Form 1 ACF-118

OMB Control No: 0970-0114
Expiration date: XX/XX/XXXX

THE PAPERWORK REDUCTION ACT OF 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is estimated to average 200 hours per
response, including the time for reviewing instructions, gathering and maintaining the data
needed, and completing the form.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection
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Child Care and Development Fund (CCDF) Plan
for
State/Territory
FFY 2019–2021

This Plan describes the Child Care and Development Fund program to be administered by the
State or Territory for the period from 10/1/2018 to 9/30/2021, as provided for in the applicable
statutes and regulations. The Lead Agency has the flexibility to modify this program at any time,
including amending the options selected or described.
For purposes of simplicity and clarity, the specific provisions of applicable laws printed herein
are sometimes paraphrases of, or excerpts and incomplete quotations from, the full text. The
Lead Agency acknowledges its responsibility to adhere to the applicable laws regardless of these
modifications.

Table of Contents
Introduction and How to Approach Plan Development ........................................................................ 1
1 Define CCDF Leadership and Coordination with Relevant Systems ................................................... 3
1.1 CCDF Leadership............................................................................................................................... 3
1.2 CCDF Policy Decision Authority ........................................................................................................ 4
1.3 Consultation in the Development of the CCDF Plan ........................................................................ 7
1.4 Coordination with Partners to Expand Accessibility and Continuity of Care ................................... 9
1.5 Optional Use of Combined Funds, CCDF Matching and Maintenance-of-Effort Funds ................. 11
1.6 Public-Private Partnerships ............................................................................................................ 14
1.7 Coordination with Local or Regional Child Care Resource and Referral Systems .......................... 14
1.8 Disaster Preparedness and Response Plan .................................................................................... 15
2 Promote Family Engagement through Outreach and Consumer Education ..................................... 16
2.1 Outreach to Families with Limited English Proficiency and Persons with Disabilities ................... 16
2.2 Parental Complaint Process ........................................................................................................... 17
2.3 Consumer Education Website ........................................................................................................ 18
2.4 Additional Consumer and Provider Education ............................................................................... 24
2.5 Procedures for Providing Information on Developmental Screenings .......................................... 25
2.6 Consumer Statement for Parents Receiving CCDF Funds .............................................................. 26
3 Provide Stable Child Care Financial Assistance to Families ............................................................. 26
3.1 Eligible Children and Families......................................................................................................... 27
3.2 Increasing Access for Vulnerable Children and Families ................................................................ 34
3.3 Protection for Working Families .................................................................................................... 37
3.4 Family Contribution to Payments .................................................................................................. 41
4 Ensure Equal Access to Child Care for Low-Income Children........................................................... 43
4.1 Parental Choice in Relation to Certificates, Grants, or Contracts .................................................. 44
4.2 Assessing Market Rates and Child Care Costs ................................................................................ 46
4.3 Setting Payment Rates ................................................................................................................... 49
4.4 Summary of Facts Used to Determine That Payment Rates Are Sufficient to Ensure Equal
Access ................................................................................................................................................... 51
4.5 Payment Practices and the Timeliness of Payments...................................................................... 53
4.6 Supply-Building Strategies to Meet the Needs of Certain Populations ......................................... 54
5 Establish Standards and Monitoring Processes to Ensure the Health and Safety of Child Care
Settings ........................................................................................................................................... 57
5.1 Licensing Requirements ................................................................................................................. 58
5.2 Health and Safety Standards and Requirements for CCDF Providers ............................................ 58
5.3 Monitoring and Enforcement Policies and Practices for CCDF Providers ...................................... 77
5.4 Criminal Background Checks .......................................................................................................... 81
6 Recruit and Retain a Qualified and Effective Child Care Workforce ................................................ 95
6.1 Professional Development Framework .......................................................................................... 95
6.2 Training and Professional Development Requirements ................................................................ 96
6.3 Early Learning and Developmental Guidelines .............................................................................. 98
7 Support Continuous Quality Improvement .................................................................................... 99

7.1 Quality Activities Needs Assessment for Child Care Services ...................................................... 101
7.2 Use of Quality Funds .................................................................................................................... 101
7.3 Supporting Training and Professional Development of the Child Care Workforce with ............ 103
CCDF Quality Funds .................................................................................................................... 103
7.4 Quality Rating and Improvement System (QRIS) ......................................................................... 104
7.5 Improving the Supply and Quality of Child Care Programs and Services for Infants and
Toddlers.............................................................................................................................................. 107
7.6 Child Care Resource and Referral................................................................................................. 108
7.7 Facilitating Compliance with State Standards .............................................................................. 108
7.8 Evaluating and Assessing the Quality and Effectiveness of Child Care Programs and Services... 109
7.9 Accreditation Support .................................................................................................................. 109
7.10 Program Standards..................................................................................................................... 110
7.11 Early Learning and Development Guidelines and Other Quality Improvement Activities......... 110
8 Ensure Grantee Program Integrity and Accountability ................................................................. 110
8.1 Internal Controls and Accountability Measures to Help Ensure Program Integrity .................... 111
Appendix A: Background Check Waiver Request Form .................................................................... 115

Introduction and How to Approach Plan Development
The Child Care and Development Fund (CCDF) program provides resources to state, territory,
and tribal grantees that enable low-income parents to work or pursue education and training so
that they can better support their families while at the same time promoting the learning and
development of their children. The CCDF program also provides funding to enhance the quality
of child care for all children. On November 19, 2014, the Child Care and Development Block
Grant (CCDBG) Act of 2014 was signed into law (Pub. L. 113-186). The law reauthorizes and
significantly revises the purposes of the CCDF program and requirements for state and territory
grantees. In September 2016, the Final Rule was released. The Final Rule makes regulatory
changes to the CCDF program based on the CCDBG Act of 2014. These changes strengthen
requirements to protect the health and safety of children in child care; help parents make
informed consumer choices and access information to support child development; provide
equal access to stable, child care for low-income children; and enhance the quality of child care
and the early childhood workforce.
The Plan is the primary mechanism that the Administration for Children and Families (ACF) uses
to determine state and territory compliance with the requirements of the law and rule. The
Preprint provides a tool for states and territories to describe to ACF their progress on the
following sections:
1. Define CCDF Leadership and Coordination With Relevant Systems
2. Promote Family Engagement Through Outreach and Consumer Education
3. Provide Stable Child Care Financial Assistance to Families
4. Ensure Equal Access to Child Care for Low-Income Families

5. Establish Standards and Monitoring Processes To Ensure the Health and Safety of Child Care
Settings
6. Recruit and Retain a Qualified and Effective Child Care Workforce
7. Support Continuous Quality Improvement
8. Ensure Grantee Accountability
These organizational categories reflect key functions of an integrated system of child care for
low-income working families. Although the Plan is divided into sections for reporting and
accountability purposes, ACF encourages Lead Agencies to approach the Plan in a cross-cutting,
integrated manner. The intention is that grantees and the federal government will be able to
use this information to track and assess progress, determine the need for technical assistance
(TA), and determine compliance with specific requirements and deadlines.

Instructions:
CCDF Plan Response Options for Areas Where Implementation Is Still in Progress
As indicated in the Preamble to the CCDF Final Rule (81 FR, p. 67443–4), States must
demonstrate compliance with all requirements of the Final Rule no later than October 1, 2018
(the effective date of the FY 2019-2021 CCDF Plan). The only exception is background check
requirements, for which States may request time-limited waiver extensions. As such, this
Preprint was developed with the expectation that all requirements, with the exception of
background check requirements, would be fully implemented no later than October 1, 2018.
Note that for any changes to the CCDF program effective prior to September 30, 2018, Lead
Agencies will be required to submit Plan amendments to the FY 2016-2018 CCDF Plans.
ACF recognizes that Lead Agencies may still be working on implementing some requirements of
the Final Rule in order to meet this deadline and may have pending actions (such as legislation
or administrative rules) to be implemented at the time of Plan submission. To facilitate
responses in these areas, Lead Agencies should use associated “Describe” boxes to provide
upto-date information on the status for these requirements at the time of Plan submission. In
the description of the CCDF requirements, ACF requests that the Lead Agency specify what
components are implemented (if any) and identify what components are still pending. For
pending components, Lead Agencies should list any major pending actions (passage of
legislation, approval of administrative rules, etc.) needed to complete implementation and
expected completion date. Lead Agencies may update these descriptions prior to Plan approval
by the end of September, as appropriate, or submit a Plan Amendment pursuant to the
requirements at 98.18(b) after the Plan becomes effective on October 1, 2018.
Please note that all requirements not fully implemented by the Final Rule deadline are subject
to compliance actions, such as corrective action plans and/or penalties in accordance with CCDF
regulations.
Citations

ACF recognizes that Lead Agencies use different mechanisms to establish policies, such as state
statute, regulations, administrative rules, or policy manuals or policy issuances. When asked to
provide a citation in the CCDF Plan, Lead Agencies should list the citation(s) for the policy that
clearly identifies and establishes the requirement and that allows the Lead Agency to enforce
the requirement. Lead Agencies may list multiple sources as needed to cover all types of
providers receiving CCDF (e.g., policies for licensed providers may be established in licensing
regulations and policies for license-exempt providers may be in subsidy rules).
CCDF Plan Submission
States and territories will submit their Plans electronically through the ACF-118 electronic
submission site. The ACF-118 site will include all language and questions included in the final
CCDF Plan Preprint template approved by the Office of Management and Budget. Please note
that the format of the questions on the ACF-118 site could be modified from the Word version
of the document to ensure compliance with Section 508 policies regarding accessibility to
electronic and information technology for individuals with disabilities. (See
http://www.section508.gov/ for more information.)
In responding to questions, states and territories are asked to provide brief, specific summaries
and/or bullet points only with specific language that responds to the question. Do not use tables
or copy and paste charts, add attachments, or paste manuals into the Plan. All information and
materials developed to support CCDF implementation and information reported in the CCDF
Plan are subject to review by ACF as part of ongoing oversight and monitoring efforts.

1

Define CCDF Leadership and Coordination with Relevant Systems
This section identifies the leadership for the CCDF program in each Lead Agency and the entities
and individuals who will participate in the implementation of the program. It also identifies the
stakeholders that were consulted to develop the Plan and who the Lead Agency collaborates
with to implement services. In this section respondents are asked to identify how match and
maintenance-of-effort (MOE) funds are identified. Lead Agencies explain their coordination with
child care resource and referral (CCR&R) systems, and outline the work they have done on their
disaster preparedness and response plans.

1.1

CCDF Leadership
The Governor of a state or territory must designate an agency (which may be an appropriate
collaborative agency) or establish a joint interagency office to represent the state or territory as
the Lead Agency. The Lead Agency agrees to administer the program in accordance with
applicable federal laws and regulations and the provisions of this Plan, including the assurances
and certifications appended hereto (658D; 658E(c)(1)). Note: An amendment to the CCDF State
Plan is required if the Lead Agency changes or if the Lead Agency official changes.

1.1.1

Which Lead Agency is designated to administer the CCDF program?
Identify the Lead Agency or joint interagency office designated by the state or territory. ACF will
send official grant correspondence, such as grant awards, grant adjustments, Plan approvals,
and disallowance notifications, to the designated contact identified here (658D(a)).
a) Lead Agency or Joint Interagency Office Information:
Name of Lead Agency:
Street Address:
City:
State:
ZIP Code:
Web Address for Lead Agency:
b) Lead Agency or Joint Interagency Official Contact Information:
Lead Agency Official First Name:
Lead Agency Official Last Name:
Title:
Phone Number:
Email Address:

1.1.2

Who is the CCDF Administrator?

3

Identify the CCDF Administrator designated by the Lead Agency, the day-to-day contact, or the
person with responsibility for administering the state’s or territory’s CCDF program. ACF will
send programmatic communications, such as program announcements, program instructions,
and data collection instructions, to the designated contact identified here. If there is more than
one designated contact with equal or shared responsibility for administering the CCDF program,
please identify the Co-Administrator or the person with administrative responsibilities and
include his or her contact information.
a) CCDF Administrator Contact Information:
CCDF Administrator First Name:
CCDF Administrator Last Name:
Title of the CCDF Administrator:
Phone Number:
Email Address:
Address for the CCDF Administrator (if different from the Lead Agency):
Street Address:
City:
State:
ZIP Code:
b) CCDF Co-Administrator Contact Information (if applicable):
CCDF Co-Administrator First Name:
CCDF Co-Administrator Last Name:
Title of the CCDF Co-Administrator:
Description of the role of the Co-Administrator:
Phone Number:
Email Address:
Address of the CCDF Co-Administrator (if different from the Lead Agency):
Street Address:
City:
State:
ZIP Code:
1.2

CCDF Policy Decision Authority
The Lead Agency has broad authority to administer (i.e., establish rules) and operate (i.e.,
implement activities) the CCDF program through other governmental, non-governmental, or
public or private local agencies as long as it retains overall responsibility for the administration
of the program (658D(b)). Administrative and implementation responsibilities undertaken by

4

agencies other than the Lead Agency must be governed by written agreements that specify the
mutual roles and responsibilities of the Lead Agency and other agencies in meeting the program
requirements.
1.2.1

Which of the following CCDF program rules and policies are administered (i.e., set or
established) at the state or territory level or local level? Identify whether CCDF program rules
and policies are established by the state or territory (even if operated locally) or whether the
CCDF policies or rules are established by local entities, such as counties or workforce boards
(98.16(i)(3)). Check one.
☐ All program rules and policies are set or established at the state or territory level. If
checked, skip to question 1.2.2.
☐ Some or all program rules and policies are set or established by local entities. If
checked, indicate which entities establish the following policies. Check all that apply.
1. Eligibility rules and policies (e.g., income limits) are set by the:
☐ State or territory
☐ Local entity (e.g., counties, workforce boards, early learning coalitions). If
checked, identify the entity and describe the type of eligibility policies the local
entity(ies) can set.
☐ Other. Describe:
2. Sliding-fee scale is set by the:
☐ State or territory
☐ Local entity (e.g., counties, workforce boards, early learning coalitions). If
checked, identify the entity and describe the type of eligibility policies the local
entity(ies) can set.
☐ Other. Describe:
3. Payment rates are set by the:
☐ State or territory
☐ Local entity (e.g., counties, workforce boards, early learning coalitions). If
checked, identify the entity and describe the type of eligibility policies the local
entity(ies) can set.
☐ Other. Describe:
4. Other. List and describe other program rules and
and improvement systems [QRIS], payment

1.2.2

policies (e.g., quality rating
practices):

How is the CCDF program operated? In other words, which entity(ies) implement or perform
these CCDF services? Check all that apply.

5

a) Who conducts eligibility determinations?
☐ CCDF Lead Agency
☐ Temporary Assistance for Needy Families (TANF) agency
☐ Other state or territory agency
☐ Local government agencies, such as county welfare or social services departments
☐ Child care resource and referral agencies
☐ Community-based organizations
☐ Other.
b) Who assists parents in locating child care (consumer education)?
☐ CCDF Lead Agency
☐ TANF agency
☐ Other state or territory agency
☐ Local government agencies, such as county welfare or social services departments
☐ Child care resource and referral agencies
☐ Community-based organizations
☐ Other.
c) Who issues payments?
☐ CCDF Lead Agency ☐
TANF agency.
☐ Other state or territory agency.
☐ Local government agencies, such as county welfare or social services departments.
☐ Child care resource and referral agencies.
☐ Community-based organizations.
☐ Other.
1.2.3

Describe the processes the Lead Agency uses to monitor CCDF administration and
implementation responsibilities performed by other agencies as reported above in 1.2.2,
including written agreements, monitoring and auditing procedures, and indicators or measures
to assess performance of those agencies (98.16(b)). Note: The contents of the written
agreement may vary based on the role the agency is asked to assume or type of project, but
must include at a minimum, tasks to be performed, schedule for completing tasks, budget which
itemizes categorical expenditures in accordance with CCDF requirements, and indicators or
measures to assess performance (98.11(a)(3)).

1.2.4

Lead Agencies must assure that, to the extent practicable and appropriate, any code or software
for child care information systems or information technology for which a Lead Agency or other
agency expends CCDF funds to develop must be made available on request to other public
agencies, including public agencies in other States, for their use in administering child care or
related programs (98.15(a)(11)). Assure by describing how the Lead Agency makes child care
information systems available to public agencies in other states to the extent practicable and
appropriate.
6

1.2.5

Lead Agencies must have in effect policies to govern the use and disclosure of confidential and
personally identifiable information about children and families receiving CCDF assistance and
child care providers receiving CCDF funds (98.15(b)(13)). Certify by describing the Lead Agency’s
policies related to the use and disclosure of confidential and personally identifiable information.

1.3

Consultation in the Development of the CCDF Plan
The Lead Agency is responsible for developing the CCDF Plan, which serves as the application for
a 3-year implementation period. As part of the Plan development process, Lead Agencies must
consult with the following:
(1) Appropriate representatives of units of general purpose local government—(658D(b)(2);
98.10(c); 98.12(b); 98.14(b)). General purpose local governments are defined by the U.S.
Census at
https://www.census.gov/newsroom/cspan/govts/20120301_cspan_govts_def_3.pdf.
(2) The State Advisory Council (SAC) on Early Childhood Education and Care (pursuant to
642B(b)(I)(A)(i) of the Head Start Act) (658E(c)(2)(R); 98.15(b)(1)) or similar coordinating
body pursuant to 98.14(a)(1)(vii).
(3) Indian tribe(s) or tribal organization(s) within the state. This consultation should be done in
a timely manner and at the option of the Indian tribe(s) or tribal organization(s)
(658D(b)(1)(E)).
Consultation involves meeting with or otherwise obtaining input from an appropriate agency in
the development of the state or territory CCDF Plan. Describe the partners engaged to provide
services under the CCDF program in question 1.4.1.

1.3.1

Describe the Lead Agency’s consultation in the development of the CCDF Plan.
a) Describe how the Lead Agency consulted with appropriate representatives of general
purpose local governments.
b) Describe how the Lead Agency consulted with the State Advisory Council or similar
coordinating body.
c) Describe, if applicable, how the Lead Agency consulted with Indian tribes(s) or tribal
organizations(s) within the state. Note: The CCDF regulations recognize the need for States
to conduct formal, structured consultation with Tribal governments, including Tribal
leadership. Many States and Tribes have consultation policies and procedures in place.
d) Describe any other entities, agencies, or organizations consulted on the development of
the CCDF Plan.

1.3.2

Describe the statewide or territory-wide public hearing process held to provide the public with
an opportunity to comment on the provision of child care services under this Plan
(658D(b)(1)(C); 98.16(f)). Reminder: Lead Agencies are required to hold at least one public
hearing in the state or territory, with sufficient statewide or territory-wide distribution of notice

7

prior to such a hearing to enable the public to comment on the provision of child care services
under the CCDF Plan. At a minimum, this description must include:
a) Date of the public hearing.
Reminder: Must be no earlier than January 1, 2018, which is
9 months prior to the October 1, 2018, effective date of the Plan. If more than one public
hearing was held, please enter one date (e.g. the date of the first hearing, the most recent
hearing or any hearing date that demonstrates this requirement).
b) Date of notice of public hearing (date for the notice of public hearing identified in (a).
Reminder: Must be at least 20 calendar days prior to the date of the public hearing. If
more than one public hearing was held, enter one date of notice (e.g. the date of the first
notice, the most recent notice or any date of notice that demonstrates this requirement).
c) How was the public notified about the public hearing? Please include specific website links
if used to provide notice.
d) Hearing site or method, including how geographic regions of the state or territory were
addressed.
e) How the content of the Plan was made available to the public in advance of the public
hearing. (e.g. the Plan was made available in other languages, in multiple formats, etc.)
f)
1.3.3

How was the information provided by the public taken into consideration regarding the
provision of child care services under this Plan?

Lead Agencies are required to make the submitted and final Plan, any Plan amendments, and
any approved requests for temporary relief (i.e., waivers) publicly available on a website
(98.14(d)). Please note that a Lead Agency must submit Plan amendments within 60 days of a
substantial change in the Lead Agency’s program. (Additional information may be found at
https://www.acf.hhs.gov/occ/resource/pi-2009-01.)
a) Provide the website link to where the Plan, any Plan amendments, and/or waivers are
available. Note: A Plan amendment is required if the website address where the Plan is
posted is changed.
b) Describe any other strategies that the Lead Agency uses to make the CCDF Plan and Plan
amendments available to the public (98.14(d)). Check all that apply and describe the
strategies below, including any relevant website links as examples.
☐ Working with advisory committees. Describe:
☐ Working with child care resource and referral agencies. Describe:
☐ Providing translation in other languages. Describe:
☐ Sharing through social media (e.g., Twitter, Facebook, Instagram, email). Describe:
☐ Providing notification to stakeholders (e.g., provider groups, parent groups).
Describe:
☐Other. Describe:

8

1.4

Coordination with Partners to Expand Accessibility and Continuity of Care
Lead Agencies are required to describe how the state or territory will efficiently, and to the
extent practicable, coordinate child care services supported by CCDF with programs operating at
the federal, state/territory, and local levels for children in the programs listed below. This
includes programs for the benefit of Indian children, infants and toddlers, children with
disabilities, children experiencing homelessness, and children in foster care (98.14(a)(1)).

1.4.1

Describe how the Lead Agency coordinates the provision of child care services with the
following programs to expand accessibility and continuity of care and to assist children enrolled
in early childhood programs in receiving full-day services that meet the needs of working
families (658E(c)(2)(O); 98.12(a); 98.14(a)).
This list includes agencies or programs required by law or rule, along with a list of optional
partners that Lead Agencies potentially would coordinate with over the next 3 years to expand
accessibility and continuity of care and to assist children enrolled in early childhood programs in
receiving full-day services.
Include in the descriptions the goals of this coordination, such as:
•
•
•

extending the day or year of services for families;
smoothing transitions for children between programs or as they age into school;
enhancing and aligning the quality of services for infants and toddlers through
schoolage children;

•
•

linking comprehensive services to children in child care or school-age settings; or
developing the supply of quality care for vulnerable populations (as defined by the Lead
Agency) in child care and out-of-school time settings

Check the agencies or programs the Lead Agency will coordinate with and describe all that
apply.
☐ (REQUIRED) Appropriate representatives of the general purpose local government,
which can include counties, municipalities, or townships/towns. Describe the
coordination goals and process:
☐ (REQUIRED) State Advisory
Council on Early Childhood Education and Care or
similar coordinating body (pursuant to 642B(b)(I)(A)(i) of the Head Start Act). Describe
the coordination goals and
process:
☐ Check here if the Lead
Agency has official representation and a decisionmaking role in the State Advisory Council or similar coordinating body.
☐ (REQUIRED) Indian tribe(s) and/or tribal organization(s), at the option of individual
tribes. Describe the coordination goals and process, including which tribe(s) was
consulted:
☐ N/A—

There are no Indian tribes and/or tribal organizations in the State.

