
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 42USC9858c]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
                CHAPTER 105--COMMUNITY SERVICES PROGRAMS
 
         SUBCHAPTER II-B--CHILD CARE AND DEVELOPMENT BLOCK GRANT
 
Sec. 9858c. Application and plan


(a) Application

    To be eligible to receive assistance under this subchapter, a State 
shall prepare and submit to the Secretary an application at such time, 
in such manner, and containing such information as the Secretary shall 
by rule require, including--
        (1) an assurance that the State will comply with the 
    requirements of this subchapter; and
        (2) a State plan that meets the requirements of subsection (c) 
    of this section.

(b) Period covered by plan

    The State plan contained in the application under subsection (a) of 
this section shall be designed to be implemented during a 2-year period.

(c) Requirements of a plan

                           (1) Lead agency

        The State plan shall identify the lead agency designated under 
    section 9858b of this title.

                     (2) Policies and procedures

        The State plan shall:

        (A) Parental choice of providers

            Provide assurances that--
                (i) the parent or parents of each eligible child within 
            the State who receives or is offered child care services for 
            which financial assistance is provided under this subchapter 
            are given the option either--
                    (I) to enroll such child with a child care provider 
                that has a grant or contract for the provision of such 
                services; or
                    (II) to receive a child care certificate as defined 
                in section 9858n(2) of this title;

                (ii) in cases in which the parent selects the option 
            described in clause (i)(I), the child will be enrolled with 
            the eligible provider selected by the parent to the maximum 
            extent practicable; and
                (iii) child care certificates offered to parents 
            selecting the option described in clause (i)(II) shall be of 
            a value commensurate with the subsidy value of child care 
            services provided under the option described in clause 
            (i)(I);

        and provide a detailed description of the procedures the State 
        will implement to carry out the requirements of this 
        subparagraph.

        (B) Unlimited parental access

            Certify that procedures are in effect within the State to 
        ensure that child care providers who provide services for which 
        assistance is made available under this subchapter afford 
        parents unlimited access to their children and to the providers 
        caring for their children, during the normal hours of operation 
        of such providers and whenever such children are in the care of 
        such providers and provide a detailed description of such 
        procedures.

        (C) Parental complaints

            Certify that the State maintains a record of substantiated 
        parental complaints and makes information regarding such 
        parental complaints available to the public on request and 
        provide a detailed description of how such record is maintained 
        and is made available.

        (D) Consumer education information

            Certify that the State will collect and disseminate to 
        parents of eligible children and the general public, consumer 
        education information that will promote informed child care 
        choices.

        (E) Compliance with State licensing requirements

            (i) In general

                Certify that the State has in effect licensing 
            requirements applicable to child care services provided 
            within the State, and provide a detailed description of such 
            requirements and of how such requirements are effectively 
            enforced. Nothing in the preceding sentence shall be 
            construed to require that licensing requirements be applied 
            to specific types of providers of child care services.
            (ii) Indian tribes and tribal organizations

                In lieu of any licensing and regulatory requirements 
            applicable under State and local law, the Secretary, in 
            consultation with Indian tribes and tribal organizations, 
            shall develop minimum child care standards (that 
            appropriately reflect tribal needs and available resources) 
            that shall be applicable to Indian tribes and tribal 
            organizations receiving assistance under this subchapter.

        (F) Establishment of health and safety requirements

            Certify that there are in effect within the State, under 
        State or local law, requirements designed to protect the health 
        and safety of children that are applicable to child care 
        providers that provide services for which assistance is made 
        available under this subchapter. Such requirements shall 
        include--
                (i) the prevention and control of infectious diseases 
            (including immunization);
                (ii) building and physical premises safety; and
                (iii) minimum health and safety training appropriate to 
            the provider setting.

        Nothing in this subparagraph shall be construed to require the 
        establishment of additional health and safety requirements for 
        child care providers that are subject to health and safety 
        requirements in the categories described in this subparagraph on 
        November 5, 1990, under State or local law.

        (G) Compliance with State and local health and safety 
                requirements

            Certify that procedures are in effect to ensure that child 
        care providers within the State that provide services for which 
        assistance is provided under this subchapter comply with all 
        applicable State or local health and safety requirements as 
        described in subparagraph (F).

        (H) Meeting the needs of certain populations

            Demonstrate the manner in which the State will meet the 
        specific child care needs of families who are receiving 
        assistance under a State program under part A of title IV of the 
        Social Security Act [42 U.S.C. 601 et seq.], families who are 
        attempting through work activities to transition off of such 
        assistance program, and families that are at risk of becoming 
        dependent on such assistance program.

                    (3) Use of block grant funds

        (A) General requirement

            The State plan shall provide that the State will use the 
        amounts provided to the State for each fiscal year under this 
        subchapter as required under subparagraphs (B) through (D).

