area
Programs and ac vi es are to be carried out for the benefit of Indian children living on or near the Indian
reserva on, which is considered the service area (§98.83(b)). The defined service area must be within
reasonably close geographic proximity to the borders of a Tribe’s reserva on (except for Tribes in Alaska,
California, and Oklahoma). Tribes that do not have reserva ons must establish service areas within
reasonably close geographic proximity to the area where the Tribe’s popula on resides. There is an
expecta on that the Tribe will be able to provide services to families throughout the service area. ACF will
not approve an en re state as a Tribe’s service area.
Tribes can limit services within the reserva on boundaries or go slightly beyond the reserva on
boundaries, but if a Tribe establishes a different service area than the borders of the Tribe’s reserva on or
exis ng service area for CCDF purposes, it must be within reasonably close geographic proximity.
The Tribe defines the service area as: Click or tap here to enter text.
☐ This signed Child Count Declara on serves as the Tribe’s demonstra on for the consor um Lead
Agency that the member Tribe has authorized the consor um Lead Agency to act on its behalf pursuant
to (§98.80(c)(1-4); §98.81(b)(8)(i)). However, a Tribe may choose to a ach a Tribal Resolu on, a le er
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FFY 2026–2028 CCDF Tribal Plan
signed by the current Tribal Leader, or another official document from the Tribal/Village government per
Tribal statute or direc ve.
☐ This signed Child Count Declara on serves only as the Tribe’s Child Count Declara on for CCDF
Mandatory funds received consor um Lead Agency on the Tribe’s behalf in accordance with federal
regula ons. The Tribe receives CCDF Discre onary funds directly and does not authorize the consor um
Lead Agency to act on its behalf pursuant to §98.80(c)(1-4); §98.81(b)(8)(i).
Note: this applies only to a Tribe within Alaska who receives its own CCDF grant.
Date: MM/DD/YYYY
Official Signature of Individual Authorized to Act for the Tribe
Print Name
Print Title
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FFY 2026–2028 CCDF Tribal Plan
Appendix 1-A: Triennial Child Count Declaration/Demonstration (P.L. 102-477)
Consortium Member Tribe
Name of Tribe:
Name of Tribal Lead Agency: [Consor um]
The Tribe may not count any children who are included in the child count of another CCDF Tribe. To
ensure unduplicated child counts, a Tribe is required to confer with all other CCDF Tribes that have
overlapping or neighboring service areas.
This cer fies that the number of Indian children (as defined in CCDF Plan Sec on of the 102-477 Plan)
who reside in the service area (as defined in the CCDF sec on of the 102-477 Plan) for the Consortium
Member Tribe is: Click or tap here to enter text. (number)
☐ This signed Child Count Declara on serves as the Tribe’s demonstra on for the consor um Lead
Agency that the member Tribe has authorized the consor um Lead Agency to act on its behalf pursuant
to (§98.80(c)(1-4); §98.81(b)(8)(i)). However, a Tribe may choose to a ach a Tribal Resolu on, a le er
signed by the current Tribal Leader, or another official document from the Tribal/Village government per
Tribal statute or direc ve.
☐ This signed Child Count Declara on serves only as the Tribe’s Child Count Declara on for CCDF
Mandatory funds received consor um Lead Agency on the Tribe’s behalf in accordance with federal
regula ons. The Tribe receives CCDF Discre onary funds directly and does not authorize the consor um
Lead Agency to act on its behalf pursuant to §98.80(c)(1-4); §98.81(b)(8)(i).
Note: this applies only to a Tribe within Alaska who receives its own CCDF grant.
Date: MM/DD/YYYY
Official Signature of Individual Authorized to Act for the Tribe
Print Name
Print Title
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FFY 2026–2028 CCDF Tribal Plan
Appendix 2: Tribal Early Learning Initiative (TELI)
Tribal Lead Agencies are not required to complete this appendix.
One way for Tribal Lead Agencies to coordinate the delivery of CCDF with other early childhood partners is
through the Tribal Early Learning Ini a ve (TELI) as a Collabora ve or Network par cipant. The TELI
Collabora ve is an op onal intensive technical assistance opportunity for up to eight Tribal Lead Agencies.
Informa on on par cipa ng in the TELI Collabora ve can be found on the Tribal Early Learning Ini a ve
website.
The TELI Network is an op onal opportunity for all Tribal Lead Agencies to receive universal technical
assistance in developing and strengthening Tribal early childhood systems. Network par cipants will have
access to the resources developed for, by, and shared with TELI Collabora ve Teams. This Appendix
provides an opportunity to indicate interest in par cipa on in the TELI Network.
TELI Network
Are you interested in participating in the TELI Network?
☐ Yes.
☐ No.
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FFY 2026–2028 CCDF Tribal Plan
| File Type | application/pdf |
| File Title | Microsoft Word - FFY26-28 Tribal CCDF Plan_Clean Copy Draft_2024-11-08 |
| Author | Jamil, Safia |
| File Modified | 2024-11-08 |
| File Created | 2024-11-08 |