9

☐ (REQUIRED) State/territory agency(ies) responsible for programs for children with
special needs, including early intervention programs authorized under the Individuals
with Disabilities Education Act (Part C for infants and toddlers and Part B, Section 619
for preschool). Describe the coordination goals and process:
☐ (REQUIRED) State/territory
collaboration. Describe the

office/director
for Head Start state
coordination goals and process:

☐ (REQUIRED) State/territory agency responsible for public health, including
agency responsible for immunizations. Describe the coordination goals and
process:
☐ (REQUIRED) State/territory agency responsible for
services/workforce development. Describe the
and process:

employment
coordination goals

☐ (REQUIRED) State/territory agency responsible for public education,
prekindergarten (preK). Describe the coordination goals and process:
☐ (REQUIRED) State/territory
Describe the coordination goals

the

including

agency responsible for child care licensing.
and process:

☐ (REQUIRED) State/territory agency responsible for the Child and Adult Care Food
Program (CACFP) and other relevant nutrition programs. Describe the coordination
goals and process:
☐ (REQUIRED)
McKinney-Vento state coordinators for homeless education
and other agencies providing services for children experiencing homelessness and, to
the extent practicable, local McKinney-Vento liaisons. Describe the coordination goals
and process:
☐ (REQUIRED) State/territory agency responsible for the
Assistance for Needy Families program. Describe the
goals and process:
☐ (REQUIRED) Agency responsible for Medicaid and the
Insurance Program. Describe the coordination goals
☐ (REQUIRED) State/territory
the coordination goals and

Temporary
coordination
state Children’s Health
and process:

agency responsible for mental health. Describe
process:

☐ (REQUIRED) Child care resource and referral agencies, child care consumer education
organizations, and providers of early childhood education training and professional
development. Describe the coordination goals and process:
☐ (REQUIRED) Statewide afterschool network or other
coordinating entity for out-ofschool time care (if applicable). Describe the
coordination goals and process:
☐ (REQUIRED) Agency responsible for
Describe the coordination goals and

emergency management and response.
process:

The following are examples of optional partners a state might coordinate with to provide
services. Check all that apply.

10

☐
Partnership
Describe:

State/territory/local agencies with Early Head Start – Child Care
grants.

☐
colleges.
Describe:

State/territory institutions for higher education, including community

☐ Other federal, state, local, and/or private agencies
and schoolage/youth-serving developmental
☐ State/territory agency responsible
Home Visitation programs grant.
☐ Agency responsible
Program. Describe:

providing early childhood
services. Describe:

for implementing the Maternal and Child
Describe:

for Early and Periodic Screening, Diagnostic, and Treatment

☐ State/territory agency responsible for child welfare. Describe:
☐ State/territory liaison for military child care programs. Describe:
☐ Provider groups or associations. Describe:
☐ Parent groups
Describe: ☐
1.5

or organizations.
Other. Describe:

Optional Use of Combined Funds, CCDF Matching and Maintenance-of-Effort Funds
Optional Use of Combined Funds: States and territories have the option to combine CCDF funds
with any program identified as required in 1.4.1. These programs include those operating at the
federal, state, and local levels for children in preschool programs, tribal early childhood
programs, and other early childhood programs, including those serving infants and toddlers with
disabilities, children experiencing homelessness, and children in foster care (658E(c)(2)(O)(ii)).
Combining funds could include blending multiple funding streams, pooling funds, or layering
funds together from multiple funding streams to expand and/or enhance services for infants,
toddlers, preschoolers, and school-age children and families to allow for the delivery of
comprehensive quality care that meets the needs of children and families. For example,
state/territory agencies may use multiple funding sources to offer grants or contracts to
programs to deliver services; a state/territory may allow a county/local government to use
coordinated funding streams; or policies may be in place that allow local programs to layer CCDF
funds with additional funding sources to pay for full-day, full-year child care that meets Early
Head Start/Head Start Program Performance Standards or state/territory prekindergarten
requirements in addition to state/territory child care licensing requirements.
As a reminder, CCDF funds may be used in collaborative efforts with Head Start programs to
provide comprehensive child care and development services for children who are eligible for
both programs. In fact, the coordination and collaboration between Head Start and CCDF is
strongly encouraged by sections 640(g)(1)(D) and (E); 640(h); 641(d)(2)(H)(v); and 642(e)(3) of
the Head Start Act in the provision of full working day, full calendar year comprehensive
services. To implement such collaborative programs, which share, for example, space,
equipment, or materials, grantees may layer several funding streams so that seamless services
are provided (Policy and Program Guidance for the Early Head Start – Child Care Partnerships:
https://www.acf.hhs.gov/sites/default/files/occ/acf_im_ohs_15_03.pdf).

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1.5.1

Does the Lead Agency choose to combine funding for CCDF services for any programs identified
in 1.4.1 (98.14(a)(3))?
☐ No (If no, skip to question 1.5.2)
☐ Yes. If yes, describe at a minimum:
a) How you define “combine”
b) Which funds you will combine
c) Your purpose and expected outcomes for combining
funds, such as extending the day or year of services
available (i.e., full-day, full-year programming for working
families), smoothing transitions for children, enhancing
and aligning quality of services, linking
comprehensive services to children in child
care
or developing the supply of child care for vulnerable
populations
d) How you will be combining
funding, such as at the
level, local level, program level?

multiple sets of
State/Territory

e) How are the funds tracked and method of oversight
1.5.2

Which of the following funds does the Lead Agency intend to use to meet the CCDF matching
and MOE requirements described in 98.55(e) and 98.55(h)? Check all that apply.
Note: The Lead Agency must check at least public and/or private funds as matching, even if preK
funds also will be used.
Use of pre-K for Maintenance of Effort: The CCDF Final Rule clarifies that public pre-K funds may
also serve as maintenance-of-effort funds as long as the state/territory can describe how it will
coordinate pre-K and child care services to expand the availability of child care while using
public preK funds as no more than 20 percent of the state’s or territory’s maintenance of effort
or 30 percent of its matching funds in a single fiscal year (FY) (98.55(h)). If expenditures for preK
services are used to meet the maintenance-of-effort requirement, the state/territory must
certify that it has not reduced its level of effort in full-day/full-year child care services
(98.55(h)(1); 98.15(a)(6)).
Use of Private Funds for Match or Maintenance of Effort: Donated funds do not need to be
under the administrative control of the Lead Agency to qualify as an expenditure for federal
match. However, Lead Agencies do need to identify and designate in the state/territory Plan the
donated funds given to public or private entities to implement the CCDF child care program
(98.55(f)).
☐ N/A—The territory is not required to meet CCDF matching and MOE requirements
☐ Public funds are used to meet the CCDF matching fund requirement. Public funds may
include any general revenue funds, county or other local public funds,
state/territoryspecific funds (tobacco tax, lottery), or any other public funds.

12

•
•

If checked, identify the source of funds:
If known,
identify the estimated
amount of public funds that the
Lead
Agency will receive: $
☐ Private donated funds are used to meet the CCDF matching funds requirement. Only
private funds received by the designated entities or by the Lead Agency may be counted
for match purposes (98.53(f)).
•

If checked, are those funds:
☐ donated directly to the State?
☐ donated to a separate entity(ies) designated to receive private donated funds?

•
•

If checked, identify the name, address, contact, and type of entities designated to
receive private donated funds:
If known, identify
the Lead
Agency will receive: $

the estimated amount of private donated funds that

☐ State expenditures for pre-K programs are used to meet the CCDF matching funds
requirement. If checked, provide the estimated percentage of the matching fund
requirement that will be met with preK expenditures (not to exceed 30 percent):
•

If the percentage is more than 10 percent of the matching fund
requirement, describe how the State will coordinate its preK and
care services:

•

If known, identify the estimated amount of
Agency will receive for the matching funds

•

Describe the
needs of

child

preK funds that the Lead
requirement: $

Lead Agency efforts to ensure that preK programs meet the
working parents:

☐ State expenditures for preK programs are used to meet the CCDF maintenance-of-effort
requirements. If checked,
•

•

The Lead Agency assures that its level of effort in full-day/full-year child care
services has not been reduced, pursuant to 98.55(h)(1) and 98.15(6).
☐ No
☐ Yes
Describe the
needs of

Lead Agency efforts to ensure that preK programs meet the
working parents:

•

Estimated percentage of the MOE Fund
preK expenditures (not to exceed 20

•

If the percentage is more than 10 percent of the MOE requirement, describe how
the State
will coordinate its preK and child care services to expand the
availability of child care:

•

If known, identify the estimated amount
will receive for the MOE Fund

requirement that will be met with
percent):

of preK funds that the Lead Agency
requirement: $

13

1.6

Public-Private Partnerships
Lead Agencies are required to describe how they encourage public-private partnerships among
other public agencies, tribal organizations, private entities, faith-based organizations, businesses
or organizations that promote business involvement, and/or community-based organizations to
leverage existing service delivery (i.e., cooperative agreement among providers to pool
resources to pay for shared fixed costs and operation) (658E(c)(2)(P)). ACF expects these types
of partnerships to leverage public and private resources to further the goals of the CCDBG Act.
Lead Agencies are required to demonstrate how they encourage public-private partnerships to
leverage existing child care and early education service-delivery systems and to increase the
supply and quality of child care services for children younger than age 13, for example, by
implementing voluntary shared service alliance models (98.14(a)(4)).

1.6.1

1.7

Identify and describe the entities with which and the levels at which the state/territory is
partnering (level—state/territory, county/local, and/or programs), the goals of the partnerships,
the ways that partnerships are expected to leverage existing service-delivery systems, the
method of partnering, and examples of activities that have resulted from these partnerships
(98.16(d)(2)).
Coordination with Local or Regional Child Care Resource and Referral Systems
Lead Agencies may use CCDF funds to establish or support a system of local or regional child
care resource and referral (CCR&R) organizations that is coordinated, to the extent determined
by the state/territory, by a statewide public or private non-profit, community-based or
regionally based, lead child care resource and referral organization (such as a statewide CCR&R
network) (658E(c)(3)(B)(iii); 98.52).
•

If Lead Agencies use CCDF funds for local CCR&R organizations, the local or regional CCR&R
organizations supported by those funds must, at the direction of the Lead Agency, provide
parents in the State with consumer education information concerning the full range of child
care options (including faith-based and community-based child care providers), analyzed by
provider, including child care provided during non-traditional hours and through
emergency child care centers, in their area.

•

To the extent practicable, work directly with families who receive assistance to offer the
families support and assistance to make an informed decision about which child care
providers they will use to ensure that the families are enrolling their children in the most
appropriate child care setting that suits their needs and one that is of high quality (as
determined by the Lead Agency).

•

Collect data and provide information on the coordination of services and supports,
including services under Part B, Section 619 and Part C of the Individuals with Disabilities
Education Act;

•

Collect data and provide information on the supply of and demand for child care services in
areas of the state and submit the information to the State;

•

Work to establish partnerships with public agencies and private entities, including faithbased and community-based child care providers, to increase the supply and quality of
child care services in the state and, as appropriate, coordinate their activities with the

14

activities of the state Lead Agency and local agencies that administer funds made available
through CCDF (98.52(b)).
Nothing in the statute or rule prohibits States from using CCR&R agencies to conduct or provide
additional services beyond those required by statute or rule.
Note: Use 1.7.1 to address if a state/territory funds a CCR&R organization, what services are
provided and how it is structured and use section 7.6.1 to address the indicators of progress
met by CCR&R organizations if they are funded by quality set-aside funds.
1.7.1

Does the Lead Agency fund local or regional CCR&R organizations?
☐ No. The state/territory does not fund a CCR&R organization(s) and has no plans to establish
one.
☐ Yes. The state/territory funds a CCR&R organization(s). If yes,
describe the
following:
a) What services are provided through the CCR&R organization?
b) How are CCR&R services organized, include how many
agencies, if
there is a statewide network and if the system is
coordinated?

1.8

Disaster Preparedness and Response Plan
Lead Agencies are required to establish a Statewide Child Care Disaster Plan (658E(c)(2)(U)).
They must demonstrate how they will address the needs of children—including the need for
safe child care, before, during, and after a state of emergency declared by the Governor or a
major disaster or emergency (as defined by Section 102 of the Robert T. Stafford Disaster Relief
and Emergency Assistance Act, 42 U.S.C. 5122)—through a Statewide Disaster Plan that, for a
State, is developed in collaboration with the State human services agency, the State emergency
management agency, the State licensing agency, the State health department or public health
department, local and State child care resource and referral agencies, and the State Advisory
Council on Early Childhood Education and Care (designated or established pursuant to section
642B(b)(I)(A)(i) of the Head Start Act (42 U.S.C. 9837b(b)(1)(A)(i))) or similar coordinating body
(98.16(aa)).

1.8.1

Describe how the Statewide Child Care Disaster Plan was developed in collaboration with the
State human services agency, the State emergency management agency, the State licensing
agency, the State health department or public health department, local and State child care
resource and referral agencies, and the State Advisory Council on Early Childhood Education and
Care or similar coordinating body:

1.8.2

Describe how the Statewide Disaster Plan includes the Lead Agency’s guidelines for the
continuation of child care subsidies and child care services, which may include the provision of
emergency and temporary child care services during a disaster and temporary operating
standards for child care after a disaster:

15

1.8.3

Describe Lead Agency procedures for the coordination of post-disaster recovery of child care
services:

1.8.4

Describe how the Lead Agency ensures that providers who receive CCDF funds have the
following procedures in place—evacuation; relocation; shelter-in-place; lockdown;
communications with and reunification of families; continuity of operations; and
accommodations for infants and toddlers, children with disabilities, and children with chronic
medical conditions:

1.8.5

Describe how the Lead Agency ensures that providers who receive CCDF funds have the
following procedures in place for child care staff and volunteers—emergency preparedness
training and practice drills as required in 98.41(a)(1)(vii):

1.8.6

Provide the link to the website where the statewide child care disaster plan is available:

2

Promote Family Engagement through Outreach and Consumer Education
Lead Agencies are required to support the role of parents as child care consumers who need
information to make informed choices regarding the services that best suit their needs. A key
purpose of the CCDBG Act is to “promote involvement by parents and family members in the
development of their children in child care settings” (658A(b)). Lead Agencies have the
opportunity to consider how information can be provided to parents through the child care
assistance system, partner agencies, and child care consumer education websites.
The target audience for the consumer education information includes three groups: parents
receiving CCDF assistance, the general public, and when appropriate, child care providers. In this
section, Lead Agencies will address how information is made available to families to assist them
in accessing high-quality child care and how information is shared on other financial assistance
programs or supports for which a family might be eligible. In addition, Lead Agencies will certify
that information on developmental screenings is provided and will describe how research and
best practices concerning children’s development, including their social-emotional
development, is shared.
In this section, Lead Agencies will delineate the consumer and provider education information
related to child care, as well as other services, including developmental screenings, which is
made available to parents, providers, and the general public and the ways that it is made
available. This section also covers the parental complaint process and the consumer education
website that has been developed by the Lead Agency. Finally, this section addresses the
consumer statement that is provided to parents supported with CCDF funds.

2.1

Outreach to Families with Limited English Proficiency and Persons with Disabilities
The Lead Agency is required to describe how it provides outreach and services to eligible
families with limited English proficiency and persons with disabilities and to facilitate the
participation of child care providers with limited English proficiency and disabilities in the CCDF
program (98.16(dd)). Lead Agencies are required to develop policies and procedures to clearly
communicate program information, such as requirements, consumer education information,
and eligibility information, to families and child care providers of all backgrounds (81 FR 67456).

16

2.1.1

Check the strategies the Lead Agency or partners utilize to provide outreach and services to
eligible families for whom English is not their first language. Check all that apply.
☐ Application in other languages (application document, brochures, provider notices)
☐ Informational materials in non-English languages
☐ Website in non-English languages
☐ Lead Agency accepts applications at local community-based locations
☐ Bilingual caseworkers or translators available
☐ Bilingual outreach workers
☐ Partnerships with community-based organizations ☐
Other. Describe:

2.1.2

Check the strategies the Lead Agency or partners utilize to provide outreach and services to
eligible families with a person(s) with a disability. Check all that apply.
☐ Applications and public informational materials available in Braille and other
communication formats for access by individuals with disabilities
☐ Websites that are accessible (e.g., Section 508 of the Rehabilitation Act)
☐ Caseworkers with specialized training/experience in working with individuals with
disabilities
☐ Ensuring accessibility of environments and activities for all children
☐ Partnerships with state and local programs and associations focused on disabilityrelated
topics and issues
☐ Partnerships with parent associations, support groups, and parent-to-parent support
groups, including the Individuals with Disabilities Education Act (IDEA) federally funded
Parent Training and Information Centers
☐ Partnerships with state and local IDEA Part B, Section 619 and Part C providers and
agencies
☐ Availability and/or access to specialized services (e.g., mental health, behavioral
specialists, therapists) to address the needs of all children ☐ Other. Describe:

2.2

Parental Complaint Process
The Lead Agency must certify that the state/territory maintains a record of substantiated
parental complaints and makes information regarding such complaints available to the public on
request (658E(c)(2)(C); 98.15(b)(3)). Lead Agencies must also provide a detailed description of
the hotline or similar reporting process for parents to submit complaints about child care
providers; the process for substantiating complaints; the manner in which the Lead Agency
maintains a record of substantiated parental complaints; and ways that the Lead Agency makes
information on such parental complaints available to the public on request (98.16; 98.32).

17

2.2.1

Describe the Lead Agency’s hotline or similar reporting process through which parents can
submit complaints about child care providers, including a link if it is a Web-based process:

2.2.2

Describe the Lead Agency’s process and timeline for screening, substantiating and responding to
complaints regarding CCDF providers, including whether the process includes monitoring:

2.2.3

Describe the Lead Agency’s process and timeline for screening, substantiating and responding to
complaints for non-CCDF providers, including whether the process includes monitoring:

2.2.4

Certify by describing how the Lead Agency maintains a record of substantiated parental
complaints:

2.2.5

Certify by describing how the Lead Agency makes information about substantiated parental
complaints available to the public; this information can include the consumer education website
discussed in section 2.3:

2.2.6

Provide the citation to the Lead Agency’s policy and process related to parental complaints:

2.3

Consumer Education Website
States and Territories are required to provide information to parents, the general public, and
when applicable, child care providers through a State website, which is consumer-friendly and
easily accessible (658E(c)(2)(E)(i)(III)). The website must include information to assist families in
understanding the policies and procedures for licensing child care providers. The website
information must also include provider-specific information, monitoring and inspection reports
for the provider, and the quality of each provider (if such information is available for the
provider) (658E(c)(2)(D); 98.33(a)). The website should also provide access to a yearly statewide
report on deaths, serious injuries, and the number of cases of substantiated child abuse that
have occurred in child care settings. To assist families with any additional questions, the website
should provide contact information for local child care resource and referral organizations and
any other agencies that can assist families in better understanding the information on the
website.
To certify, respond to questions 2.3.1 through 2.3.10 by describing how the Lead Agency meets
these requirements and provide the link in 2.3.11. If the Lead Agency has not fully implemented
the Consumer Education website elements identified in Section 2.3, then respond to question
2.3.12. Please note that any changes made to the web links provided below in this section after
the CCDF Plan is approved will require a CCDF Plan amendment.