        (B) Child care services and related activities

            The State shall use amounts provided to the State for each 
        fiscal year under this subchapter for child care services on a 
        sliding fee scale basis, activities that improve the quality or 
        availability of such services, and any other activity that the 
        State deems appropriate to realize any of the goals specified in 
        paragraphs (2) through (5) of section 658A(b),\1\ with priority 
        being given for services provided to children of families with 
        very low family incomes (taking into consideration family size) 
        and to children with special needs.
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    \1\ See References in Text note below.
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        (C) Limitation on administrative costs

            Not more than 5 percent of the aggregate amount of funds 
        available to the State to carry out this subchapter by a State 
        in each fiscal year may be expended for administrative costs 
        incurred by such State to carry out all of its functions and 
        duties under this subchapter. As used in the preceding sentence, 
        the term ``administrative costs'' shall not include the costs of 
        providing direct services.

        (D) Assistance for certain families

            A State shall ensure that a substantial portion of the 
        amounts available (after the State has complied with the 
        requirement of section 418(b)(2) of the Social Security Act [42 
        U.S.C. 618(b)(2)] with respect to each of the fiscal years 1997 
        through 2002) to the State to carry out activities under this 
        subchapter in each fiscal year is used to provide assistance to 
        low-income working families other than families described in 
        paragraph (2)(H).

                          (4) Payment rates

        (A) In general

            The State plan shall certify that payment rates for the 
        provision of child care services for which assistance is 
        provided under this subchapter are sufficient to ensure equal 
        access for eligible children to comparable child care services 
        in the State or substate area that are provided to children 
        whose parents are not eligible to receive assistance under this 
        subchapter or for child care assistance under any other Federal 
        or State programs and shall provide a summary of the facts 
        relied on by the State to determine that such rates are 
        sufficient to ensure such access.

        (B) Construction

            Nothing in this paragraph shall be construed to create a 
        private right of action.

                        (5) Sliding fee scale

        The State plan shall provide that the State will establish and 
    periodically revise, by rule, a sliding fee scale that provides for 
    cost sharing by the families that receive child care services for 
    which assistance is provided under this subchapter.

(d) Approval of application

    The Secretary shall approve an application that satisfies the 
requirements of this section.

(Pub. L. 97-35, title VI, Sec. 658E, as added Pub. L. 101-508, title V, 
Sec. 5082(2), Nov. 5, 1990, 104 Stat. 1388-237; amended Pub. L. 102-401, 
Sec. 3(a), Oct. 7, 1992, 106 Stat. 1959; Pub. L. 102-586, Sec. 8(c)(1), 
Nov. 4, 1992, 106 Stat. 5036; Pub. L. 104-193, title VI, Sec. 605, Aug. 
22, 1996, 110 Stat. 2281; Pub. L. 105-33, title V, Sec. 5602(1), Aug. 5, 
1997, 111 Stat. 645.)

                       References in Text

    The Social Security Act, referred to in subsec. (c)(2)(H), is act 
Aug. 14, 1935, ch. 531, 49 Stat. 620, as amended. Part A of title IV of 
the Act is classified generally to part A (Sec. 601 et seq.) of 
subchapter IV of chapter 7 of this title. For complete classification of 
this Act to the Code, see section 1305 of this title and Tables.
    Paragraphs (2) through (5) of section 658A(b), referred to in 
subsec. (c)(3)(B), means pars. (2) through (5) of section 658A(b) of 
Pub. L. 97-35, which are set out as a note under section 9858 of this 
title.