2.3.1

Describe how the Lead Agency ensures that its website is consumer-friendly and easily
accessible:

2.3.2

Describe how the website ensures the widest possible access to services for families that speak
languages other than English (98.33(a)):

2.3.3

Describe how the website ensures the widest possible access to services for persons with
disabilities:

18

2.3.4

Lead Agency processes related to child care.
A required component of the consumer education website is a description of Lead Agency
policies and procedures relating to child care (98.33(a) (1)). This information includes a
description of how the state/territory licenses child care, a rationale for exempting providers
from licensing requirements, the procedure for conducting monitoring and inspections of
providers, and the policies and procedures related to criminal background checks.
a) Provide the link to how the Lead Agency licenses child care providers, including the
rationale for exempting certain providers from licensing requirements, as described in
section 5.3.6:
b) Provide the link to the procedure for conducting monitoring and inspections of child care
providers, as described in section 5.3.2:
c) Provide the link to the policies and procedures related to criminal background checks for
staff members of child care providers and the offenses that prevent individuals from being
employed by a child care provider or receiving CCDF funds, as described in sections 5.4.1
and 5.4.11:

2.3.5

List of providers
The consumer education website must include a list of all licensed providers and, at the
discretion of the Lead Agency, all providers eligible to deliver CCDF services, identified as either
licensed or license-exempt. Providers caring for children to whom they are related do not need
to be included. The list of providers must be searchable by ZIP Code.
a) Provide the website link to the searchable list of child care providers:
b) In addition to the licensed providers that are required to be included in your searchable list,
which additional providers are included in the Lead Agency’s searchable list of child care
providers (please check all that apply):
☐ License-exempt center-based CCDF providers
☐ License-exempt family child care (FCC) CCDF providers
☐ License-exempt non-CCDF providers
☐ Relative CCDF child care providers ☐
Other. Describe:
c) Identify what informational elements, if any, are available in the searchable results. Note:
Quality information (if available) and monitoring results are required on the website but are
not required to be a part of the search results.
•

Licensed providers
☐ Contact information
☐ Enrollment capacity
☐ Years in operation
☐ Provider education and training

19

☐ Languages spoken
☐ Quality information
☐ Monitoring reports
☐ Other. Describe:
•

License-exempt, non-CCDF providers
☐ Contact information
☐ Enrollment capacity
☐ Years in operation
☐ Provider education and training
☐ Languages spoken
☐ Quality information
☐ Monitoring reports
☐ Other. Describe:

•

License-exempt CCDF center based providers
☐ Contact information
☐ Enrollment capacity
☐ Years in operation
☐ Provider education and training
☐ Languages spoken
☐ Quality information
☐ Monitoring reports
☐ Other. Describe:

•

License-exempt CCDF family child care
☐ Contact information
☐ Enrollment capacity
☐ Years in operation
☐ Provider education and training
☐ Languages spoken
☐ Quality information
☐ Monitoring reports
☐ Other. Describe:

•

Relative CCDF providers
☐ Contact information
☐ Enrollment capacity
☐ Years in operation
☐ Provider education and training
☐ Languages spoken

20

☐ Quality information
☐ Monitoring
reports ☐ Other.
Describe:
•

Other. Describe:
☐ Contact

information

☐ Enrollment capacity
☐ Years in operation
☐ Provider education and training
☐ Languages spoken
☐ Quality information
☐ Monitoring reports
☐ Other. Describe:
2.3.6

Lead Agencies must also identify specific quality information on each child care provider for
whom they have this information. The type of information provided is determined by the Lead
Agency, and it should help families easily understand whether a provider offers services that
meet Lead Agency-specific best practices and standards or a nationally recognized,
researchbased set of criteria. Provider-specific quality information must only be posted on the
consumer website if it is available for the individual provider.
a) How does the Lead Agency determine quality ratings or other quality information to include
on the website?
☐ Quality rating and improvement system
☐ National accreditation
☐ Enhanced licensing system
☐ Meeting Head Start/Early Head Start Program Performance Standards.
☐ Meeting prekindergarten quality requirements
☐ School-age
applicable ☐

standards, where
Other. Describe:

b) For what types of providers are quality ratings or other indicators of quality available?
☐ Licensed CCDF providers. Describe the quality information:
☐ Licensed non-CCDF providers. Describe the quality information:
☐ License-exempt center-based CCDF providers. Describe the quality information:
☐ License-exempt FCC CCDF providers. Describe the quality information:
☐ License-exempt non-CCDF providers. Describe the quality information:
☐ Relative child care providers. Describe the quality information:
☐ Other. Describe:

21

2.3.7

Lead Agencies are required to post monitoring and inspection reports on the consumer
education website for each licensed provider and for each non-relative provider eligible to
provide CCDF services on the consumer education website. These reports must include results
of required annual monitoring visits and visits due to major substantiated complaints about a
provider’s failure to comply with health and safety requirements and child care policies. The
reports must be in plain language, as defined by the State or Territory, and be timely to ensure
that the results of the reports are available and easily understood by parents when they are
deciding on a child care provider. Lead Agencies must post at least 3 years of reports when
available, going forward (not retrospectively), beginning October 1, 2018.
Certify by responding to the questions below:
a) What is the Lead Agency’s definition of plain language and
process for receiving feedback from parents and the public about
reports.

describe the
readability of

b) Are monitoring and inspection reports in plain language?
☐ If yes, include a website link to a sample monitoring report.
☐ If no, describe how plain language summaries are used to meet the regulatory
requirements and include a link to a sample summary.
c) Check to certify what the monitoring and inspection reports and/or their plain language
summaries include:
☐ Date of inspection
☐ Health and safety violations, including those violations that resulted in fatalities or
serious injuries. Describe how these health and safety violations are prominently
displayed.
☐ Corrective action plans taken by the State and/or child care provider. Describe
d) The process for correcting inaccuracies in reports.
e) The process for providers to appeal the findings in reports, including the time requirements,
and timeframes for filing the appeal, for the investigation,
and for removal of any
violations from the website determined on appeal to be
unfounded.
f)

How reports are posted in a timely manner. Specifically, provide the Lead Agency’s
definition of “timely” and describe how it ensures that reports are posted within its
timeframe. Note: While Lead Agencies define “timely,” we recommend Lead Agencies
update results
as soon as possible and no later than 90 days after an inspection or
corrective
action is taken.

g) Describe the process for maintaining monitoring reports on the website. Specifically,
provide the minimum
number of years reports are posted and the policy for
removing reports
(98.33(a)(4)(iv)).

22

h) Any additional providers on which the Lead Agency chooses to include reports. Note:
Licensed providers and CCDF providers must have monitoring and inspection reports posted
on their consumer education website.
☐ License-exempt non-CCDF providers
☐ Relative child
providers ☐ Other.
Describe:
2.3.8

care

Aggregate data on serious injuries, deaths, and substantiated cases of child abuse that have
occurred in child care settings each year must be posted on the consumer education website.
This aggregate information on serious injuries and deaths must be organized by category of care
(e.g., center, FCC, etc.) and licensing status for all eligible CCDF provider categories in the state.
The information on instances of substantiated child abuse does not have to be organized by
category of care or licensing status. The aggregate report should not list individual
providerspecific information or names.
Certify by providing:
a) The designated entity to which child care providers must submit reports of any serious
injuries or deaths of children occurring in child care (98.16 (ff)) and describe how the Lead
Agency obtains the aggregate data from the entity.
b) The definition of “substantiated child abuse” used by the Lead Agency for this
requirement.
c) The definition of “serious injury” used by the Lead Agency for this requirement.
d) The website link to the page where the aggregate number of serious injuries, deaths, and
substantiated instances of child abuse are posted.

2.3.9

The consumer education website should include contact information on referrals to local child
care resource and referral organizations. How does the Lead Agency provide referrals to local
CCR&R agencies through the consumer education website? Describe and include a website link
to this information:

2.3.10 The consumer education website should include information on how parents can contact the
Lead Agency, or its designee, or other programs that can help the parent understand
information included on the website. Describe and include a website link to this information:
2.3.11 Provide the website link to the Lead Agency’s consumer education website. Note: An amendment
is required if this website changes.
2.3.12 Other. Identify and describe the components that are still pending per the instructions on CCDF
Plan Response Options for Areas where Implementation is Still in Progress in the Introduction.

23

2.4

Additional Consumer and Provider Education
Lead Agencies are required to certify that they will collect and disseminate information about
the full diversity of child care services to promote parental choice to parents of eligible children,
the general public, and where applicable, child care providers. In addition to the consumer
education website, the consumer education information can be provided through CCR&R
organizations or through direct conversations with eligibility case workers and child care
providers. Outreach and counseling can also be effectively provided via information sessions or
intake processes for families (658E(c)(2)(E); 98.15(b)(4); 98.33(b)).
In questions 2.4.1 through 2.4.5, certify by describing:

2.4.1

How the Lead Agency shares information with eligible parents, the general public, and where
applicable, child care providers about the availability of child care services provided through
CCDF and other programs for which the family may be eligible, such as state preK, as well as the
availability of financial assistance to obtain child care services. At a minimum, describe what is
provided (e.g., such methods as written materials, the website, and direct communications) and
how information is tailored for these audiences.

2.4.2

The partnerships formed to make information about the availability of child care services
available to families.

2.4.3

How the Lead Agency provides the required information about the following programs and
benefits to the parents of eligible children, the general public, and where applicable, providers.
In the description include, at a minimum, what information is provided, how the information is
provided, and how the information is tailored to a variety of audiences and include any partners
who assist in providing this information.
☐ Temporary Assistance for Needy Families program:
☐ Head Start and Early Head Start programs:
☐ Low Income Home Energy Assistance Program (LIHEAP):
☐ Supplemental Nutrition Assistance Programs (SNAP) Program:
☐ Women, Infants, and Children Program (WIC) program:
☐ Child and Adult Care Food Program(CACFP):
☐ Medicaid and Children’s Health Insurance Program (CHIP):
☐ Programs carried out under IDEA Part B, Section 619 and Part C:

2.4.4

Describe how the Lead Agency makes available to parents, providers, and the general public
information on research and best practices concerning children’s development, including
physical health and development, particularly healthy eating and physical activity. Information
about successful parent and family engagement should also be shared. At a minimum, include
what information is provided, how the information is provided, and how the information is
tailored to a variety of audiences and include any partners in providing this information.

24

2.4.5

Describe how information on the Lead Agency’s policies regarding the social-emotional and
behavioral issues and early childhood mental health of young children, including positive
behavioral intervention and support models based on research and best practices for those
from birth to school age, are shared with families, providers, and the general public. At a
minimum, include what information is provided, how the information is provided, and how
information is tailored to a variety of audiences and include any partners in providing this
information.

2.4.6

Describe the Lead Agency’s policies to prevent the suspension and expulsion of children from
birth to age 5 in child care and other early childhood programs receiving CCDF funds (98.16(ee)),
including how those policies are shared with families, providers, and the general public.

2.5

Procedures for Providing Information on Developmental Screenings
Lead Agencies are required to provide information on developmental screenings, including
information on resources and services that the State can deploy, such as the use of the Early
and Periodic Screening, Diagnosis, and Treatment program under the Medicaid program carried
out under title XIX of the Social Security Act and developmental screening services available
under IDEA Part B, Section 619 and Part C, in conducting those developmental screenings and in
providing referrals to services for children who receive subsidies. Lead Agencies must also
include a description of how a family or child care provider can use these resources and services
to obtain developmental screenings for children who receive subsidies and who might be at risk
of cognitive or other developmental delays, which can include social, emotional, physical, or
linguistic delays (658E(c)(2)(E)(ii)). Lead Agencies are required to provide this information to
eligible families during CCDF intake and to child care providers through training and education
(98.33(c)).

2.5.1

Certify by describing:
a) How the Lead Agency collects and disseminates information on existing resources and
services available for conducting developmental screenings to CCDF parents, the general
public, and where applicable, child care providers (98.15(b)(3)).
b) The procedures for providing information on and referring families and child care providers
to the Early and Periodic Screening, Diagnosis, and Treatment program under the Medicaid
program—carried out under Title XIX of the Social Security Act (42 U.S.C. 1396 et seq.)—
and developmental screening services available under Part B, Section 619 and Part C of the
Individuals with Disabilities Education Act (20 U.S.C. 1419, 1431 et seq.).
c) How the Lead Agency gives information on developmental screenings to parents receiving
a subsidy as part of the intake process.
Include the information provided, ways it is
provided, and any partners in this work.
d) How CCDF families or child care providers receiving CCDF can use the available resources
and services to obtain
developmental screenings for CCDF children at risk for
cognitive or other
developmental delays.

25

e) How child
professional
f)
2.6

care providers receive this information through training and
development.

Provide the citation for
information on

this policy and procedure related to providing
developmental screenings.

Consumer Statement for Parents Receiving CCDF Funds
Lead Agencies must provide CCDF parents with a consumer statement in hard copy or
electronically (such as referral to a consumer education website) that contains specific
information about the child care provider they select. This information about the child care
provider selected by the parent includes 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 violations of these requirements, and any voluntary quality standards
met by the provider. It must also describe how CCDF subsidies are designed to promote equal
access, how to submit a complaint through a hotline, and how to contact local resource and
referral agencies or other community-based supports that assist parents in finding and enrolling
in quality child care (98.33(d)). Please note that if the consumer statement is provided
electronically, Lead Agencies should consider how to ensure that the statement is accessible to
parents and that parents have a way to contact someone to address questions they have.

2.6.1

Certify by describing:
a) How the Lead Agency provides parents receiving CCDF funds with a consumer statement.
b) What is

included in the statement, including when the consumer statement is
provided to families.

c) Provide a link to a sample consumer statement or a description if a link is not available.

3

Provide Stable Child Care Financial Assistance to Families
In providing child care assistance to families, Lead Agencies are required to implement these
policies and procedures: a minimum 12-month eligibility and redetermination periods, a process
to account for irregular fluctuations in earnings, a policy ensuring that families’ work schedules
are not disrupted by program requirements, policies to provide for a job search of not fewer
than 3 months if the Lead Agency exercises the option to discontinue assistance, and policies for
the graduated phase-out of assistance. In addition, procedures for the enrollment of children
experiencing homelessness and children in foster care, if served, pending the completion of
documentation, are required.
Note: Lead Agencies are not prohibited from establishing policies that extend eligibility beyond
12 months to align program requirements. For example, Lead Agencies can allow children
enrolled in Head Start, Early Head Start, state or local prekindergarten, and other collaborative

26

programs to finish the program year. This type pf policy promotes continuity for families
receiving services through multiple benefit programs.
In this section, Lead Agencies will identify how they define eligible children and families and
how the Lead Agency improves access for vulnerable children and families. This section also
addresses the policies that protect working families and determine a family’s contribution to the
child care payment.
3.1

Eligible Children and Families
At the time when eligibility is determined or redetermined, children must (1) be younger than
age 13; (2) reside with a family whose income does not exceed 85 percent of the State's median
income for a family of the same size and whose family assets do not exceed $1,000,000 (as
certified by a member of said family); and (3)(a) reside with a parent or parents who are
working or attending a job training or educational program or (b) receives, or needs to receive,
protective services and resides with a parent or parents not described in (3)(a) (658P(4)).

3.1.1

Eligibility criteria based on a child’s age
a) The CCDF program serves children from
(weeks/months/years) through
years
(under age 13). Note: Do not include
children incapable of self-care or under court supervision, who are reported below in (b)
and (c).
b) Does the Lead Agency allow CCDF-funded child care for children ages 13 and older but
below age 19 who are physically and/or mentally incapable of self-care (658E(c)(3)(B);
658P(3))?
☐ No
☐ Yes, and the upper age is
(may not equal or exceed age 19). If yes, provide the
Lead Agency definition of physical and/or mental incapacity:
c) Does the Lead Agency allow CCDF-funded child care for children ages 13 and older but
below age 19 who are under court supervision ((658P(3); 658E(c)(3)(B))?
☐ No
☐ Yes, and the upper age is

(may not equal or exceed age 19).

d) How does the Lead Agency define the following eligibility terms?
“residing with”:
“in loco parentis”:
3.1.2

Eligibility criteria based on reason for care
a) How does the Lead Agency define “working or attending a job training and educational
program” for the purposes of CCDF eligibility at the time of determination? Provide the
definitions below for:

27

“Working” (including activities and any hour requirements):
“Job training” (including activities and any hour requirements):
“Education” (including activities and any hour requirements):
“Attending job training or education” (e.g. number of hours, travel time):
b) Does the Lead Agency allow parents to qualify for CCDF assistance on the basis of education
and training participation alone (without additional minimum work requirements)?
☐ No. If no, describe the additional work
requirements: ☐ Yes. If yes, describe the
procedure:

policy or

c) Does the Lead Agency consider seeking employment (engaging in a job search) an eligible
activity at initial eligibility determination (at application) and at the 12-month eligibility
redetermination? (Note: If yes, Lead Agencies must provide a minimum of three months of
job search)
☐ No
☐ Yes. If yes, describe the policy or procedure (including any
in eligibility at initial eligibility determination vs.
redetermination of eligibility):

differences

d) Does the Lead Agency provide child care to children in protective services?
☐ No
☐ Yes. If yes:
i.

Please provide the Lead Agency’s definition of “protective services”:
Note: Federal requirements allow other vulnerable children
identified by the Lead Agency not formally in child protection to be included in
the Lead Agency’s definition of protective services for CCDF purposes. A Lead
Agency may elect to provide CCDF-funded child care to children in foster care
when foster care parents are not working or are not in education/training
activities, but this provision should be included in the protective services
definition above.
ii.
Are children in foster care considered to be in protective services for the
purposes of eligibility at determination?
☐ No
☐ Yes iii. Does the Lead Agency waive the income eligibility requirements for
cases in which children receive, or need to receive, protective services on a case-bycase basis (658E(c)(5))?
☐ No
☐ Yes iv. Does the Lead Agency provide respite care to custodial parents of
children in protective services?
☐ No
☐ Yes

28

3.1.3

Eligibility criteria based on family income. Note: The question in 3.1.3 relates to initial
determination. Redetermination is addressed in 3.1.7.
a) How does the Lead
the point of initial

Agency define “income” for the purposes of eligibility at
determination?

b) Provide the CCDF income eligibility limits in the table below at the time of initial
determination. Complete columns (a) and (b) based on maximum eligibility at initial
entry into CCDF. Complete columns (c) and (d) only if the Lead Agency is using income
eligibility limits lower than 85 percent of the current state median income (SMI) at
the initial eligibility determination point. Fill in the chart based on the most populous
area of the state (the area serving the highest number of CCDF children). If the
income eligibility limits are not statewide, please respond to c) below the table.
(a)

Family Size

100% of SMI
($/Month)

(b)

(c)

(IF APPLICABLE)
($/Month)
Maximum Initial
or
85% of SMI
First Tier Income
($/Month)
Limit (or
[Multiply (a) by 0.85]
Threshold) if
Lower
Than 85% of
Current SMI

(d)
(IF APPLICABLE)
(% of SMI)
[Divide (c) by (a),
multiply by 100]
Income Level if Lower
Than 85% of Current
SMI

1
2
3
4
5
c) If the income eligibility limits are not statewide, describe how many jurisdictions set
their own income eligibility limits and provide the income
limit ranges
across the jurisdictions (e.g. range from [lowest limit] to
[highest limit])(
98.16(i)(3)).
Reminder: Income limits must be established and reported in terms of current SMI based on
the most recent data published by the Bureau of the Census (98.20(a)(2)(i)) even if the
federal poverty level is used in implementing the program. SMI guidelines are available at:
https://www.acf.hhs.gov/ocs/resource/liheap-im2017-03.
d) SMI source and year.

29

e) Identify the most populous area of the State used to complete the chart above.
f)

What was the date that these eligibility limits in column (c) became effective?

g) Provide the citation or link, if available, for the income eligibility limits.
3.1.4

Lead Agencies are required to ensure that children receiving CCDF funds do not have family
assets that exceed $1,000,000, as certified by a family member (98.20(a)(2)(ii)).
a) Describe how the family member
$1,000,000 (e.g., a checkoff on the

certifies that family assets do not exceed
CCDF application).

b) Does the Lead Agency waive the asset limit on a case-by-case basis for families defined as
receiving, or in need of, protective services?
☐ No
☐ Yes. If yes, describe the policy or procedure and provide citation:
3.1.5

Describe any additional eligibility conditions or priority rules, which should only be applied by
the Lead Agency during eligibility determination or redetermination (98.20(b)).

3.1.6

Lead Agencies are required to take into consideration children’s development and promote
continuity of care when authorizing child care services (98.21(f); 98.16(h)(6)). Check the
approaches, if applicable, that the Lead Agency uses when considering children’s development
and promoting continuity of care when authorizing child care services.
☐ Coordinating with Head Start, prekindergarten, or other early learning programs to
create a package of arrangements that accommodates parents’ work schedules
☐ Inquiring about whether the child has an Individualized Education Program (IEP) or
Individual Family Services Plan (IFSP)
☐ Establishing minimum eligibility periods greater than 12 months
☐ Using cross-enrollment or referrals to other public benefits
☐ Working with IDEA Part B, Section 619 and Part C staff to explore how services included
in a child’s IEP or IFSP can be supported and/or provided onsite and in collaboration
with child care services
☐ Providing more intensive case management for families with children with multiple risk
factors;
☐ Implementing policies and procedures that promote universal design to ensure that
activities and environments are accessible to all children, including children with
sensory, physical, or other disabilities
☐ Other. Describe:

3.1.7

Policies and processes for graduated phase-out of assistance at redetermination.
Lead Agencies are required to provide for a graduated phase-out of assistance for families
whose income has increased above the state’s initial income threshold at the time of
redetermination but remains below the federal threshold of 85 percent of the state median

30

income. Providing a graduated phase-out promotes continuity by allowing for wage growth,
allows for a tapered transition out of the child care subsidy program as income increases, and
supports long-term self-sufficiency for families.
Lead Agencies that establish initial family income eligibility below 85 percent of SMI must
provide a graduated phase-out by implementing a two-tiered eligibility threshold, with the
second tier of eligibility (used at the time of eligibility redetermination) to be set at:
i.
ii.

85 percent of SMI for a family of the same size
An amount lower than 85 percent of SMI for a family of the same size but above the
Lead Agency’s initial eligibility threshold that:
(A) Takes into account the typical household budget of a low-income family (B)
Provides justification that the second eligibility threshold is:
(1) Sufficient to accommodate increases in family income over time that are
typical for low-income workers and that promote and support family
economic stability
(2) Reasonably allows a family to continue accessing child care services without
unnecessary disruption.

At redetermination, a child shall be considered eligible if his or her parents are working or
attending a job training or educational program even if their income exceeds the Lead Agency’s
income limit to initially qualify for assistance as long as their income does not exceed the second
tier of eligibility (98.21(a); 98.21(b)(1)). Note that once deemed eligible, the family shall be
considered eligible for a full minimum 12-month eligibility period, even if their income exceeds
the second tier of eligibility during the eligibility period, as long as it does not exceed 85 percent
of SMI.
A family eligible for services via the graduated phase-out of assistance is considered eligible
under the same conditions as other eligible families with the exception of the copayment
restrictions, which do not apply to a graduated phase-out. To help families transition from child
care assistance, Lead Agencies may gradually adjust copay amounts for families whose children
are determined eligible under a graduated phase-out and may require additional reporting on
changes in family income. However, Lead Agencies must still ensure that any additional
reporting requirements do not constitute an undue burden on families.
a) Check and describe the option that best identifies the Lead Agency’s policies and
procedures regarding the graduated phase-out of assistance.
☐ N/A. The Lead Agency sets its initial eligibility threshold at 85 percent of SMI and,
therefore, is not required to provide a graduated phase-out period.
☐ N/A. The Lead Agency sets its exit eligibility threshold at 85 percent of SMI and,
therefore, is not required to provide a graduated phase-out period.
☐ The Lead Agency sets the second tier of eligibility at 85 percent of SMI.
•

Describe the policies and procedures.

•

Provide the citation for this policy or procedure.

31

☐ The Lead Agency sets the second tier of eligibility at an amount lower than 85
percent of SMI for a family of the same size but above the Lead Agency’s initial
eligibility threshold.
•

Provide the second tier of eligibility for a family of three.

•

Describe how the second eligibility threshold:
i.

Takes into account the typical household budget of a low-income
family:

ii.

Is sufficient to accommodate increases in family income over time that
are typical for
low-income workers and that promote and
support family
economic stability:

iii.

Reasonably allows a
services without

iv.

Provide the citation for this policy or

family to continue accessing child care
unnecessary disruption:
procedure:

☐ Other. Identify and describe the components that are still pending per the
instructions on CCDF Plan Response Options for Areas Where Implementation Is Still
in Progress in the introduction.
b) To help families transition from assistance, does the Lead Agency gradually adjust copays
for families eligible under the graduated phase-out period?
☐ No
☐ Yes
i.

If yes, describe how the
families under a

Lead Agency gradually adjusts copays for
graduated phase-out.

ii. If yes, does the Lead Agency require additional reporting requirements during
the graduated phase-out period? (Note: Additional reporting requirements are
also discussed in section 3.3.3 of the Plan.) ☐ No.
☐ Yes. Describe:
3.1.8

Fluctuation in earnings.
Lead Agencies are required to demonstrate how their processes for initial determination and
redetermination take into account irregular fluctuations in earnings (658E(c)(2)(N)(i)(II)). The
Lead Agency must put in place policies that ensure that temporary increases in income,
including temporary increases that can result in a monthly income exceeding 85 percent of SMI
(calculated on a monthly basis) from seasonal employment or other temporary work schedules,
do not affect eligibility or family co-payments (98.21(c)). Check the processes, if applicable, that
the Lead Agency uses to take into account irregular fluctuations in earnings and describe, at a
minimum, how temporary increases that result in a monthly income exceeding 85 percent of
SMI (calculated on a monthly basis) do not affect eligibility or family co-payments.
☐ Average the family’s earnings over a period of time (i.e., 12 months). Describe:

32

☐ Request earning
monthly income.
☐ Deduct
standard

statements that are most representative of the family’s
Describe:
temporary or irregular increases in wages from the family’s
income level. Describe:

☐ Other. Describe:
3.1.9

Lead Agencies are required to have procedures for documenting and verifying that children
receiving CCDF funds meet eligibility criteria at the time of eligibility determination and
redetermination (98.68(c)). Lead Agencies should note that there are no federal requirements
for specific documentation or verification procedures. Check the information that the Lead
Agency documents and verifies and describe, at a minimum, what information is required and
how often. Check all that apply.
☐ Applicant identity. Describe:
☐ Applicant’s relationship to the child. Describe:
☐ Child’s

information for determining eligibility (e.g., identity, age,
citizen/immigration status). Describe:

☐ Work. Describe:
☐ Job training or educational program. Describe:
☐ Family income. Describe:
☐ Household composition. Describe:
☐ Applicant residence. Describe:
☐ Other. Describe:
3.1.10 Which strategies, if any, will the Lead Agency use to assure the timeliness of eligibility
determinations upon receipt of applications?
☐ Time limit for making eligibility determinations. Describe length of time:
☐ Track and
determination

monitor the eligibility
process ☐ Other. Describe:

☐ None
3.1.11 Informing parents who receive TANF benefits about the exception to the individual penalties
associated with the TANF work requirement.
Lead Agencies are required to inform parents who receive TANF benefits about the exception to
the individual penalties associated with the work requirement for any single custodial parent
who has a demonstrated inability to obtain needed child care for a child younger than age 6
(98.16(v); 98.33(f)).
Lead Agencies must coordinate with TANF programs to ensure that TANF families with young
children will be informed of their right not to be sanctioned if they meet the criteria set forth by
the state/territory TANF agency in accordance with Section 407(e)(2) of the Social Security Act.

33

In fulfilling this requirement, the following criteria or definitions are applied by the TANF agency
to determine whether the parent has a demonstrated inability to obtain needed child care.
Note: The TANF agency, not the CCDF Lead Agency, is responsible for establishing the following
criteria or definitions. These criteria or definitions are offered in this Plan as a matter of public
record.
a) Identify the TANF agency that established these criteria or definitions:
b) Provide the following definitions established by the TANF agency:
•

“Appropriate child care”:

•

“Reasonable distance”:

•

“Unsuitability of informal child care”:

•

“Affordable child care
arrangements”:

c) How are parents who receive TANF benefits informed about the exception to the individual
penalties associated with the TANF work requirements?
☐ In writing
☐ Verbally
☐ Other. Describe:
d) Provide the citation for the TANF policy or
3.2

procedure:

Increasing Access for Vulnerable Children and Families
Lead Agencies are required to give priority for child care assistance to children with special
needs, which can include vulnerable populations, in families with very low incomes and to
children experiencing homelessness (658E(c)(3)(B); 98.46(a)). The prioritization of CCDF
assistance services is not limited to eligibility determination (i.e., the establishment of a waiting
list or the ranking of eligible families in priority order to be served).
Note: CCDF defines “child experiencing homelessness” as a child who is homeless, as defined in
Section 725 of Subtitle VII-B of the McKinney-Vento Act (42 U.S.C. 11434a) (98.2).

3.2.1

Describe how the Lead Agency defines:
a) “Children with special needs”:
b) “Families with very low incomes” :

3.2.2

Describe how the Lead Agency will prioritize or target child care services for the following
children and families.
a) Identify how services are prioritized for children with special needs. Check all that apply:
☐ Prioritize for enrollment

34

☐ Serve without placing these populations on waiting lists
☐ Waive co-payments
☐ Pay higher rates for access to higher quality care
☐ Use grants or contracts to reserve slots for priority populations
☐ Other. Describe:
b) Identify how services are prioritized for families with very low incomes. Check all that
apply:
☐ Prioritize for enrollment
☐ Serve without placing these populations on waiting lists
☐ Waive co-payments
☐ Pay higher rates for access to higher quality care
☐ Use grants or contracts to reserve slots for priority populations
☐ Other. Describe:
c) Identify how services are prioritized for children experiencing homelessness, as defined by
the CCDF. Check all that apply:
☐ Prioritize for enrollment
☐ Serve without placing these populations on waiting lists
☐ Waive co-payments
☐ Pay higher rates for access to higher quality care
☐ Use grants or contracts to reserve slots for priority populations
☐ Other. Describe:
d) Identify how services are prioritized, if applicable, for families receiving TANF program
funds, those attempting to transition off TANF through work activities, and those at risk of
becoming dependent on TANF (98.16(i)(4)). Check all that apply:
☐ Prioritize for enrollment
☐ Serve without placing these populations on waiting lists
☐ Waive co-payments
☐ Pay higher rates for access to higher quality care
☐ Use grants or contracts to reserve slots for priority populations
☐ Other. Describe:
3.2.3

List and define any other priority groups established by the Lead Agency.

3.2.4

Describe how the Lead Agency prioritizes services for the additional priority groups identified in
3.2.3.

35

3.2.5

Lead Agencies are required to expend CCDF funds to (1) permit the enrollment (after an initial
eligibility determination) of children experiencing homelessness while required documentation
is obtained, (2) provide training and TA to child care providers and the appropriate Lead Agency
(or designated entity) staff on identifying and serving children and families experiencing
homelessness (addressed in section 6), and (3) conduct specific outreach to families
experiencing homelessness(658E(c)(3); 98.51).
a) Describe the procedures to permit the enrollment of children experiencing homelessness
while required documentation is obtained.
b) Check, where applicable, the procedures used to conduct outreach for children
experiencing homelessness (as defined by CCDF Rule) and their families.
☐ Lead Agency accepts applications at local community-based locations
☐ Partnerships with community-based organizations
☐ Partnering with homeless service providers, McKinney-Vento liaisons, and others who
work with families experiencing homelessness to provide referrals to child care
☐ Other:
Note: The Lead Agency shall pay any amount owed to a child care provider for services provided
as a result of the initial eligibility determination, and any CCDF payment made prior to the final
eligibility determination shall not be considered an error or improper payment (98.51(a)(1)(ii)).

3.2.6

Lead Agencies must establish a grace period that allows children experiencing homelessness and
children in foster care to receive CCDF assistance while providing their families with a
reasonable time to take any necessary actions to comply with immunization and other health
and safety requirements (as described in section 5). The length of such a grace period shall be
established in consultation with the state, territorial, or tribal health agency (658E(c)(2)(I)(i)(I);
98.41(a)(1)(i)(C)).
Note: Any payment for such a child during the grace period shall not be considered an error or
improper payment (98.41(a)(1)(i)(C)(2)).
a) Describe procedures to provide a grace period to comply with immunization and other
health and safety requirements, including how the length of the grace period was
established in consultation with the state, territorial, or tribal health agency for:
•

Children experiencing homelessness (as
Agency’s CCDF Rule). Provide the citation
procedure.

•

Children who are in foster
procedure.

defined by the Lead
for this policy and

care. Provide the citation for this policy and

b) Describe how the Lead Agency coordinates with licensing agencies and other relevant
state, territorial, tribal, and local agencies to provide referrals and support to help families
with children receiving services during a grace period
comply with immunization and
other health and safety requirements
(98.41(a)(1)(i)(C)(4)).

36

c) Does the Lead Agency establish grace periods for other children who are not experiencing
homelessness or in foster care?
☐ No
☐ Yes. Describe:
3.3
3.3.1

Protection for Working Families
12-Month eligibility.
The Lead Agency is required to establish a minimum 12-month eligibility and redetermination
period, regardless of changes in income (as long as the income does not exceed the federal
threshold of 85 percent of the state median income) or temporary changes in participation in
work, training, or educational activities (658E(c)(2)(N)(i) and (ii)).
This change means that a Lead Agency may not terminate CCDF assistance during the 12-month
period if a family has an increase in income that exceeds the state’s income eligibility threshold,
but not the federal threshold of 85 percent of SMI. The Lead Agency may not terminate
assistance prior to the end of the 12-month period if a family experiences a temporary job loss
or a temporary change in participation in a training or educational activity. A temporary change
in eligible activity includes, at a minimum, any time-limited absence from work for an employed
parent due to such reasons as the need to care for a family member or an illness; any
interruption in work for a seasonal worker who is not working; any student holiday or break for
a parent participating in a training or educational program; any reduction in work, training, or
education hours, as long as the parent is still working or attending a training or educational
program; any other cessation of work or attendance at a training or educational program that
does not exceed 3 months or a longer period of time established by the Lead Agency; a child
turning 13 years old during the 12-month eligibility period (except as described in 3.1.1); and
any changes in residency within the state, territory, or tribal service area.
a) Describe the Lead Agency’s policies and procedures in
implementing the minimum
12month eligibility and
redetermination
requirements, including
when a family experiences a temporary change in activity.
b) How does the Lead Agency define “temporary change?”
c) Provide the citation for this policy and/or procedure.

3.3.2

Lead Agency’s option to discontinue assistance during the 12-month eligibility period.
Lead Agencies have the option, but are not required, to discontinue assistance during the
12month eligibility period due to a parent’s non-temporary loss of work or cessation of
attendance at a job training or educational program, otherwise known as a parent’s eligible
activity.
If the Lead Agency chooses the option to discontinue assistance due to a parent’s nontemporary
loss or cessation of eligible activity, it must continue assistance at least at the same level for a

37

period of not fewer than 3 months after each such loss or cessation. This time period allows the
parent to engage in a job search and to resume work or resume attendance in a job training or
educational program. At the end of the minimum 3-month period of continued assistance, if the
parent has engaged in a qualifying work, training, or educational program activity with an
income below 85 percent of SMI, assistance cannot be terminated, and the child must continue
receiving assistance until the next scheduled redetermination or, at the Lead Agency option, for
an additional minimum 12-month eligibility period.
a) Does the Lead Agency discontinue assistance during the 12-month eligibility period due to
a parent’s non-temporary loss or cessation of eligible activity and offer a minimum 3month
period to allow parents to engage in a job search and to resume participation in an eligible
activity?
☐ No, the state/territory does not allow this option to discontinue assistance during
the 12-month eligibility period due to a parent’s non-temporary loss of work or
cessation of attendance at a job training or educational program.
☐ Yes, the Lead Agency discontinues assistance during the 12-month eligibility period
due to a parent’s non-temporary loss of work or cessation of eligible activity and
provides a minimum 3-month period of job search. If yes:
i. Provide a summary describing the Lead Agency’s policies and
procedures for discontinuing assistance due to a parent’s nontemporary change: ii. Describe what specific actions/changes
trigger the job-search period. iii. How long is the

job-search

period (must be at least 3 months)? iv. Provide the

citation for this

policy or procedure.
b) The Lead Agency may discontinue assistance prior to the next 12-month redetermination
in the following limited circumstances. Check and describe any circumstances in which the
Lead Agency chooses to discontinue assistance prior to the next 12-month
redetermination. Check all that apply.
☐ Not applicable
☐ Excessive unexplained absences despite multiple attempts by the Lead Agency or
designated entity to contact the family and provider, including the prior notification of
a possible discontinuation of assistance.
i. Define the number of unexplained absences identified as excessive:
ii. Provide the citation for this policy or procedure:
☐ A change in residency outside of the
Provide the citation for this policy

state, territory, or tribal service area.
or procedure:

☐ Substantiated fraud or intentional program violations that invalidate prior
determinations of eligibility. Describe the violations that lead to discontinued
assistance and provide the citation for this policy or procedure.
3.3.3

Change reporting during the 12-month eligibility period.

38

The Lead Agency must describe the requirements for parents to report changes in
circumstances during the 12-month eligibility period and describe efforts to ensure that such
requirements do not place an undue burden on eligible families, which could impact the
continuity of care for children and stability for families receiving CCDF services (98.16(h)(1)).
Note: Responses should exclude reporting requirements for a graduated phase-out, which were
described in question 3.1.7(b).
Families are required to report a change to the Lead Agency at any time during the 12-month
eligibility period if the family’s income exceeds 85 percent of the state median income, taking
into account irregular fluctuations in income (98.21(e)(1)). If the Lead Agency chooses the
option to terminate assistance, as described in section 3.3.2 of the Plan, they may require
families to report a non-temporary change (as described in section 3.3.3 of the Plan) in work,
training or educational activities (otherwise known as a parent’s eligible activity).
a) Does the Lead Agency require families to report a non-temporary change in a parent’s
eligible activity?
☐ No
☐ Yes
b) Any additional reporting requirements during the 12-month eligibility period must be
limited to items that impact a family’s eligibility (e.g., income changes over 85 percent of
SMI) or that impact the Lead Agency’s ability to contact the family or pay the child care
providers (e.g., a family’s change of address, a change in the parent’s choice of child care
provider).
Check and describe any additional reporting requirements required by the Lead Agency
during the 12-month eligibility period. Check all that apply.
☐ Additional
month period.

changes that may impact a family’s eligibility during the 12Describe:

☐ Changes that impact the Lead Agency’s ability to contact the family. Describe:
☐ Changes that impact the Lead Agency’s ability to pay child care providers. Describe:
Any additional reporting requirements that the Lead Agency chooses, as its option to
require from parents during the 12-month eligibility period, shall not require an office visit.
In addition, the Lead Agency must offer a range of notification options to accommodate
families.
c) How does the Lead Agency allow families to report changes to ensure that reporting
requirements are not burdensome and to avoid an impact on continued eligibility between
redeterminations? Check all that apply.
☐ Phone
☐ Email
☐ Online forms
☐ Extended submission hours

39

☐ Postal Mail
☐ Fax
☐ In-person submission
☐ Other. Describe:
d) Families must have the option to voluntarily report changes on an ongoing basis during the
12-month eligibility period.
Lead Agencies are required to act on information reported by the family if it will reduce the
family’s co-payment or increase the family’s subsidy. Lead Agencies are prohibited from
acting on information reported by the family that would reduce the family’s subsidy unless
the information reported indicates that the family’s income exceeds 85 percent of SMI after
considering irregular fluctuations in income or, at the option of the Lead Agency, the family
has experienced a non-temporary change in eligible activity.
i. Describe any other changes that the Lead Agency
report. ii. Provide the citation for this policy or
3.3.4

allows families to
procedure.

Prevent the disruption of employment, education, or job training activities.
Lead Agencies are required to have procedures and policies in place to ensure that parents
(especially parents receiving assistance under the TANF program) are not required to unduly
disrupt their employment, education, or job training activities to comply with the Lead Agency’s
or designated local entity’s requirements for the redetermination of eligibility for assistance
(658E(c)(2)(N)(ii); 98.21(d)).
Examples include developing strategies to inform families and their providers of an upcoming
redetermination and the information that will be required of the family, pre-populating subsidy
renewal forms, having parents confirm that the information is accurate, and/or asking only for
the information necessary to make an eligibility redetermination. In addition, states and
territories can offer a variety of family-friendly methods for submitting documentation for
eligibility redetermination that considers the range of needs for families in accessing support
(e.g., use of languages other than English, access to transportation, accommodation of parents
working non-traditional hours).
a) Identify, where applicable, the Lead Agency’s procedures and policies to ensure that parents
(especially parents receiving TANF program funds) do not have their employment,
education, or job training unduly disrupted to comply with the state/territory’s or
designated local entity’s requirements for the redetermination of eligibility.
☐ Advance notice to parents of pending redetermination
☐ Advance notice to providers of pending redetermination
☐ Pre-populated subsidy renewal form
☐ Online documentation submission
☐ Cross-program redeterminations
☐ Extended office hours (evenings and/or weekends)

40

☐ Other:
b) How are families allowed to submit documentation, described in 3.1.9, for redetermination?
Check all that apply.
☐ Postal Mail
☐ Email
☐ Online forms
☐ Fax
☐ In-person
☐ Extended
submission hours ☐
Describe:
3.4

Other.

Family Contribution to Payments
Lead Agencies are required to establish and periodically revise a sliding-fee scale for CCDF
families that varies based on income and the size of the family to determine each family’s
contribution (i.e., co-payment) that is not a barrier to families receiving CCDF funds (658E(c)(5)).
In addition to income and the size of the family, the Lead Agency may use other factors when
determining family contributions/co-payments. Lead Agencies, however, may NOT use cost of
care or amount of subsidy payment in determining co-payments (98.45(k)(2)).
Note: To help families transition off child care assistance, Lead Agencies may gradually adjust
copay amounts for families determined to be eligible under a graduated phase-out. However,
section 3.4 applies only to families in their initial/entry eligibility period. See section 3.1.7
Graduated Phase-Out regarding co-pays during the graduated phase-out period.

3.4.1

Provide the CCDF co-payments in the chart below according to family size for one child in care.
a) Fill in the chart based on the most populous area of the State (area serving highest
number of CCDF children).
(a)

Lowest
Initial or
First Tier
Income
Family
Level Where
Size
Family Is
First
Charged CoPay (Greater
Than $0)

(b)

What Is the
Monthly
CoPayment
for a Family
of This Size
Based on the
Income Level
in (a)?

(c)

(d)

(e)

(f)

The CoPayment
in
Column (b) is
What
Percentage of
the Income in
Column (a)?

Highest Initial
or First Tier
Income Level
Before a
Family Is No
Longer Eligible

What Is the
Monthly CoPayment for
a Family of
This Size
Based on the
Income Level
in (d)?

The
CoPayment
in
Column (e) is
What
Percentage
of the
Income in
Column (d)?

41

1
2
3
4
5
b) What is the effective date of the sliding-fee scale(s)?
c) Identify the most populous area of the state used to complete the chart above.
d) Provide the link to the sliding-fee scale:
e) If the sliding-fee scale is not
their own sliding-fee scale
3.4.2

statewide, describe how many jurisdictions set
(98.16(i)(3)).

How will the family’s contribution be calculated, and to whom will it be applied? Check all that
apply.
☐ The fee is a dollar amount and:
☐ The fee is per child, with the same fee for each child.
☐ The fee is per child and is discounted for two or more children.
☐ The fee is per child up to a maximum per family.
☐ No additional fee is charged after certain number of children.
☐ The fee is per family.
☐ The contribution
schedule varies because it is set locally/regionally (as
indicated in
1.2.1). Describe:
☐ Other. Describe:
☐ The fee is a percent of income and:
☐ The fee is per child, with the same percentage applied for each child.
☐ The fee is per child, and a discounted percentage is applied for two or more
children.
☐ The fee is per child up to a maximum per family.
☐ No additional percentage is charged after certain number of children.
☐ The fee is per family.
☐ The contribution schedule varies because it is set locally/regionally (as indicated in

42

1.2.1). Describe:
☐ Other. Describe:
3.4.3

Does the Lead Agency use other factors in addition to income and family size to determine each
family’s co-payment (658E(c)(3)(B))? Reminder – Lead Agencies may NOT use cost of care or
amount of subsidy payment in determining co-payments (98.45(k)(2)).
☐ No
☐ Yes. If yes, check and describe those additional factors below.
☐ Number of hours the child is in care. Describe:
☐ Lower co-

payments for a higher quality of care, as defined by the
state/territory.

Describe:
☐ Other. Describe:
3.4.4

The Lead Agency may waive contributions/co-payments from families whose incomes are at or
below the poverty level for a family of the same size (98.45(k)) or for families who are receiving
or needing to receive protective services, as determined for purposes of CCDF eligibility, or who
meet other criteria established by the Lead Agency (98.45(k)(4)). Does the Lead Agency waive
family contributions/co-payments for any of the following? Check all that apply.
☐ No, the Lead Agency does not waive family contributions/co-payments.
☐ Yes, the Lead Agency waives family contributions/co-payments for families with an
income at or below the Federal poverty level for families of the same size.
☐ Yes, the Lead Agency waives family contributions/co-payments for families who are
receiving or needing to receive protective services, as determined by the Lead Agency
for purposes of CCDF eligibility. Describe the policy and provide the policy
citation.
.
☐ Yes, the Lead Agency waives family contributions/co-payments for other criteria
established by the Lead Agency. Describe the policy and provide the policy
citation.
.

4

Ensure Equal Access to Child Care for Low-Income Children
A core purpose of CCDF is to promote parental choice and to empower working parents to make
their own decisions regarding the child care services that best suit their family’s needs. Parents
have the option to choose from center-based care, family child care or care provided in the
child’s own home In supporting parental choice, the Lead Agencies must ensure that families
receiving CCDF funding have the opportunity to choose from the full range of eligible child care
settings and must provide families with equal access to child care that is comparable to that of
non-CCDF families. Lead Agencies must employ strategies to increase the supply and to improve
the quality of child care services, especially in underserved areas. This section addresses

43

strategies that the Lead Agency uses to promote parental choice, ensure equal access, and
increase the supply of child care. Note: In responding to questions in this section, the Office of
Child Care (OCC) recognizes that each State/Territory identifies and defines its own categories
and types of care. The OCC does not expect States/Territories to change their definitions to fit
the CCDF-defined categories and types of care. For these questions, provide responses that
closely match the CCDF categories of care.
4.1

Parental Choice in Relation to Certificates, Grants, or Contracts
The parent(s) of each eligible child who receive(s) or is offered financial assistance for child care
services has the option of either receiving a child care certificate or, if available, enrolling his or
her child with a provider that has a grant or contract for providing child care services
(658E(c)(2)(A); 98.30(a)). Even if a parent chooses to enroll his or her child with a provider who
has a grant or contract, the parent will select the provider, to the extent practicable. If a parent
chooses to use a certificate, the Lead Agency shall provide information to the parent on the
range of provider options, including care by sectarian providers and relatives. Lead Agencies
must require providers chosen by families to meet health and safety standards and has the
option to require higher standards of quality. Lead agencies are reminded that any policies and
procedures should not restrict parental access to any type of care or provider (e.g. center care,
home care, in-home care, for-profit provider, non-profit provider or faith-based provider, etc.)
(98.15 (a)(5)).