                               Amendments

    1997--Subsec. (c)(2)(E)(ii). Pub. L. 105-33 substituted ``tribal 
organizations receiving'' for ``tribal organization receiving''.
    1996--Subsec. (b). Pub. L. 104-193, Sec. 605(1), substituted 
``implemented during a 2-year period'' for ``implemented--
        ``(1) during a 3-year period for the initial State plan; and
        ``(2) during a 2-year period for subsequent State plans''.
    Subsec. (c)(2)(A). Pub. L. 104-193, Sec. 605(2)(A)(i)(II), in 
closing provisions, substituted ``and provide a detailed description of 
the procedures the State will implement to carry out the requirements of 
this subparagraph.'' for ``except that nothing in this subparagraph 
shall require a State to have a child care certificate program in 
operation prior to October 1, 1992.''
    Subsec. (c)(2)(A)(i). Pub. L. 104-193, Sec. 605(2)(A)(i)(I), struck 
out ``, other than through assistance provided under paragraph (3)(C),'' 
after ``provided under this subchapter'' in introductory provisions.
    Subsec. (c)(2)(B). Pub. L. 104-193, Sec. 605(2)(A)(ii), substituted 
``Certify that procedures are in effect'' for ``Provide assurances that 
procedures are in effect'' and inserted before period at end ``and 
provide a detailed description of such procedures''.
    Subsec. (c)(2)(C). Pub. L. 104-193, Sec. 605(2)(A)(iii), substituted 
``Certify that the State maintains'' for ``Provide assurances that the 
State maintains'' and inserted before period at end ``and provide a 
detailed description of how such record is maintained and is made 
available''.
    Subsec. (c)(2)(D). Pub. L. 104-193, Sec. 605(2)(A)(iv), amended 
heading and text of subpar. (D) generally. Prior to amendment, text read 
as follows: ``Provide assurances that consumer education information 
will be made available to parents and the general public within the 
State concerning licensing and regulatory requirements, complaint 
procedures, and policies and practices relative to child care services 
within the State.''
    Subsec. (c)(2)(E). Pub. L. 104-193, Sec. 605(2)(A)(v), amended 
heading and text of subpar. (E) generally, substituting provisions 
relating to compliance with State licensing requirements for provisions 
relating to compliance with State and local regulatory requirements.
    Subsec. (c)(2)(F), (G). Pub. L. 104-193, Sec. 605(2)(A)(vi), (vii), 
substituted ``Certify'' for ``Provide assurances''.
    Subsec. (c)(2)(H). Pub. L. 104-193, Sec. 605(2)(A)(viii), added 
subpar. (H) and struck out heading and text of former subpar. (H). Text 
read as follows: ``Provide assurances that if the State reduces the 
level of standards applicable to child care services provided in the 
State on November 5, 1990, the State shall inform the Secretary of the 
rationale for such reduction in the annual report of the State described 
in section 9858i of this title.''
    Subsec. (c)(2)(I). Pub. L. 104-193, Sec. 605(2)(A)(viii), struck out 
heading and text of subpar. (I). Text read as follows: ``Provide 
assurances that not later than 18 months after the date of the 
submission of the application under this section, the State will 
complete a full review of the law applicable to, and the licensing and 
regulatory requirements and policies of, each licensing agency that 
regulates child care services and programs in the State unless the State 
has reviewed such law, requirements, and policies in the 3-year period 
ending on November 5, 1990.''
    Subsec. (c)(2)(J). Pub. L. 104-193, Sec. 605(2)(A)(viii), struck out 
heading and text of subpar. (J). Text read as follows: ``Provide 
assurances that funds received under this subchapter by the State will 
be used only to supplement, not to supplant, the amount of Federal, 
State, and local funds otherwise expended for the support of child care 
services and related programs in the State.''
    Subsec. (c)(3)(A). Pub. L. 104-193, Sec. 605(2)(B)(i), substituted 
``subparagraphs (B) through (D)'' for ``subparagraphs (B) and (C)''.
    Subsec. (c)(3)(B). Pub. L. 104-193, Sec. 605(2)(B)(ii), inserted 
``and related activities'' after ``services'' in heading, substituted 
``The'' for ``Subject to the reservation contained in subparagraph (C), 
the'', substituted ``for child care services on a sliding fee scale 
basis, activities that improve the quality or availability of such 
services, and any other activity that the State deems appropriate to 
realize any of the goals specified in paragraphs (2) through (5) of 
section 658A(b)'' for ``for--
        ``(i) child care services, that meet the requirements of this 
    subchapter, that are provided to eligible children in the State on a 
    sliding fee scale basis using funding methods provided for in 
    subsection (c)(2)(A) of this section'', substituted ``special 
    needs.'' for ``special needs; and'', and struck out cl. (ii) which 
    read as follows: ``activities designed to improve the availability 
    and quality of child care.''
    Subsec. (c)(3)(C). Pub. L. 104-193, Sec. 605(2)(B)(iii), amended 
heading and text of subpar. (C) generally. Prior to amendment, text read 
as follows: ``The State shall reserve 25 percent of the amounts provided 
to the State for each fiscal year under this subchapter to carry out 
activities designed to improve the quality of child care (as described 
in section 9858e of this title) and to provide before- and after-school 
and early childhood development services (as described in section 9858f 
of this title).''
    Subsec. (c)(3)(D). Pub. L. 104-193, Sec. 605(2)(B)(iv), added 
subpar. (D).
    Subsec. (c)(4)(A). Pub. L. 104-193, Sec. 605(2)(C), substituted 
``State plan shall certify'' for ``State plan shall provide 
assurances'', inserted ``and shall provide a summary of the facts relied 
on by the State to determine that such rates are sufficient to ensure 
such access'' after ``Federal or State programs'', and struck out at end 
``Such payment rates shall take into account the variations in the costs 
of providing child care in different settings and to children of 
different age groups, and the additional costs of providing child care 
for children with special needs.''
    1992--Pub. L. 102-401 and Pub. L. 102-586 made identical technical 
corrections to directory language of Pub. L. 101-508, Sec. 5082(2), 
which added this section.


                    Effective Date of 1997 Amendment

    Amendment by Pub. L. 105-33 effective as if included in the 
enactment of title VI of the Personal Responsibility and Work 
Opportunity Reconciliation Act of 1996, Pub. L. 104-193, see section 
5603 of Pub. L. 105-33, set out as a note under section 618 of this 
title.


                    Effective Date of 1996 Amendment

    Amendment by Pub. L. 104-193 effective Oct. 1, 1996, see section 615 
of Pub. L. 104-193, set out as a note under section 9858 of this title.

                  Section Referred to in Other Sections

    This section is referred to in sections 9858b, 9858d, 9858g, 9858h, 
9858i, 9858k, 9858m, 9858n of this title.