4.1.1

Describe the child care certificate, including when it is issued to parents (before or after the
parent has selected a provider) and what information is included on the certificate (98.16 (q)).

4.1.2

Describe how the parent is informed that the child certificate allows the option to choose from
a variety of child care categories, such as private, not-for-profit, faith-based providers; centers;
FCC homes; or in-home providers (658E(c)(2)(A)(i); 658P(2); 658Q). Check all that apply.
☐ Certificate that provides information about the choice of providers
☐ Certificate that provides information about the quality of providers
☐ Certificate not linked to a specific provider, so parents can choose any provider
☐ Consumer education materials on choosing child care
☐ Referral to child care resource and referral agencies
☐ Co-located resource and referral in eligibility offices
☐ Verbal communication at the time of the application ☐
Community outreach, workshops, or other in-person activities ☐
Other. Describe:

4.1.3

Child care services

available through grants or contracts.

a) In addition to offering certificates, does the Lead Agency provide child care services through
grants or contracts for child care slots (658A(b)(1))? Note: Do not check “yes” if every
provider is simply required to sign an agreement to be paid in the certificate program.
☐ No. If no, skip to 4.1.4.

44

☐ Yes, in some jurisdictions but not
many jurisdictions use grants or contracts

statewide. If yes, describe how
for child care slots.

☐ Yes, statewide. If yes, describe:
i. How the Lead Agency ensures that parents who enroll with a
has a grant or contract have choices when selecting a provider:
of child care services available through grants or contracts:

provider who
ii. The type(s)

iii.

The entities that receive contracts (e.g., shared services alliances, CCR&R
agencies, FCC networks, community-based agencies, child care
providers):

iv.

The process for accessing grants or

v.

How rates for contracted slots are set through grants and
contracts:

vi.

How the Lead Agency determines
for increasing supply and/or

contracts:

which entities to contract with
improving quality:

vii. If contracts are offered statewide and/or

locally:

b) Will the Lead Agency use grants or contracts for child care services to increase the supply of
specific types of care? Check all that apply.
☐ Programs to serve children with disabilities
☐ Programs to serve infants and toddlers
☐ Programs to serve school-age children
☐ Programs to serve children needing non-traditional hour care
☐ Programs to serve children experiencing homelessness
☐ Programs to serve children in underserved areas
☐ Programs that serve children with diverse linguistic or cultural backgrounds ☐
Programs that serve specific geographic areas
☐ Urban
☐
☐ Other

Rural

c) Will the Lead Agency use grants or contracts for child care services to increase the quality of
specific types of care? Check all that apply.
☐ Programs to serve children with disabilities
☐ Programs to serve infants and toddlers
☐ Programs to serve school-age children
☐ Programs to serve children needing non-traditional hour care
☐ Programs to serve children experiencing homelessness
☐ Programs to serve children in underserved areas

45

☐ Programs that serve children with diverse linguistic or cultural backgrounds ☐
Programs that serve specific geographic areas
☐ Urban
☐
☐ Other

Rural

4.1.4

Certify by describing the Lead Agency’s procedures for ensuring that parents have unlimited
access to their children whenever their children are in the care of a provider who receives CCDF
funds (658E(c)(2)(B); 98.16(t)).

4.1.5

The Lead Agency must allow for in-home care (i.e., care provided in the child’s own home) but
may limit its use (98.16(i)(2)). Will the Lead Agency limit the use of in-home care in any way?
☐ No
☐ Yes. If checked, what limits will the Lead Agency set on the use of in-home care? Check
all that apply.
☐ Restricted based on minimum the number of children in the care of the provider to
meet the Fair Labor Standards Act (minimum wage) requirements. Describe:
☐ Restricted based on the provider meeting a minimum age requirement. (A relative
provider must be at least 18 years of age based on the definition of eligible child
care provider (98.2). Describe:
☐ Restricted based on the hours of care (i.e., certain number of hours, non-traditional
work hours). Describe:
☐ Restricted to care by relatives. Describe:
☐ Restricted to care for children with special needs or a medical condition. Describe:
☐ Restricted to in-home providers that meet additional health and safety
requirements beyond those required by CCDF. Describe:
☐ Other.
Describe:

4.2

Assessing Market Rates and Child Care Costs
Lead Agencies have the option to conduct a statistically valid and reliable (1) market rate survey
(MRS) reflecting variations in the price to parents of child care services by geographic area, type
of provider, and age of child and/or (2) an alternative methodology, such as a cost estimation
model (658E(c)(4)(B)). A cost estimation model estimates the cost of care by incorporating both
data and assumptions to model what expected costs would be incurred by child care providers
and parents under different cost scenarios. Another approach would be a cost study that
collects cost data at the facility or program level to measure the costs (or inputs used) to deliver
child care services. The MRS or alternative methodology must be developed and conducted no
earlier than 2 years before the date of submission of the Plan.
Note: Any Lead Agency considering using an alternative methodology, instead of a market rate
survey, is required to submit a description of its proposed approach to its ACF Regional Child
Care Program Office for pre-approval in advance of the Plan submittal (see
https://www.acf.hhs.gov/occ/resource/ccdf-acf-pi-2016-08). Advance approval is not required if

46

the Lead Agency plans to implement both a market rate survey and an alternative methodology.
In its request for ACF pre-approval, a Lead Agency must:
•

Provide an overview of the Lead Agency’s proposed approach (e.g., cost estimation model,
cost study/survey, etc.), including a description of data sources.

•

Describe how the Lead Agency will consult with the State's Early Childhood Advisory Council
or similar coordinating body, local child care program administrators, local child care
resource and referral agencies, organizations representing child care caregivers, teachers
and directors, and other appropriate entities prior to conducting the identified alternative
methodology.

4.2.1

•

Describe how the alternative methodology will use methods that are statistically valid and
reliable and will yield accurate results. For example, if using a survey, describe how the Lead
Agency will ensure a representative sample and promote an adequate response rate. If
using a cost estimation model, describe how the Lead Agency will validate the assumptions
in the model.

•

If the proposed alternative methodology includes an analysis of costs (e.g., cost estimation
model or cost study/survey), describe how the alternative methodology will account for key
factors that impact the cost of providing care—such as: staff salaries and benefits, training
and professional development, curricula and supplies, group size and ratios, enrollment
levels, licensing requirements, quality level, facility size, and other factors.

•

Describe how the alternative methodology will provide complete information that captures
the universe of providers in the child care market.

•

Describe how the alternative methodology will reflect variations by provider type, age of
children, geographic location and quality.

•

Describe how the alternative methodology will use current, up-to-date data.
Describe the estimated reporting burden and cost to conduct the approach.

Please identify the methodology(ies) used below to assess child care prices and/or costs.
☐ MRS
☐ Alternative
methodology.
Both. Describe:

4.2.2

Describe: ☐

Prior to developing and conducting the MRS or alternative methodology, the Lead Agency is
required to consult with the (1) State Advisory Council or similar coordinating body, local child
care program administrators, local child care resource and referral agencies, and other
appropriate entities and (2) organizations representing caregivers, teachers, and directors
(98.45 (e)).
Describe how the Lead Agency consulted with the:
a) State Advisory Council or similar coordinating body:
b) Local child care program administrators:
c) Local child care resource and referral agencies:

47

d) Organizations representing caregivers, teachers, and directors:
e) Other. Describe:
4.2.3

Describe how the market rate survey is statistically valid and reliable. To be considered valid and
reliable, the MRS must represent the child care market, provide complete and current data, use
rigorous data collection procedures, reflect geographic variations, and analyze data in a manner
that captures other relevant differences. For example, market rate surveys can use
administrative data, such as child care resource and referral data, if they are representative of
the market. If an alternative methodology, such as cost modeling, is used, demonstrate that the
methodology used reliable methods.

4.2.4

Describe how the market rate survey or alternative methodology reflects variations in the price
or cost of child care services by:
a) Geographic area (e.g., statewide or local
markets). Describe:
b) Type of provider. Describe:
c) Age of child. Describe:
d) Describe any other key variations
examined by the market rate
or alternative methodology, such
quality level.

4.2.5

survey
as

After conducting the market rate survey or alternative methodology, the Lead Agency must
prepare a detailed report containing the results of the MRS or alternative methodology. The
detailed report must also include the estimated cost of care (including any relevant variation by
geographic location, category of provider, or age of child) necessary to support (1) child care
providers’ implementation of the health, safety, quality, and staffing requirements and (2)
higher quality care, as defined by the Lead Agency using a quality rating and improvement
system or other system of quality indicators, at each level of quality. For States without a QRIS,
the States may use other quality indicators (e.g. provider status related to accreditation, pre-K
standards, Head Start performance standards, or State defined quality measures.)
The Lead Agency must make the report with these results widely available no later than 30 days
after completion of the report, including posting the results on the Lead Agency website. The
Lead Agency must describe in the detailed report how the Lead Agency took into consideration
the views and comments of the public.
Describe how the Lead Agency made the results of the market rate survey or alternative
methodology report widely available to the public (98.45(f)(1)) by responding to the questions
below.
a) Date of completion of the market rate survey or
(must be no earlier than July 1, 2016, and no later than
b) Date the report containing
days after the completion of

alternative methodology
July 1, 2018).

results was made widely available—no later than 30
the report.

48

c) Describe how the Lead Agency made the
widely available and provide the link where the

detailed report containing results
report is posted.

d) Describe how the Lead Agency considered stakeholder views and
comments in the detailed report.
4.3

Setting Payment Rates
The Lead Agency must set CCDF subsidy payment rates, in accordance with the results of the
current MRS or alternative methodology, at a level to ensure equal access for eligible families to
child care services that are comparable with those provided to families not receiving CCDF
funds. The Lead Agency must re-evaluate its payment rates at least every 3 years.

4.3.1

Provide the base payment rates and percentiles (based on the most recent MRS) for the
following categories below. Percentiles are not required if the Lead Agency conducted an
alternative methodology only (with pre-approval from ACF), but must be reported if the Lead
Agency conducted an MRS alone or in combination with an alternative methodology. The ages
and types of care listed below are meant to provide a snapshot of the categories on which rates
can be based and are not intended to be comprehensive of all categories that might exist or to
reflect the terms used by the Lead Agency for particular ages. Please use the most populous
geographic region (area serving highest number of CCDF children) to report base payment rates
below, if they are not statewide. Note: If the Lead Agency obtained approval to conduct an
alternative methodology, then reporting of percentiles is not required.
a)

Infant (6 months), full-time licensed center care in the most populous geographic region
Rate

per

$ unit of time (e.g. daily, weekly, monthly) Percentile of most

recent MRS:
b)

Infant (6 months), full-time licensed FCC home in the most populous geographic region
Rate

per

$ unit of time (e.g. daily, weekly, monthly) Percentile of most

recent MRS:
c)

Toddler (18 months), full-time licensed center care in the most populous geographic
region
Rate $

per

unit of time (e.g. daily, weekly, monthly) Percentile

of most recent MRS:
d)

Toddler (18 months), full-time licensed FCC home in the most populous geographic
region
Rate $

per

unit of time (e.g. daily, weekly, monthly) Percentile

of most recent MRS:
e)

Preschooler (4 years), full-time licensed center care in the most populous geographic
region
per

49

Rate $ unit of time (e.g. daily, weekly, monthly) Percentile of most recent
MRS:
f)

Preschooler (4 years), full-time licensed FCC home in the most populous geographic
region
Rate $

per

unit of time (e.g. daily, weekly, monthly) Percentile

of most recent MRS:
g)

School-age child (6 years), full-time licensed center care in most populous geographic
region
Rate $

per

unit of time (e.g. daily, weekly, monthly, etc.) Percentile

of most recent MRS:
h)

School-age child (6 years), full-time licensed FCC home in the most populous geographic
region
Rate $

per

unit of time (e.g. daily, weekly, monthly) Percentile

of most recent MRS:

4.3.2

i)

Describe how part-time and full-time care were defined and calculated.

j)

Provide the effective date of the current
based on most recent MRS as reported in

k)

Identify the most populous area of the state used to complete the responses above.

l)

Provide the citation or link, if available, to the payment rates.

m)

If the payment rates are not set by the Lead Agency for the entire
state/territory, describe how many jurisdictions set their own payment
(98.16(i)(3)).

payment rates (i.e., date of last update
4.2.5).

rates

Lead Agencies can choose to establish tiered rates, differential rates, or add-ons on top of their
base rates as a way to increase payment rates for targeted needs (i.e., a higher rate for special
needs children as both an incentive for providers to serve children with special needs and as a
way to cover the higher costs to the provider to provide care for special needs children).
Check and describe the types of tiered reimbursement or differential rates, if any, the Lead
Agency has chosen to implement. In the description of any tiered rates or add-ons, at a
minimum, indicate the process and basis used for determining the tiered rates, including if the
rates were based on the MRS and/or an alternative methodology, and the amount of the rate.
Check all that apply.
☐ Differential rate for non-traditional hours. Describe:
☐ Differential rate for children with special needs, as defined by the state/territory. Describe:

50

☐ Differential rate for infants and toddlers. Note: Do not check if the Lead Agency has a
different base rate for infants/toddlers with no separate bonus or add-on. Describe:
☐ Differential rate for school-age programs. Note: Do not check if the Lead Agency has a
different base rate for school-age children with no separate bonus or add-on. Describe:
☐ Differential rate for higher quality, as defined by
Describe:
☐ Other differential rates or tiered rates. Describe:
☐ Tiered or differential rates are not implemented.
4.4
4.4.1

the state/territory.

Summary of Facts Used to Determine That Payment Rates Are Sufficient to Ensure Equal Access
Lead Agencies must certify that CCDF payment rates are sufficient to ensure equal access for
eligible families to child care services comparable to those provided by families not receiving
CCDF assistance (98.16(a)). Certify that payment rates reported in 4.3.1 are sufficient to ensure
equal access by providing the following summary of facts (98.45(b)):
a) Describe how a choice of the full range of providers eligible to receive CCDF is made
available; the extent to which eligible child care providers participate in the CCDF system;
and any barriers to participation, including barriers related to payment rates and practices.
b) Describe how payment rates are adequate and have been established based on the most
recent MRS or alternative methodology. Note: Per the preamble (81 FR 67512), in
instances where a MRS or alternative methodology
costs have increased, Lead Agencies must raise their rates
c) Describe how base payment rates
and staffing requirements under

indicates that prices or
as a result.

enable providers to meet health, safety, quality,
CCDF.

d) Describe how the Lead Agency took the cost of higher quality into account, including how
payment rates for higher-quality care, as defined by the Lead Agency using a QRIS or other
system of quality indicators, relate to the estimated cost of care at each level of quality.
Note: For States without a QRIS, the States may use other quality indicators (e.g. provider
status related to accreditation,
pre-K standards, Head Start performance standards,
or State defined quality
measures).
e) How will the Lead Agency ensure that the family contribution/co-payment, based on a
sliding-fee scale, is affordable and is not a barrier to families receiving CCDF funds (98.16
(k))? Check all that apply.
☐ Limit the maximum co-payment per family. Describe:
☐ Limit the combined amount of co-payment for all children to a
family income. List the percentage of the co-payment limit and

percentage of
describe.

☐ Minimize the abrupt termination of assistance before a family can afford the full cost
of care (“the
cliff effect”) as part of the graduated phase-out of assistance
discussed in

51

3.1.7. Describe:
☐ Other. Describe:
f)

To support parental choice and equal access to the full range of child care options, does
the Lead Agency choose the option to allow providers to charge families additional
amounts above the required co-payment in instances where the provider’s price exceeds
the subsidy payment (98.45(b)(5))?
☐ No
☐ Yes. If yes:
i. Provide the rationale for the Lead Agency’s policy to allow providers to charge
families additional amounts above the required co-payment, including a
demonstration of how the policy promotes affordability and access for families.
ii. Provide
data (including data on the size and frequency of such
amounts)
on the extent to which CCDF providers charge
additional amounts to families. iii. Describe the Lead Agency’s analysis of
the interaction between the additional amounts charged to families with the
required family co-payment and the ability of current subsidy payment rates to
provide access to
care without additional fees.

g) Describe how Lead
access to a range

Agencies’ payment practices described in 4.5 support equal
of providers.

h) Describe how and on what factors the Lead Agency differentiates payment rates. Check all
that apply.
☐Geographic area. Describe:
☐Type of provider. Describe:
☐Age of child. Describe:
☐Quality level.
Describe: ☐Other.
Describe:
i)

Describe any additional facts that the Lead Agency considered in determining its payment
rates to ensure equal access. Check all that apply and describe:
☐ Payment rates are set
recent MRS. Describe:
☐ Based on the
equal access.

at the 75th percentile benchmark or higher of the most
approved alternative methodology, payment rates ensure
Describe:

☐ Feedback from parents, including parent surveys or parental complaints. Describe:
☐ Other. Describe:

52

4.5

Payment Practices and the Timeliness of Payments
Lead Agencies are required to demonstrate that they have established payment practices
applicable to all CCDF child care providers that include ensuring the timeliness of payments by
either (1) paying prospectively prior to the delivery of services or (2) paying within no more than
21 calendar days of the receipt of a complete invoice for services. To the extent practicable, the
Lead Agency must also support the fixed costs of providing child care services by delinking
provider payments from a child’s occasional absences by (1) paying based on a child’s
enrollment rather than attendance, (2) providing full payment if a child attends at least 85
percent of the authorized time, (3) providing full payment if a child is absent for 5 or fewer days
in a month, or (4) using an alternative approach for which the Lead Agency provides a
justification in its Plan (658E(c)(2)(S)(ii); 98.45(l)(2)).
Lead Agencies are required to use CCDF payment practices that reflect generally accepted
payment practices of child care providers who serve children who do not receive CCDF-funded
assistance. Unless a Lead Agency is able to demonstrate that the following policies are not
generally accepted in its particular state, territory, or service area or among particular
categories or types of providers, Lead Agencies must (1) pay providers based on established
part-time or full-time rates rather than paying for hours of service or smaller increments of time
and (2) pay for reasonable, mandatory registration fees that the provider charges to
privatepaying parents (658E(c)(2)(S); 98.45(l)(3)).
In addition, there are certain other generally accepted payment practices that are required.
Lead Agencies are required to ensure that child care providers receive payment for any services
in accordance with a payment agreement or an authorization for services, ensure that child care
providers receive prompt notice of changes to a family’s eligibility status that could impact
payment, and establish timely appeal and resolution processes for any payment inaccuracies
and disputes (98.45(l)(4) through (6); 658E(c)(2)(S)(ii); 98.45(l)(4); 98.45(l)(5); 98.45(l)(6)).

4.5.1

Certify by identifying and describing the payment practices below that the Lead Agency has
implemented for all CCDF child care providers.
a) Ensure the timeliness of payments by either (Lead Agency to implement at least one of the
following):
☐ Paying
or

prospectively prior to the delivery of services. Describe the policy
procedure.

☐ Paying within no more than 21 calendar days
invoice for services. Describe the policy or

of the receipt of a complete
procedure.

b) To the extent practicable, support the fixed costs of providing child care services by
delinking provider payments from a child’s occasional absences by: (Note: The Lead Agency
is to choose at least one of the following):
☐ Paying
the policy

based on a child’s enrollment rather than attendance. Describe
or procedure.

☐ Providing full payment if a child
authorized time. Describe the

attends at least 85 percent of the
policy or procedure.

53

☐ Providing full payment if
Describe the policy or

a child is absent for five or fewer days in a month.
procedure.

☐ Use an alternative approach for which the Lead Agency provides a justification in its
Plan. If chosen, please describe the policy or procedure and the Lead Agency’s
justification for this approach.
c) The Lead Agency’s payment practices reflect generally accepted payment practices of child
care providers who serve children who do not receive CCDF subsidies. These payment
practices must include the following two practices unless the Lead Agency provides
evidence that such practices are not generally accepted in its state (658E(c)(2)(S);
98.45(l)(3)).
i. Paying on a part-time or full-time basis (rather than paying for hours of service or
smaller increments of time). Describe the policy or procedure and include a
definition of the time increments (e.g., part time, full-time). ii.
Paying for
reasonable mandatory registration fees that the provider charges
to privatepaying parents. Describe the policy or procedure.
d) The Lead Agency ensures that providers are paid in accordance with a written payment
agreement or an authorization for services that includes, at a minimum, information
regarding provider payment policies, including rates,
schedules, any fees charged
to providers, and the dispute-resolution process.
Describe:
e) The Lead Agency provides prompt notice to providers regarding any changes to the family’s
eligibility status that could impact payments, and such a notice is sent no
later
than the day that the Lead Agency becomes aware that such a change will
occur.
Describe:
f)

The Lead Agency
inaccuracies and

has a timely appeal and resolution process for payment
disputes. Describe:

g) Other. Describe:
4.5.2

Do payment practices vary across regions, counties, and/or geographic areas?
☐ No, the practices do not vary across areas.
☐ Yes, the practices vary across areas. Describe:

4.6

Supply-Building Strategies to Meet the Needs of Certain Populations
Lead Agencies are required to develop and implement strategies to increase the supply of and
to improve the quality of child care services for children in underserved areas; infants and
toddlers; children with disabilities, as defined by the Lead Agency; and children who receive
care during non-traditional hours. Lead Agencies are also required to identify shortages in the
supply of high-quality providers (658 E(c)(2)(M); 98.16 (x)).

4.6.1

Lead Agencies must identify shortages in the supply of high-quality child care providers. List the
data sources used to identify shortages, and describe the method of tracking progress to
support equal access and parental choice.

54

☐ In licensed family child care.
☐ In licensed child care centers.
☐ Other.
4.6.2

Describe what method(s) is used to increase supply and to improve quality for the following.
a) Children in underserved areas. Check and describe all that apply.
☐ Grants and contracts (as discussed in 4.1.3). Describe:
☐ Family child care networks. Describe:
☐ Start-up funding. Describe:
☐ Technical assistance support. Describe:
☐ Recruitment of providers. Describe:
☐ Tiered payment rates (as discussed in 4.3.2). Describe:
☐ Support for improving business
paid sick leave, and shared services.

practices, such as management training,
Describe:

☐ Accreditation supports. Describe:
☐ Child care health consultation. Describe:
☐ Mental health consultation. Describe
☐ Other. Describe

b) Infants and toddlers. Check and describe all that apply.
☐ Grants and contracts (as discussed in 4.1.3). Describe:
☐ Family child care networks. Describe:
☐ Start-up funding. Describe:
☐ Technical assistance support. Describe:
☐ Recruitment of providers. Describe:
☐ Tiered payment rates (as discussed in 4.3.2). Describe:
☐ Support for improving business
paid sick leave, and shared services.

practices, such as management training,
Describe:

☐ Accreditation supports. Describe:
☐ Child care health consultation. Describe:
☐ Mental health
Describe: ☐ Other.

consultation.
Describe:

c) Children with disabilities. Check and describe all that apply.
☐ Grants and contracts (as discussed in 4.1.3). Describe:
☐ Family child care networks. Describe:

55

☐ Start-up funding. Describe:
☐ Technical assistance support. Describe:
☐ Recruitment of providers. Describe:
☐ Tiered payment rates (as discussed in 4.3.2). Describe:
☐ Support for improving business
paid sick leave, and shared services.

practices, such as management training,
Describe:

☐ Accreditation supports. Describe:
☐ Child care health consultation. Describe:
☐ Mental health
Describe: ☐

consultation.
Other. Describe:

d) Children who receive care during non-traditional hours. Check and describe all that apply.
☐ Grants and contracts (as discussed in 4.1.3). Describe:
☐ Family child care networks. Describe:
☐ Start-up funding. Describe:
☐ Technical assistance support. Describe:
☐ Recruitment of providers. Describe:
☐ Tiered payment rates (as discussed in 4.3.2). Describe:
☐ Support for improving business
paid sick leave, and shared services.

practices, such as management training,
Describe:

☐ Accreditation supports. Describe:
☐ Child care health consultation. Describe:
☐ Mental health
Describe: ☐
e)

consultation.
Other. Describe:

Other. Check and describe all that apply:
☐ Grants and contracts (as discussed in 4.1.3). Describe:
☐ Family child care networks. Describe:
☐ Start-up funding. Describe:
☐ Technical assistance support. Describe:
☐ Recruitment of providers. Describe:
☐ Tiered payment rates (as discussed in 4.3.2). Describe
☐ Support for improving business
training, paid sick leave, and shared
Accreditation supports. Describe: ☐ Child
Describe ☐ Mental health consultation.

practices, such as management
services. Describe: ☐
care health consultation.
Describe:

☐ Other. Describe:

56

4.6.3

Lead Agencies must prioritize investments for increasing access to high-quality child care and
development services for children of families in areas that have significant concentrations of
poverty and unemployment and do not currently have sufficient numbers of such programs.
a) How does the
and

Lead Agency define areas with significant concentrations of poverty
unemployment?

b) Describe how the Lead Agency prioritizes increasing access to high-quality child care and
development services for children of families in areas that have significant
concentrations of poverty and unemployment and that do not have highquality
programs.

5
Establish Standards and Monitoring Processes to Ensure the Health and
Safety of Child Care Settings
Lead Agencies are required to certify that there are in effect licensing requirements applicable
to all child care services in the state/territory, which supports the health and safety of all
children in child care. States and territories may allow licensing exemptions. Lead Agencies
must describe how such licensing exemptions do not endanger the health, safety, and
development of CCDF children in license-exempt care (98.16 (u)).
Lead Agencies also must certify that there are in effect health and safety standards and training
requirements applicable to providers serving CCDF children whether they are licensed or
licenseexempt. These health and safety requirements must be appropriate to the provider
setting and age of the children served, must include specific topics and training on those topics,
and are subject to monitoring and enforcement procedures.
The organization of this section begins with a description of the licensing system for providers of
child care in a state or territory and then moves to focus on CCDF providers who may be
licensed, exempt from licensing, or relative providers. The section then covers the health and
safety requirements and training, and monitoring and enforcement procedures to ensure that
CCDF child care providers comply with licensing and health and safety requirements (98.16(n)).
Lead Agencies are also asked to describe any exemptions for relative providers (98.16(l)). This
section also addresses group size limits; child-staff ratios; and required qualifications for
caregivers, teachers, and directors (98.16(m)) serving CCDF children.
Note: When responding to questions in this section, the OCC recognizes that each
State/Territory identifies and defines its own categories of care. The OCC does not expect
States/Territories to change their definitions to fit the CCDF-defined categories of care. For
these questions, provide responses that closely match the CCDF categories of care.
Criminal background check requirements are included in this section (98.16(o)). It is important
to note that these requirements are in effect for all child care staff members who are licensed,
regulated, or registered under state/territory law and all other providers eligible to deliver CCDF
services.

57

5.1

Licensing Requirements
Each state/territory must certify it has in effect licensing requirements applicable to all child
care services provided within the state/territory (not restricted to providers receiving CCDF
funds) and provide a detailed description of these requirements and how the requirements are
effectively enforced (658E(c)(2)(F)). If any types of providers are exempt from licensing
requirements, the state/territory must describe those exemptions and describe how these
exemptions do not endanger the health, safety, or development of children. The descriptions
must also include any exemptions based on provider category, type, or setting; length of day;
and providers not subject to licensing because the number of children served falls below a Lead
Agency-defined threshold and any other exemption to licensing requirements (658E(c)(2)(F);
98.16(u); 98.40(a)(2)(iv)).

5.1.1

To certify, describe the licensing requirements applicable to child care services provided within
the state/territory by identifying the providers in your state/territory that are subject to
licensing using the CCDF categories listed below? Check all that apply and provide a citation to
the licensing rule.
☐ Center-based child care. Describe and provide the citation:
☐ Family child care. Describe and provide the citation:
☐ In-home
(if

care (care in the child’s own home). Describe and provide the citation
applicable):

5.1.2

Describe if any providers are exempted from licensing requirements and how such exemptions
do not endanger the health, safety, and development of children (658E (c)(2)(F); 98.40(a)(2)).
Note: Additional information about exemptions related to CCDF providers is required in 5.1.3.

5.1.3

Check and describe any CCDF providers in your state/territory who are exempt from licensing
(98.40(2)(i) through (iv))? Describe exemptions based on length of day, threshold on the number
of children in care, ages of children in care or any other factors applicable to the exemption
☐ Center-based child care. If checked, describe the exemptions.
☐ Family child care. If checked, describe the exemptions.
☐ In-home care. If checked, describe the exemptions.

5.2
5.2.1

Health and Safety Standards and Requirements for CCDF Providers
Standards on ratios, group sizes, and qualifications for CCDF providers.
Lead Agencies are required to establish child care standards for providers receiving CCDF funds,
appropriate to the type of child care setting involved, that address appropriate ratios between
the number of children and number of providers in terms of the age of the children, group size
limits for specific age populations, and the required qualifications for providers (658E(c)(2)(H);
98.41(d); 98.16(m)). For ease of responding, this section is organized by CCDF categories of care,

58

licensing status, and age categories. Respondents should map their Lead Agency categories of
care to the CCDF categories.
a) Licensed CCDF center-based care
1. Infant
•
How does the State/territory define infant (age range):
•
Ratio:
•
Group size:
•
Teacher/caregiver qualifications:
2. Toddler
•
•
•
•

How does the State/territory define toddler (age range):
Ratio:
Group size:
Teacher/caregiver qualifications:

3. Preschool
•
•
•
•

How does the State/territory define preschool (age range):
Ratio:
Group size:
Teacher/caregiver qualifications:

4. School-age
•
•
•
•

How does the State/territory define school-age (age range):
Ratio:
Group size:
Teacher/caregiver qualifications:

5. If any of the responses above are different for
describe which requirements apply to exempt
6. Describe, if
classrooms with

exempt child care centers,
centers.

applicable, ratios, group sizes, and qualifications for
mixed age groups.

7. Describe the director qualifications for licensed
including any variations based on the ages of

CCDF center-based care,
children in care.

b) Licensed CCDF family child care provider
1. Infant
•
•
•

How does the State/territory define infant (age range):
Ratio:
Group size:

59

•

Teacher/caregiver qualifications:

2. Toddler
•
•
•
•

How does the State/territory define toddler (age range):
Ratio:
Group size:
Teacher/caregiver qualifications:

3. Preschool
•
•
•
•

How does the State/territory define preschool (age range):
Ratio:
Group size:
Teacher/caregiver qualifications:

4. School-age
•
•
•
•

How does the State/territory define school-age (age range):
Ratio:
Group size:
Teacher/caregiver qualifications:

5. If any of the responses above are different for exempt
please describe which requirements apply to exempt

family child care homes,
homes.

c) In-home CCDF providers:
1. Describe the ratios.
2. Describe the group size.
3. Describe the maximum number of children that are allowed in the home at any one
time.
4. Describe if the state/territory requires related children to be included in the childtoprovider ratio or group

size.

5. Describe any limits on infants and toddlers or additional school-age children that are
allowed for part of the day.
5.2.2

Health and safety standards for CCDF programs.
States and territories must establish health and safety standards for programs (e.g., child care
centers, family child care homes, etc.) serving children receiving CCDF assistance relating to the
topics listed below, as appropriate to the provider setting and age of the children served
(98.41(a)). This requirement is applicable to all child care programs receiving CCDF funds
regardless of licensing status (i.e., licensed or license-exempt). The only exception to this
requirement is for providers who are caring for their own relatives because Lead Agencies have

60

the option of exempting relatives from some or all CCDF health and safety requirements
(98.42(c)).
a) To certify, describe how the following health and safety standards for programs serving
children receiving CCDF assistance are defined and established on the required topics
(98.16(l)). Note – This question is different from the health and safety training
requirements, which are addressed in question 5.2.3.
1. Prevention and control of infectious diseases (including immunization)
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
and licensing status (i.e., licensed, license-

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt programs.
(i.e., center, FCC, in-home)
exempt).
children
this

2. Prevention of sudden infant death syndrome and the use of safe-sleep practices
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
and licensing status (i.e., licensed, license-

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, in-home)
exempt).
children
this

3. Administration of medication, consistent with standards for parental consent
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
and licensing status (i.e., licensed, license-

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, in-home)
exempt).
children
this

4. Prevention of and response to emergencies due to food and allergic reactions

61

•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
and licensing status (i.e., licensed, license-

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, in-home)
exempt).

62

Describe any variations based on the age of the
children in care.
Describe if relatives are exempt from
this requirement.
5. Building and physical premises safety, including the identification of and protection
from hazards that can cause bodily injury, such as electrical hazards, bodies of
water, and vehicular traffic
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).
children
this

6. Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).
children
this

7. Emergency preparedness and response planning for emergencies resulting from a
natural disaster or a human-caused event (such as violence at a child care facility),
within the meaning of those terms under section 602(a)(1) of the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195a(a)(1)). Emergency
preparedness and response planning (at the child care provider level) must also
include procedures for evacuation; relocation; shelter-in-place and lockdown; staff
and volunteer training and practice drills; communications and reunification with
families; continuity of operations; and accommodations for infants and toddlers,
children with disabilities, and children with chronic medical conditions.
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).

63

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

children
this

8. Handling and storage of hazardous materials and the appropriate disposal of
biocontaminants
• Provide a brief summary of how this standard is
the standard, content covered, practices required,
• List all citations
and

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.

• Describe any variations by category of care
home) and licensing status (i.e., licensed,

(i.e., center, FCC, inlicense-exempt).

• Describe any variations based on the age of the
in care. Describe if relatives are exempt from this
requirement.

children

9. Precautions in transporting children (if applicable)
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).
children
this

10. Pediatric first aid and cardiopulmonary resuscitation (CPR) certification
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).
children
this

11. Recognition and reporting of child abuse and neglect
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.

64

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the age of the
in care.
Describe if relatives are exempt from
requirement.

(i.e., center, FCC, inlicense-exempt).
children
this

b) Does the Lead Agency include any of the following optional standards?
☐ No, if no, skip to 5.2.3.
☐ Yes, if yes provide the information related to the optional standards addressed.
1. Nutrition
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,
List all citations
and

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the ages of the
children in care.
Describe if relatives are
from this requirement.

(i.e., center, FCC, inlicense-exempt).
exempt

2. Access to physical activity
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the ages of the
children in care.
Describe if relatives are exempt from this requirement.

•

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).

3. Caring for children with special needs
•

Provide a brief summary of how this standard is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the ages of the
children in care.
Describe if relatives are
from this requirement.

defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).
exempt

65

4. Any other areas determined necessary to promote child
protect children’s health and safety (98.44(b)(1)(iii)).

5.2.3

•

Provide a brief summary of how the standard(s) is
the standard, content covered, practices required,

•

List all citations
and

•

Describe any variations by category of care
home) and licensing status (i.e., licensed,

•

Describe any variations based on the ages of the
children in care.
Describe if relatives are
from this requirement.

development or to
Describe:
defined (i.e., what is
etc.)

for these requirements, including those for licensed
licenseexempt providers.
(i.e., center, FCC, inlicense-exempt).
exempt

Health and safety training for CCDF providers on required topics.
Lead Agencies are required to have minimum pre-service or orientation training requirements
(to be completed within 3 months), as appropriate to the provider setting and the age of
children served, that address the health and safety topics described in 5.2.2, and child
development. Lead Agencies must also have ongoing training requirements on the health and
safety topics for caregivers, teachers, and directors of children receiving CCDF funds
(658E(c)(2)(I)(i); 98.44(b)(1)(iii)). The state/territory must describe its requirements for
preservice or orientation training and ongoing training. These trainings should be part of a
broader systematic approach and progression of professional development (as described in
section 6) within a state/territory. Lead Agencies have flexibility in determining the number of
training hours to require, but they may consult with Caring for our Children Basics for best
practices and the recommended time needed to address these training requirements.

Pre-Service or Orientation Training Requirements
a) Provide the minimum number of pre-service or orientation training hours on health and
safety topics for caregivers, teachers, and directors required for the following:
1. Licensed child care
centers:
2. Licensed FCC
homes:
3. In-home care:
4. Variations for exempt provider
settings:
b) Provide the length of time that
to being hired (must be 3 months
c) Explain any differences in
on the ages of the children

providers have to complete trainings subsequent
or fewer).
pre-service or orientation training requirements based
served.

66

d) Describe how the training is offered, including any variations in delivery (e.g. across
standards, in rural
areas, etc.) Note: There is no federal requirement on how a
training must be
delivered.
e) Identify below the pre-service or orientation training requirements for each topic
(98.41(a)(1)(i through xi)).
1. Prevention and control of infectious diseases (including immunizations)
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

2. Prevention of sudden infant death syndrome and the use of safe-sleep practices
•

Provide the citation(s) for this training
citations for both licensed and license-

requirement, including
exempt providers.

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed to
care for children unsupervised? ☐ Yes
☐ No
•

Does the state/territory require that this training topic be completed
before caregivers, teachers, and directors in license-exempt CCDF programs
are allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

3. Administration of medication, consistent with standards for parental consent
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed to
care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No

67

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

4. Prevention and response to emergencies due to food and allergic reactions
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

5. Building and physical premises safety, including the identification of and protection
from hazards, bodies of water, and vehicular traffic
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

6. Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

68

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

7. Emergency preparedness and response planning for emergencies resulting from a
natural disaster or a human-caused event
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed to
care for children unsupervised? ☐ Yes

requirement, including citations
providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised?

69

☐ Yes
☐ No
•

Describe if relatives are exempt from this requirement.

8. Handling and storage of hazardous materials and the appropriate disposal of bio
contaminants
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

9. Appropriate precautions in transporting children (if applicable)
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

10. Pediatric first aid and CPR certification
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No

70

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

11. Recognition and reporting of child abuse and neglect
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

12. Child development (98.44(b)(1)(iii))
•

Provide the citation(s) for this training
citations for both licensed and license-

•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed
to care for children unsupervised? ☐ Yes

requirement, including
exempt providers.

☐ No
•

Does the state/territory require that this training topic be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are
allowed to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

13. Describe other training
activities, caring for children
•

requirements, such as nutrition, physical
with special needs, etc.

Provide the citation(s) for other
citations for both licensed and license-

training requirements, including
exempt providers.

71

•

Does the state/territory require that this training topic(s) be completed before
caregivers, teachers, and directors in licensed CCDF programs are allowed to care
for children unsupervised? ☐ Yes
☐ No

•

Does the state/territory require that this training topic(s) be completed before
caregivers, teachers, and directors in license-exempt CCDF programs are allowed
to care for children unsupervised? ☐ Yes
☐ No

•

Describe if relatives are exempt from this requirement.

Ongoing Training Requirements
5.2.4

Provide the minimum number of annual training hours on health and safety topics for
caregivers, teachers, and directors required for the following.
a) Licensed child care centers:
b) Licensed FCC homes:
c) In-home care:
d) Variations for exempt provider
settings:

5.2.5

Describe the ongoing health and safety training for CCDF providers by category of care (i.e.,
center, FCC, in-home) and licensing status (i.e., licensed, license-exempt).
1. Prevention and control of infectious diseases (including immunizations)
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

2. Prevention of sudden infant death syndrome and the use of safe-sleep practices
•

Provide the citation(s) for this training
for both licensed and license-exempt

requirement, including citations
providers.

72

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs?
☐ Annually.
☐ Other. Describe

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

3. Administration of medication, consistent with standards for parental consent
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

4. Prevention and response to emergencies due to food and allergic reactions
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

5. Building and physical premises safety, including the identification of and protection
from hazards, bodies of water, and vehicular traffic
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe

73

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs?

74

☐
Annually.
☐ Other. Describe
6. Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

7. Emergency preparedness and response planning for emergencies resulting from a
natural disaster or a human-caused event
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

8. Handling and storage of hazardous materials and the appropriate disposal of
biocontaminants
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

75

9. Appropriate precautions in transporting children (if applicable)
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

10. Pediatric first aid and CPR certification
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

11. Recognition and reporting of child abuse and neglect
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirement, including citations
providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

12. Child development (98.44(b)(1)(iii))
•

Provide the citation(s) for this training
for both licensed and license-exempt

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs?

requirement, including citations
providers.

76

☐
Annually.
☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

13. Describe other requirements,
for children with special needs,

such as nutrition, physical activities, caring
etc.

•

Provide the citation(s) for other training
citations for both licensed and license-

•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in licensed CCDF programs? ☐ Annually.

requirements,
including
exempt providers.

☐ Other. Describe
•

How often does the state/territory require that this training topic be completed
by caregivers, teachers, and directors in license-exempt CCDF programs? ☐
Annually.
☐ Other. Describe

5.3
5.3.1

Monitoring and Enforcement Policies and Practices for CCDF Providers
Enforcement of licensing and health and safety requirements
Lead agencies must certify that procedures are in effect to ensure that child care providers
caring for children receiving CCDF services comply with all applicable State and local health and
safety requirements, including those described in 98.41 (98.42(a)). This may include, but is not
limited to, any systems used to ensure that providers complete health and safety trainings, any
documentation required to be maintained by child care providers or any other monitoring
procedures to ensure compliance. Note: Inspection requirements are described starting in 5.3.2.
To certify, describe the procedures to ensure
applicable State and local health and safety

5.3.2

that CCDF providers comply with all
requirements.

Inspections for licensed CCDF providers.
Lead agencies must require licensing inspectors to perform inspections—with no fewer than
one pre-licensure inspection for compliance with health, safety, and fire standards—of each
child care provider and facility in the state/territory. Licensing inspectors are required to
perform no fewer than one annual, unannounced inspection of each licensed CCDF provider for
compliance with all child care licensing standards; it shall include an inspection for compliance
with health and safety (including, but not limited to, those requirements described in 98.41) and
fire standards; inspectors may inspect for compliance with all three standards—health, safety,
and fire—at the same time (658E(c)(2)(K)(i)(II); 98.16 (n); 98.42(b)(2)(i)).

77

Certify by responding to the questions below to describe your state/territory’s monitoring and
enforcement procedures to ensure that licensed child care providers comply with licensing
standards, including compliance with health and safety (including, but not limited to, those
requirements described in 98.41) and fire standards.
a) Licensed CCDF center-based child care
1. Describe your state/territory’s requirements for pre-licensure inspections of licensed
child care center providers for compliance with health, safety, and fire standards.
2. Describe your state/territory’s requirements
for annual, unannounced
inspections of licensed CCDF child care
center providers.
3. Identify the frequency of unannounced
inspections: ☐ Once a year
☐ More than once a year. Describe
4. Describe the monitoring procedures (including differential monitoring, if applicable)
and how the inspections ensure that child care center providers comply
with the applicable licensing standards, including health, safety, and fire
standards.
5. List the citation(s) for your
state/territory’s policies regarding inspections
for licensed CCDF center
providers
b) Licensed CCDF family child care home
1. Describe your state/territory’s requirements for pre-licensure inspections of licensed
family child care providers for compliance with health, safety, and fire standards.
2. Describe your state/territory’s requirements for at least
annual,
unannounced inspections of licensed CCDF family child
care providers.
3. Identify the frequency of unannounced
inspections: ☐ Once a year
☐ More than once a year. Describe
4. Describe the monitoring procedures (including differential monitoring, if applicable)
and how the inspections ensure that CCDF family child care providers comply with
the applicable licensing standards, including health, safety, and fire standards.
5. List the citation(s) for your
inspections for licensed CCDF family child

state/territory’s policies regarding
care providers

c) Licensed in-home CCDF child care
☐ N/A. In-home CCDF child care (care in the child’s own home) is not licensed in the
state/territory. Skip to 5.3.2 (d).
1. Describe your state/territory’s requirements for pre-licensure inspections of licensed
in-home child care providers for compliance with health, safety, and fire standards.
2. Describe your state/territory’s requirements for at least
unannounced inspections of licensed CCDF in-home child

annual,
care providers.

78

☐
3. Identify the frequency of unannounced inspections: ☐ Once a year
More than once a year. Describe
4. Describe the monitoring procedures (including differential monitoring, if applicable)
and how the inspections ensure that in-home CCDF child care providers comply with
the applicable licensing standards, including health, safety, and fire standards.
5. List the citation(s) for your
inspections for licensed in-home

state/territory’s policies regarding
CCDF providers

d) List the entity(ies) in your state/territory that is responsible for
pre-licensure inspections and unannounced inspections of licensed
providers.
5.3.3

conducting
CCDF

Inspections for license-exempt CCDF providers
The Lead Agency must have policies and practices that require licensing inspectors (or qualified
monitors designated by the Lead Agency) to perform an annual monitoring visit of each
licenseexempt CCDF provider for compliance with health, safety, and fire standards
(658E(c)(2)(K)(i)(IV); 98.42(b)(2)(ii)). The state/territory may determine if exempt relative
providers (as described in section (658P(6)(B)) do not need to meet this requirement. At a
minimum, the health and safety requirements to be inspected must address the standards listed
in 5.1.4 (98.41(a)). To certify, describe the policies and practices for the annual monitoring of:
a) License-exempt center-based CCDF providers, including if monitoring is announced or
unannounced, occurs more frequently than once per year, and if differential monitoring is
used.
Provide the citation(s) for this policy or procedure.
b) License-exempt family child care CCDF providers, including if monitoring is announced or
unannounced, occurs more frequently than once per year, and if differential monitoring is
used.
Provide the citation(s) for this policy or procedure.
c) License-exempt in-home CCDF providers, including if monitoring is announced or
unannounced, occurs more frequently than once per year, if relative care is exempt from
monitoring, and if differential monitoring is used.
Provide the citation(s) for this policy or procedure.
d) Lead Agencies have the option to develop alternate monitoring requirements for care
provided in the child’s home (98.42(b)(2)(iv)(B)). Does your state use alternate monitoring
procedures for monitoring in-home care?
☐ No
☐ Yes. If yes, describe:
e) List the entity(ies) in your state/territory that are responsible for conducting inspections of
license-exempt CCDF providers:

79

5.3.4

Licensing inspectors.
Lead Agencies will have policies and practices that ensure that individuals who are hired as
licensing inspectors (or qualified monitors designated by the Lead Agency) are qualified to
inspect child care providers and facilities and have received health and safety training
appropriate to the provider setting and age of the children served. Training shall include, but is
not limited to, those requirements described in 98.41(a)(1) and all aspects of the State’s
licensure requirements (658E(c)(2)(K)(i)(I); 98.42(b)(1-2)).
a) To certify, describe how the Lead Agency ensures that licensing inspectors (or qualified
monitors designated by the Lead Agency) are qualified to inspect child care facilities and
providers and that those inspectors have received training on health and safety
requirements that are
appropriate to the age of the children in care and
the type of provider setting
(98.42(b)(1-2)).
b) Provide the citation(s) for this policy or procedure.

5.3.5

The states and territories shall have policies and practices that require the ratio of licensing
inspectors to child care providers and facilities in the state/territory to be maintained at a level
sufficient to enable the state/territory to conduct effective inspections of child care providers
and facilities on a timely basis in accordance with federal, state, and local laws
(658E(c)(2)(K)(i)(III); 98.42(b)(3)).

a) To certify, describe the state/territory policies and practices regarding the ratio of
licensing inspectors to child care providers (i.e. number of inspectors per number of child
care providers) and facilities in the state/territory
and include how the ratio is
sufficient to conduct effective inspections on a
timely basis.
b) Provide the policy citation and state/territory ratio of licensing inspectors.
5.3.6

States and territories have the option to exempt relatives (defined in CCDF regulations as
grandparents, great-grandparents, siblings if living in a separate residence, aunts, and uncles
(98.42(c)) from inspection requirements. Note: This exception only applies if the individual cares
only for relative children. Does the state/territory exempt relatives from the inspection
requirements listed in 5.3.3?
☐ Yes, relatives are exempt from all inspection requirements. If the state/territory
exempts relatives from all inspection requirements, describe how the state ensures the
health and safety of children in relative care.
☐ Yes, relatives are exempt from some
inspection requirements. If the
state/territory exempts relatives from the inspection requirements, describe which
inspection requirements do not apply to relative providers (including which relatives
may be exempt) and how the State ensures the health and safety of children in relative
care.
☐ No, relatives are not exempt from inspection requirements.

80

☐
5.4

Criminal Background Checks
The CCDBG Act requires states and territories to have in effect requirements, policies and
procedures to conduct criminal background checks for all child care staff members (including
prospective staff members) of all child care programs that are 1) licensed, regulated, or
registered under state/territory law; or, 2) all other providers eligible to deliver CCDF services
(e.g., license-exempt CCDF eligible providers) (98.43(a)(1)(i)). Background check requirements
apply to any staff member who is employed by a child care provider for compensation, including

81

contract employees and self-employed individuals; whose activities involve the care or
supervision of children; or who has unsupervised access to children (98.43(2)). For FCC homes,
this requirement includes the caregiver and any other adults residing in the family child care
home who are age 18 or older (98.43(2)(ii)(C)). This requirement does not apply to individuals
who are related to all children for whom child care services are provided (98.43(2)(B)(ii)).
A criminal background check must include 8 specific components (98.43(2)(b)), which
encompass 3 in-state checks, 2 national checks, and 3 inter-state checks:
Components
1. Criminal registry or repository using fingerprints in the

In-State

National

Inter-State

x

current state of residency

2. Sex offender registry or repository check in the current

x

state of residency

3. Child abuse and neglect registry and database check in

x

the current state of residency

4. FBI fingerprint check
5. National Crime Information Center (NCIC) National Sex

x
x

Offender Registry (NSOR)

6. Criminal registry or repository in any other state

x

where the individual has resided in the past 5 years,
with the use of fingerprints being optional

7. Sex offender registry or repository in any other state

x

where the individual has resided in the past 5 years

8. Child abuse and neglect registry and database in any

x

other state where the individual has resided in the
past 5 years

In recognition of the significant challenges to implementing the Child Care and Development
Fund (CCDF) background check requirements, all States applied for and received extensions
through September 30, 2018. The Office of Child Care (OCC)/Administration for Children and
Families (ACF)/U. S. Department of Health and Human Services (HHS) is committed to granting
additional waivers of up to 2 years, in one year increments (i.e., potentially through September
30, 2020) if significant milestones for background check requirements are met.
In order to receive these time-limited waivers, states and territories will demonstrate that the
milestones are met by responding to questions 5.4.1 through 5.4.4 and then apply for the
timelimited waiver by completing the questions in Appendix A: Background Check Waiver
Request Form. By September 30, 2018, states and territories must have requirements, policies
and procedures for four specific background check components, and must be conducting those
checks for all new (prospective) child care staff, in accordance with 98.43 and 98.16(o):
•

The national FBI fingerprint check; and,

82

•

The three in-state background check provisions for the current state of residency:
o state criminal registry or repository using fingerprints;
o

state sex offender registry or repository check; and o state-based child
abuse and neglect registry and database.

All four components are required in order for the milestone to be considered met.
Components

New (Prospective) Staff

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

2. Sex offender registry or repository check
in the current state of residency

3. Child abuse and neglect registry and
database check in the current state of
residency

4. FBI fingerprint check

5. National Crime Information Center
(NCIC) National Sex Offender Registry
(NSOR)

6. Criminal registry or repository in any
other state where the individual has
resided in the past 5 years, with the
use of fingerprints being optional

•
•
•

Possible time limited waiver
for current (existing) staff

Milestone/prerequisite
for waiver

Possible time limited waiver
for current (existing) staff

Milestone/prerequisite
for waiver

Possible time limited waiver
for current (existing) staff

Milestone/prerequisite
for waiver

Possible time limited waiver
for current (existing) staff

Possible time limited waiver for:
establishing requirements and procedures; and/or
conducting checks on all new (prospective) staff; and/or
conducting checks on current (existing) staff

•
•
•

Possible time limited waiver for:
establishing requirements and procedures; and/or
conducting checks on all new (prospective) staff; and/or
Conducting checks on current (existing) staff

•
•
•

Possible time limited waiver for:
establishing requirements and procedures; and/or
conducting checks on all new (prospective) staff; and/or
conducting checks on current (existing) staff

8. Child abuse and neglect registry and
database in any other state where the
individual has resided in the past 5
years

Milestone/prerequisite
for waiver

Possible time limited waiver for:
• establishing requirements and procedures; and/or
• conducting checks on all new (prospective) staff; and/or
• conducting checks on current (existing) staff

7. Sex offender registry or repository in any
other state where the individual has
resided in the past 5 years

Existing Staff

Use the questions below to describe the status of the requirements, policies, and procedures
for background check requirements. These descriptions must provide sufficient information to
demonstrate how the milestone prerequisites are being met and the status of the other

83

components that are not part of the milestone. Lead Agencies have the opportunity to submit a
waiver request in Appendix A: Background Check Waiver Request Form for components not
included in the milestones. Approval of these waiver requests will be subject to verification that
the milestone components have been met as part of the CCDF Plan review and approval
process.

In-state Background Check Requirements
5.4.1

In-State Criminal Registry or Repository Checks with Fingerprints Requirements (98.43(b)(3)(i)).
Note: A search of a general public facing judicial website does not satisfy this requirement. This
check is required in addition to the national FBI criminal history check (5.4.4 below) to mitigate
any gaps that may exist between the two sources.
a) Milestone #1 Prerequisite for New (Prospective) Child Care Staff: Describe the
requirements, policies and procedures for the search of the in-state criminal registry or
repository, with the use of fingerprints required in the state where the staff member
resides.
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o). Describe and provide citations

ii. Describe how these requirements, policies
and procedures apply to
all other providers eligible to deliver CCDF services (e.g., license-exempt CCDF
eligible providers), in accordance with 98.43(a)(1)(i) and 98.16(o). Describe and
provide citations
b) Has the search of the in-state criminal registry or repository, with the use of fingerprints,
been conducted for all current (existing) child care staff?
☐ Yes. Describe, if applicable, any differences in the
staff than what was described for new staff and provide

process for existing
citations.

☐ No. (Waiver request allowed. See Appendix A). Describe the status of conducting
the search of the state criminal registry or repository, using fingerprints for current
(existing) child care staff including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF services (e.g. license-exempt CCDF
eligible providers).

•

Key challenges to fully implementing this requirements
• Strategies used to address these challenges
Describe:
5.4.2

In-State Sex Offender Registry Requirements (98.43(b)(3)(B)(ii)).

84

Note: This check must be completed in addition to the national NCIC sex offender registry check
(5.4.5 below) to mitigate any gaps that may exist between the two sources. Use of fingerprints
is optional to conduct this check.
a) Milestone #2 Prerequisite for New (Prospective) Child Care Staff: Describe the
requirements, policies, and procedures for the search of the in-state sex offender registry.
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o). Describe and provide citations.

ii. Describe how these requirements, policies and
procedures apply to all
other providers eligible to deliver CCDF services (e.g., license-exempt CCDF
eligible providers), in accordance with 98.43(a)(1)(i) and 98.16(o). Describe and
provide citations.
b) Has the search of the in-state sex offender registry been conducted for all current (existing)
child care staff?
☐ Yes. Describe, if applicable, any differences in the
staff than what was described for new staff and provide

process for existing
citations.

☐ No. (Waiver request allowed. See Appendix A). Describe the status of conducting
the search of the state sex offender registry for current (existing) child care staff
including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF (e.g., license-exempt CCDF eligible
providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:
5.4.3

In-State Child Abuse and Neglect Registry Requirements (98.43(b)(3)(B)(iii)).
Note: This is a name-based search.
a) Milestone #3 Prerequisite for New (Prospective) Child Care Staff: Describe the
requirements, policies, and procedures for the search of the in-state child abuse and
neglect registry.
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o). Describe and provide citations.

85

ii. Describe how these requirements, policies and procedures apply to all other
providers eligible to deliver CCDF services (e.g., license-exempt CCDF eligible
providers), in accordance with 98.43(a)(1)(i) and 98.16(o). Describe and provide
citations.
b) Has the search of the in-state child abuse and neglect registry been conducted for all
current (existing) child care staff?
☐ Yes. Describe, if applicable, any differences in the
staff than what was described for new staff and provide

process for existing
citations.

☐ No. (Waiver request allowed. See Appendix A.) Describe the status of conducting
the search of the state child abuse and neglect registry for current (existing) child
care staff including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF (e.g., license-exempt CCDF eligible
providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:

National Background Check Requirements
5.4.4

National FBI Criminal Fingerprint Search Requirements (98.43(b)(1)).
Note: The in-state (5.4.1 above) and the inter-state (5.4.6 below) criminal history check must be
completed in addition to the FBI fingerprint check because there could be state crimes that do
not appear in the national repository. Also note that an FBI fingerprint check satisfies the
requirement to perform an interstate check of another state’s criminal history records
repository if the responding state (where the child care staff member has resided within the
past five years) participates in the National Fingerprint File program (CCDF-ACF-PIQ-2017-01).
a) Milestone #4 Prerequisite for New (Prospective) Child Care Staff. Describe the
requirements, policies, and procedures for the search of the national FBI fingerprint check.
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o). Describe and provide citations.

ii. Describe how these requirements, policies and
procedures apply to all
other providers eligible to deliver CCDF services (e.g., license-exempt CCDF
eligible providers), in accordance with 98.43(a)(1)(i) and 98.16(o). Describe and
provide citations.
b) For all current (existing) child care staff, has the FBI criminal fingerprint check been
conducted?

86

☐ Yes. Describe, if applicable, any differences in the
staff than what was described for new staff and provide

process for existing
citations.

☐ No (Waiver request allowed. See Appendix A.) Describe the status of conducting the
FBI fingerprint check for current (existing) child care staff including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF

•
•

Key challenges to fully implementing this requirement
Strategies used to address these challenges

Describe:
5.4.5

National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) Search
Requirements (98.43(b)(2)).
Note: This is a name-based search. Searching general public facing sex offender registries does
not satisfy this requirement. This national check must be required in addition to the in-state
(5.4.2 above) or inter-state (5.4.7 below) sex offender registry check requirements. This check
must be performed by law enforcement.
a) Has the National Crime Information Center (NCIC) National Sex Offender Registry (NSOR)
check been put in place for all new (prospective) child care staff?
☐ Yes. If yes,
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o). Describe and provide citations.

ii. Describe how these requirements, policies and procedures apply to all other
providers eligible to deliver CCDF services (e.g., license-exempt CCDF eligible
providers), in accordance with 98.43(a)(1)(i) and 98.16(o). Describe and provide
citations.
☐ No (Waiver request allowed. See Appendix A). Describe the status of conducting the
the National Crime Information Center (NCIC) National Sex Offender Registry
(NSOR) for new (prospective) child care staff including:
•

Efforts to date to complete the requirement for all new child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all new child care staff in other
programs eligible to receive CCDF (e.g., license-exempt CCDF eligible providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:

87

b) Has the National Crime Information Center (NCIC) National Sex Offender Registry (NSOR)
check been put in place for all current (existing) child care staff?
☐ Yes. Describe, if applicable, any differences in the
staff than what was described for new staff and provide

process for existing
citations.

☐ No (Waiver request allowed. See Appendix A.) Describe the status of conducting the
National Crime Information Center (NCIC) National Sex Offender Registry (NSOR)
check for current (existing) child care staff including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF (e.g., license-exempt CCDF eligible
providers).

•

Key challenges to fully implementing this requirement
•

Strategies used to address these challenges

Describe:

Inter-state Background Check Requirements
Checking a potential employee’s history in any state other than that in which the provider’s
services are provided qualifies as an inter-state check, per the definition of required criminal
background checks in 98.43(b)(3). For example, an inter-state check would include situations
when child care staff members work in one state and live in another state. The statute and
regulations require background checks in the state where the staff member resides and each
state where the staff member resided during the previous 5 years. Background checks in the
state where the staff member is employed may be advisable, but are not strictly required.
5.4.6

Interstate Criminal Registry or Repository Check Requirement (including in any other state
where the individual has resided in the past 5 years). (98.43 (b)(3)(i)).
Note: It is optional to use a fingerprint to conduct this check. Searching a general public facing
judicial website does not satisfy this requirement. This check must be completed in addition to
the national FBI history check (5.4.4 above) to mitigate any gaps that may exist between the
two sources (unless the responding state participates in the National Fingerprint File program).
a) Has the interstate criminal registry or repository check been put in place for all new
(prospective) child care staff?
☐ Yes. If yes,
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o).

ii. Describe how
these requirements, policies and procedures apply to all
other providers eligible to deliver CCDF services (e.g., license-exempt CCDF
eligible providers), in accordance with 98.43(a)(1)(i) and
98.16(o).

88

☐ No. (Waiver request allowed. See Appendix A.). Describe the status of conducting
the the interstate criminal registry or repository check for new (prospective) child
care staff including:
•

Efforts to date to complete the requirement for all new child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all new child care staff in other
programs eligible to receive CCDF (e.g., license-exempt CCDF eligible providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:
b) Has the interstate criminal registry or repository check been put in place for all current
(existing) child care staff?

89

☐
Yes. Describe, if applicable, any differences in the process for existing staff than
what was described for new staff and provide citations.
☐ No. (Waiver request allowed. See Appendix A.) Describe the status of conducting
the interstate criminal registry or repository check for current (existing) child care
staff including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in other
programs eligible to receive CCDF (e.g., license-exempt CCDF eligible providers)

•

Key challenges to fully implementing this requirement
•
Strategies used to address these challenges
Describe:
5.4.7

Interstate Sex Offender Registry or Repository Check Requirements (including in any state
where the individual has resided in the past 5 years). (98.43 (b)(3)(ii)).
Note: It is optional to use a fingerprint to conduct this check. This check must be completed in
addition to the National Crime Information Center (NCIC) National Sex Offender Registry (NSOR)
(5.4.5 above) to mitigate any gaps that may exist between the two sources.
a) Has the interstate sex offender registry or repository check been put in place for all new
(prospective) child care staff?
☐ Yes. If yes,
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o).

ii. Describe how
these requirements, policies and procedures apply to all
other providers eligible to deliver CCDF services (e.g., license-exempt CCDF
eligible providers), in accordance with 98.43(a)(1)(i) and
98.16(o).
☐ No. (Waiver request allowed. See Appendix A.) Describe the status of conducting
the interstate sex offender registry or repository check for new (prospective) child
care staff including:
•

Efforts to date to complete the requirement for all new child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all new child care staff in other
programs eligible to receive CCDF (e.g., license-exempt CCDF eligible providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:

90

☐
b) Has the interstate sex offender registry or repository check been put in place for all current
(existing) child care staff?
Yes. Describe, if applicable, any differences in the process for existing staff than
what was described for new staff and provide citations.
☐ No. (Waiver request allowed. See Appendix A.) Describe the status of conducting
the interstate sex offender registry or repository check for current (existing) child
care staff including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF (e.g., license-exempt CCDF eligible
providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:
5.4.8

Interstate Child Abuse and Neglect Check Registry Requirements (98.43 (b)(3)(iii)).
Note: This is a name-based search.
a) Has the interstate child abuse and neglect check been put in place for all new (prospective)
child care staff?
☐ Yes. If yes,
i.

Describe how these requirements, policies and procedures apply to all licensed,
regulated, or registered child care providers, in accordance with 98.43(a)(1)(i)
and 98.16(o).

ii. Describe how
these requirements, policies and procedures apply to all
other providers eligible to deliver CCDF services (e.g., license-exempt CCDF
eligible providers), in accordance with 98.43(a)(1)(i) and
98.16(o).
☐ No. (Waiver request allowed. See Appendix A.) Describe the
status of
conducting the interstate child abuse and neglect check for new (prospective) child
care staff including:
•

Efforts to date to complete the requirement for all new child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all new child care staff in other
programs eligible to receive CCDF (e.g., license-exempt CCDF eligible providers)

•

Key challenges to fully implementing this requirement
• Strategies used to address these challenges
Describe:

91

☐
b) Has the interstate child abuse and neglect check been put in place for all current (existing)
child care staff?
☐ Yes. Describe, if applicable, any differences in the
staff than what was described for new staff and provide

process for existing
citations.

No. (Waiver request allowed. See Appendix A.) Describe the status of conducting
the interstate child abuse and neglect check for current (existing) child care staff
including:
•

Efforts to date to complete the requirement for all existing child care staff in
licensed, regulated, or registered programs

•

Efforts to date to complete the requirement for all existing child care staff in
other programs eligible to receive CCDF (e.g., license-exempt CCDF eligible
providers)

•

Key challenges to fully implementing this requirement
•
Strategies used to address these challenges
Describe:

Provisional Employment
The CCDF Final Rule states a child care provider must submit a request to the appropriate
state/territory agency for a criminal background check for each child care staff member,
including prospective staff members, prior to the date an individual becomes a child care staff
member and at least once every 5 years thereafter (98.43(d)(1) and (2). A prospective child care
staff member may not begin work until one of the following results have been returned as
satisfactory: either the FBI fingerprint check or the search of the state/territory criminal registry
or repository using fingerprints in the state/territory where the staff member resides. The child
care staff member must be supervised at all times pending completion of all the background
check components (98.43(d)(4)).
Note: In recognition of the concerns and feedback OCC received related to the provisional hire
provision of the CCDF Final Rule, OCC will allow states and territories to request time-limited
waiver extensions for the provisional hire provision. State/territories may submit a waiver
request to allow additional time to meet the requirements related to provisional hires (see
Appendix A). A state/territory may receive a waiver from this requirement only when:
1. the state requires the provider to submit the background check requests before the
staff person begins working; and
2. the staff member, pending the results of the elements of the background check, is
supervised at all times by an individual who has completed the background check.
5.4.9

Describe the state/territory requirements related to prospective child care staff members using
the checkboxes below (Waiver request allowed. See Appendix A). Check all that apply.

92

☐
☐ The state/territory allows prospective staff members to begin work on a provisional
basis (if supervised at all times) after completing and receiving satisfactory results
on either the FBI fingerprint check or a fingerprint check of the state/territory
criminal registry or repository in the state where the child care staff member
resides. Describe and include a citation:
☐ The state/territory allows prospective
staff members to begin work on a
provisional basis (if supervised at all times) after the request has been submitted,
but before receiving satisfactory results on either the FBI fingerprint check or a
fingerprint

93

check of the state/territory criminal registry or repository in the state where the
child care staff member resides. Note: A waiver request is allowed for this provision
(see Appendix A). Describe and include a citation:
☐ Other. Describe
5.4.10 The state/territory must conduct the background checks as quickly as possible and shall not
exceed 45 days after the child care provider submitted the request. The state/territory shall
provide the results of the background check in a statement that indicates whether the staff
member is eligible or ineligible, without revealing specific disqualifying information. If the staff
member is ineligible, the state/territory will provide information about each disqualifying crime
to the staff member.
Describe the requirements, policies, and procedures in place to respond as expeditiously as
possible to other states’, territories’, and tribes’ requests for background check results to
accommodate the 45-day timeframe,
including any agencies/entities responsible
for responding to requests from other states
(98.43(a)(1)(iii)).
5.4.11 Child care staff members cannot be employed by a child care provider receiving CCDF subsidy
funds if they refuse a background check, make materially false statements in connection with
the background check, or are registered or required to be registered on the state or National
Sex Offender Registry. Potential staff members also cannot be employed by a provider receiving
CCDF funds if they have been convicted of: a felony consisting of murder, child abuse or neglect,
crimes against children, spousal abuse, crimes involving rape or sexual assault, kidnapping,
arson, physical assault or battery, or—subject to an individual review (at the state/territory’s
option)—a drug-related offense committed during the preceding 5 years; a violent
misdemeanor committed as an adult against a child, including the following crimes—child
abuse, child endangerment, or sexual assault; or a misdemeanor involving child pornography
(98.43(c)(1)).
Note: The Lead Agency may not publicly release the results of individual background checks. It
may release aggregated data by crime as long as the data do not include personally identifiable
information (98.43(e)(2)(iii)).
Does the state/territory disqualify child care staff members based on their conviction for other
crimes not specifically listed in 98.43(c)(i)?
☐ No
☐ Yes. Describe other disqualifying crimes and provide citation:
5.4.12 The state/territory has a process for a child care staff member to appeal the the results of his or
her background check to challenge the accuracy or completeness of the criminal background
report, as detailed in 98.43(e)(3). Describe how the Lead Agency ensures the privacy of
background checks and provides opportunities for applicants to appeal the results of
background checks. In addition, describe whether the state/territory has a review process for

94

individuals disqualified due to a felony drug offense to determine if that individual is still eligible
for employment (98.43(e)(2–4)).
5.4.13 The state/territory may not charge fees that exceed the actual costs of processing applications
and administering a criminal background check (98.43(f)). Describe how the state/territory
ensures that fees charged for completing the background checks do not exceed the actual cost
of processing and administration, regardless of whether they are conducted by the
state/territory or a third-party
vendor or contractor. Lead Agencies can report that no
fees are charged if applicable
(98.43(f)).
5.4.14 Federal requirements do not address background check requirements for relative providers who
receive CCDF; therefore, states have the flexibility to decide which background check
requirements relative providers must meet, as defined by CCDF in 98.2 under eligible child care
provider. Note: This exception only applies if the individual cares only for relative children. Does
the state/territory exempt relatives from background checks?
☐ No, relatives are not exempt from background check requirements. ☐
Yes, relatives are exempt from all background check requirements.
☐ Yes, relatives are exempt from some background check requirements. If the state/territory
exempts relatives from some background check
requirements, describe which
background check requirements do not apply to
relative providers.

6

Recruit and Retain a Qualified and Effective Child Care Workforce
This section covers the state or territory framework for training, professional development, and
post-secondary education (98.44(a)); provides a description of strategies used to strengthen
the business practices of child care providers (98.16(z)); and addresses early learning and
developmental guidelines.
States and territories are required to describe their framework for training, professional
development, and post-secondary education for caregivers, teachers, and directors, including
those working in school-age care (98.44(a)). This framework is part of a broader systematic
approach building on health and safety training (as described in section 5) within a
state/territory. States and territories must incorporate their knowledge and application of
health and safety standards, early learning guidelines, responses to challenging behavior, and
the engagement of families. States and territories are required to establish a progression of
professional development opportunities to improve the knowledge and skills of CCDF providers
(658E(c)(2)(G)). To the extent practicable, professional development should be appropriate to
work with a population of children of different ages, English-language learners, children with
disabilities, and Native Americans (98.44(b)(2)(iv)). Training and professional development is
one of the options that states and territories have for investing their CCDF quality funds
(658G(b)(1)).

6.1 Professional Development Framework
6.1.1

Each state or territory must describe their professional development framework for training,
professional development, and post-secondary education for caregivers, teachers and directors,

95

which is developed in consultation with the State Advisory Council on Early Childhood Education
and Care or similar coordinating body. The framework should include these components: (1)
professional standards and competencies, (2) career pathways, (3) advisory structures, (4)
articulation, (5) workforce information, and (6) financing (98.44(a)(3)). Flexibility is provided on
the strategies, breadth, and depth with which states and territories will develop and implement
their framework.
a) Describe how the state/territory’s framework for training and professional development
addresses the following required elements:
•
•
•
•
•
•

State/territory professional standards and competencies. Describe:
Career pathways. Describe:
Advisory structure. Describe:
Articulation. Describe:
Workforce information. Describe:
Financing. Describe:

b) The following are optional elements, or elements that should be implemented to the
extent practicable, in the training and professional development framework.
☐ Continuing education unit
development to the extent

trainings and credit-bearing professional
practicable. Describe:

☐ Engagement of training and professional development providers, including higher
education, in aligning training and educational opportunities with the
state/territory’s framework. Describe:
☐ Other. Describe:
6.1.2

Describe how the state/territory developed its professional development framework in
consultation with the State Advisory Council on Early Childhood Education and Care (if
applicable) or similar coordinating body if there is no SAC that addresses the professional
development, training, and education of child care providers and staff.

6.1.3

Describe how the framework improves the quality, diversity, stability, and retention of
caregivers, teachers, and directors (98.44(a)(7)).

6.2 Training and Professional Development Requirements
The Lead Agency must describe how its established health and safety requirements for
preservice or orientation training and ongoing professional development requirements—as
described in Section 5 for caregivers, teachers, and directors in CCDF programs —align, to the
extent practicable, with the state/territory professional development framework. These
requirements must be designed to enable child care providers to promote the social, emotional,
physical, and cognitive development of children and to improve the knowledge and skills of the
child care workforce. Such requirements shall be applicable to child care providers caring for
children receiving CCDF funds across the entire age span, from birth through age 12

96

(658E(c)(2)(G)). Ongoing training and professional development should be accessible and
appropriate to the setting and age of the children served (98.44(b)(2)).
6.2.1

Describe how the state/territory incorporates the knowledge and application of its early
learning and developmental guidelines (where applicable); its health and safety standards (as
described in section 5); and social-emotional/behavioral and early childhood mental health
intervention models, which can include positive behavior intervention and support models (as
described in section 2) in the training and professional development framework (98.44(b)).

6.2.2

Describe how the state/territory’s training and professional development are accessible to
providers supported through Indian tribes or tribal organizations receiving CCDF funds (as
applicable) (98.44(b)(2)(vi)).

6.2.3

States/territories are required to facilitate participation of child care providers with limited
English proficiency and disabilities in the subsidy system (98.16 (dd)). Describe how the
state/territory will recruit and facilitate the participation of providers:
a)

with limited English proficiency.

b)

who have disabilities.

6.2.4

Describe how the state/territory’s training and professional development requirements are
appropriate, to the extent practicable, for child care providers who care for children receiving
child care subsidies, including children of different age groups (such as specialized credentials
for providers who care for infants and/or school-age children); English-language learners;
children with developmental delays and disabilities; and Native Americans, including Indians
and Native Hawaiians (98.44(b)(2)(iii–iv)).

6.2.5

The Lead Agency must provide training and technical assistance to providers and appropriate
Lead Agency (or designated entity) staff on identifying and serving children and families
experiencing homelessness (658E(c)(3)(B)(i)).
a) Describe the state/territory’s training and TA efforts for providers in identifying and serving
children and their families experiencing homelessness (relates to question 3.2.2).
b) Describe the state/territory’s training and TA efforts for Lead Agency (or designated entity)
staff in identifying and serving children and their families experiencing homelessness
(connects to question 3.2.2).

6.2.6

States and territories are required to describe effective internal controls that are in place to
ensure program integrity and accountability (98.68(a)). Describe how the state/territory ensures
that all providers for children receiving CCDF funds are informed and trained regarding CCDF
requirements and integrity (98.68(a)(3)). Check all that apply.
☐ Issue policy change notices
☐ Issue new policy manual
☐ Staff training

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☐ Orientations
☐ Onsite training
☐ Online training
☐ Regular check-ins to monitor the implementation of CCDF policies. Describe the type of
check-ins, including the frequency.
☐ Other. Describe:
6.2.7

Lead Agencies must develop and implement strategies to strengthen the business practices of
child care providers to expand the supply and to improve the quality of child care services
(98.16 (z)). Describe the state/territory’s strategies to strengthen providers’ business practices,
which can include training and/or TA efforts.
a) Describe the strategies that the state/territory is developing and
implementing for training and TA.
b) Check the topics addressed in the state/territory’s strategies. Check all that apply.
☐ Fiscal management
☐ Budgeting
☐ Recordkeeping
☐ Hiring, developing, and retaining qualified staff
☐ Risk management
☐ Community relationships
☐ Marketing and public relations
☐ Parent-provider communications, including who delivers the training, education,
and/or
technical
assistance ☐ Other. Describe:

6.3 Early Learning and Developmental Guidelines
6.3.1

States and territories are required to develop, maintain, or implement early learning and
developmental guidelines that are appropriate for children in a forward progression from birth
to kindergarten entry (i.e., birth-to-three, three-to-five, birth-to-five), describing what children
should know and be able to do and covering the essential domains of early childhood
development. These early learning and developmental guidelines are to be used statewide and
territory-wide by child care providers and in the development and implementation of training
and professional development (658E(c)(2)(T)). The required essential domains for these
guidelines are cognition, including language arts and mathematics; social, emotional, and
physical development; and approaches toward learning (98.15(a)(9)). At the option of the
state/territory, early learning and developmental guidelines for out-of-school time may be
developed. Note: States and territories may use the quality set-aside, discussed in section 7, to
improve on the development or implementation of early learning and developmental
guidelines.

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a) Describe how the state/territory’s early learning and developmental guidelines are
researchbased,
developmentally appropriate, culturally and linguistically
appropriate, and aligned
with kindergarten entry.
b) Describe how the state/territory’s early learning and
guidelines are appropriate for all children from birth to

developmental
kindergarten entry.

c) Verify by checking the domains included in the state/territory’s early learning and
developmental guidelines. Responses for “other” are optional.
☐ Cognition, including language arts and mathematics
☐ Social development
☐ Emotional development
☐ Physical development
☐ Approaches toward learning ☐
Other. Describe:
d) Describe how the state/territory’s early learning and developmental guidelines are
implemented in
consultation with the educational agency and the State
Advisory Council or similar
coordinating body.
e) Describe how the state/territory’s early learning and
guidelines are updated and include the date first issued and/or
updates.
f)

If applicable, discuss the state process for the
continued improvement of state out-of-school time

developmental
the frequency of

adoption, implementation and
standards

g) Provide the Web link to the state/territory’s early learning and developmental guidelines.
6.3.2

CCDF funds cannot be used to develop or implement an assessment for children that:
•

Will be the primary or sole basis to determine a child care provider ineligible to participate
in the CCDF,

•

Will be used as the primary or sole basis to provide a reward or sanction for an individual
provider,

•

Will be used as the primary or sole method for assessing program effectiveness,
used to deny children eligibility to participate in the CCDF (658E(c)(2)(T)(ii)(I);
98.15(a)(2)).

Will be

Describe how the state/territory’s early learning and developmental guidelines are used.

7

Support Continuous Quality Improvement
Lead Agencies are required to reserve and use a portion of their Child Care and Development
Fund program expenditures for activities designed to improve the quality of child care services
and to increase parental options for and access to high-quality child care (98.53). The quality

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activities should be aligned with a statewide or territory-wide assessment of the state’s or
territory’s need to carry out such services and care.
States and territories are required to report on these quality improvement investments through
CCDF in three ways:
1. In the Plan, states and territories will describe the types of activities supported by quality
investments over the 3-year period (658G(b); 98.16(j)).
2. ACF will collect annual data on how much CCDF funding is spent on quality activities using
the expenditure report (ACF-696). This report will be used to determine compliance with
the required quality and infant and toddler spending requirements (658G(d)(1); 98.53(f)).
3. For each year of the Plan period, states and territories will submit a separate annual Quality
Progress Report that will include a description of activities to be funded by quality
expenditures and the measures used by the state/territory to evaluate its progress in
improving the quality of child care programs and services within the state/territory
(658G(d); 98.53(f)).
States and territories must fund efforts in at least one of the following 10 activities:
•
•

Supporting the training and professional development of the child care workforce
Improving on the development or implementation of early learning and developmental
guidelines

•

Developing, implementing, or enhancing a tiered quality rating and improvement
system for child care providers and services

•

Improving the supply and quality of child care programs and services for infants and
toddlers

•
•

Establishing or expanding a statewide system of child care resource and referral services
Supporting compliance with state/territory requirements for licensing, inspection,
monitoring, training, and health and safety (as described in section 5)

•

Evaluating the quality of child care programs in the state/territory, including evaluating
how programs positively impact children

•
•

Supporting providers in the voluntary pursuit of accreditation
Supporting the development or adoption of high-quality program standards related to
health, mental health, nutrition, physical activity, and physical development

•

Performing other activities to improve the quality of child care services, as long as
outcome measures relating to improved provider preparedness, child safety, child
wellbeing, or kindergarten entry are possible.

Throughout this Plan, states and territories will describe the types of quality improvement
activities where CCDF investments are being made, including but not limited to, quality setaside funds and will describe the measurable indicators of progress used to evaluate
state/territory progress in improving the quality of child care services for each expenditure
(98.53(f)). These activities can benefit infants and toddlers through school-age populations.

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This section covers the quality activities needs assessment, quality improvement activities and
indicators of progress for each of the activities undertaken in the state or territory.
7.1

Quality Activities Needs Assessment for Child Care Services

7.1.1

Lead Agencies must invest in quality activities based on an assessment of the state/territory’s
needs to carry out those activities. Lead Agencies have the flexibility to design an assessment of
their quality activities that best meet their needs, including how often they do the assessment.
Describe your state/territory assessment process, including the frequency of assessment
(658G(a)(1); 98.53(a)).

7.1.2

Describe the findings of the assessment and if any overarching goals for quality improvement
were identified.

7.2
7.2.1

Use of Quality Funds
Check the quality improvement activities in which the state/territory is investing.
☐ Supporting the training and professional development of the child care workforce If
checked, respond to section 7.3 and indicate which funds will be used for this activity.
Check all that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐ Developing, maintaining, or implementing early learning and developmental guidelines.
If checked, respond to section 6.3 and indicate which funds will be used for this activity.
Check all that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐ Developing, implementing, or enhancing a tiered quality rating and improvement
system. If checked, respond to 7.4 and indicate which funds will be used for this activity.
Check all that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐ Improving the supply and quality of child care services for infants and toddlers. If
checked, respond to 7.5 and indicate which funds will be used for this activity. Check all
that apply.
☐ CCDF funds
☐ Other funds. Describe:

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☐ Establishing or expanding a statewide system of CCR&R services, as discussed in 1.7. If
checked, respond to 7.6 and indicate which funds will be used for this activity. Check all
that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐

Facilitating compliance with state/territory requirements for inspection, monitoring,
training, and health and safety standards (as described in section 5). If checked, respond
to 7.7 and indicate which funds will be used for this activity. Check all that apply. ☐
CCDF funds
☐ Other funds. Describe:

☐ Evaluating and assessing the quality and effectiveness of child care services within the
state/territory. If checked, respond to 7.8 and indicate which funds will be used for this
activity. Check all that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐ Supporting accreditation. If checked, respond to 7.9 and indicate which funds will be
used for this activity. Check all that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐ Supporting state/territory or local efforts to develop high-quality program standards
relating to health, mental health, nutrition, physical activity, and physical development.
If checked, respond to 7.10 and indicate which funds will be used for this activity. Check
all that apply.
☐ CCDF funds
☐ Other funds. Describe:
☐ Other activities determined by the state/territory to improve the quality of child care
services and which measurement of outcomes related to improved provider
preparedness, child safety, child well-being, or kindergarten entry is possible. If
checked, respond to 7.11 and indicate which funds will be used for this activity. Check
all that apply.
☐ CCDF funds
☐ Other funds. Describe:

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7.3

Supporting Training and Professional Development of the Child Care Workforce with CCDF
Quality Funds
Lead Agencies can invest in the training, professional development, and post-secondary
education of the child care workforce as part of a progression of professional development
activities, such as those included at 98.44 in addition to the following (98.53(a)(1)).

7.3.1

Describe how the state/territory funds the training and professional development of the child
care workforce.
a) Check and describe which content is included in training and professional development
activities and describe who or how an entity is funded to address this topic. Check all that
apply.
☐ Promoting the social, emotional, physical, and cognitive development of children,
including those efforts related to nutrition and physical activity, using scientifically
based, developmentally appropriate, and age-appropriate strategies. Describe:
☐ Implementing behavior management strategies, including positive behavior
interventions and support models that promote positive social-emotional
development and early childhood mental health and that reduce challenging
behaviors, including a reduction in expulsions of preschool-age children from birth
to age five for such behaviors. (See also section 2.5.) Describe:
☐ Engaging parents and families in culturally and linguistically appropriate ways to
expand their knowledge, skills, and capacity to become meaningful partners in
supporting their children’s positive development. Describe:
☐ Implementing developmentally appropriate, culturally and linguistically responsive
instruction, and evidence-based curricula and designing learning environments that
are aligned with state/territory early learning and developmental standards.
Describe:
☐ Providing onsite or accessible comprehensive services for children and developing
community partnerships that promote families’ access to services that support their
children’s learning and development. Describe:
☐ Using data to guide program evaluation to ensure continuous improvement.
Describe:
☐ Caring for children of families in geographic areas with significant concentrations of
poverty and unemployment. Describe:
☐ Caring for and supporting the development of children with disabilities and
developmental delays. Describe:
☐ Supporting the positive development of school-age children. Describe:
Other. Describe:

☐

b) Check how the state/territory connects child care providers with available federal and
state/territory financial aid or other resources to pursue post-secondary education
relevant for the early childhood and school-age workforce. Check all that apply.

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☐ Coaches, mentors, consultants, or other specialists available to support access to
post-secondary training, including financial aid and academic counseling
☐ Statewide or territory-wide, coordinated, and easily accessible clearinghouse (i.e.,
an online calendar, a listing of opportunities) of relevant post-secondary education
opportunities
☐ Financial awards, such as scholarships, grants, loans, or reimbursement for
expenses, from the
state/territory to complete post-secondary
education ☐ Other.
Describe:
7.3.2

7.4

Describe the measureable
indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services within the state/territory and the data on the extent to which the state or territory
has met these measures.
Quality Rating and Improvement System (QRIS)
Lead Agencies may respond in this section based on other systems of quality improvement, even if
not called a QRIS, as long as the other quality improvement system contains the elements of a
QRIS. QRIS refers to a systematic framework for evaluating, improving, and communicating the
level of quality in early childhood programs and contains five key elements:
1.
2.
3.
4.
5.

7.4.1

Program standards
Supports to programs to improve quality
Financial incentives and supports
Quality assurance and monitoring
Outreach and consumer education

Does your state/territory have a quality rating and improvement system or other system of
quality improvement?
☐ No, but the state/territory is in the QRIS development phase. If no, skip to 7.5.1.
☐ No, the state/territory has no plans for QRIS development. If no, skip to 7.5.1.
☐ Yes, the state/territory has a QRIS operating statewide or territory-wide. Describe how
the QRIS is administered (e.g., statewide or locally or through CCR&R entities) and any
partners and provide a link, if available.
☐ Yes, the state/territory has a QRIS
initiative operating as a pilot-test in a few
localities or only a few levels but does not have a fully operating initiative on a
statewide or territory-wide basis. Provide a link, if available.
☐ Yes, the state/territory has another system of quality improvement.
If the response is yes to any of the above, describe the measureable indicators of
progress relevant to this use of funds that the state/territory will use to evaluate its
progress in improving the quality of child care programs and services within the
state/territory and the data on the extent to which the state or
territory
has met these measures.

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7.4.2

QRIS participation.
a) Are providers required to participate in the QRIS?
☐ Participation is voluntary.
☐ Participation is mandatory for providers serving children receiving a subsidy. If
checked, describe the relationship between QRIS participation and subsidy (e.g.,
minimum rating required, reimbursed at higher rates for achieving higher ratings,
participation at any level).
☐ Participation is required for all providers.
b) Which types of settings or distinctive approaches to early childhood education and care
participate in the state/territory’s QRIS? Check all that apply.
☐ Licensed child care centers
☐ Licensed family child care homes
☐ License-exempt providers
☐ Early Head Start programs
☐ Head Start programs
☐ State prekindergarten or preschool programs
☐ Local district-supported prekindergarten programs
☐ Programs serving infants and toddlers ☐
Programs serving school-age children
☐
Faith-based settings ☐
Tribally operated programs ☐
Other. Describe:

7.4.3

Support and assess the quality of child care providers.
The Lead Agency may invest in the development, implementation, or enhancement of a tiered
quality rating and improvement system for child care providers and services. Note: If a Lead
Agency decides to invest CCDF quality dollars in a QRIS, that agency can use the funding to assist
in meeting consumer education requirements (98.33). If the Lead Agency has a QRIS, respond to
questions 7.4.3 through 7.4.6.
Do the state/territory’s quality improvement standards align with or have reciprocity with any
of the following standards?
☐ No
☐ Yes. If yes, check the type of alignment, if any, between the state/territory’s quality
standards and other standards. Check all that apply.
☐ Programs that meet state/territory preK standards are able to meet all or part of
the quality improvement standards (e.g., content of the standards is the same,

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there is a reciprocal agreement between preK programs and the quality
improvement system).
☐ Programs that meet federal Head Start Program Performance Standards are able to
meet all or part of the quality improvement standards (e.g., content of the
standards is the same, there is a reciprocal agreement between Head Start
programs and the quality improvement system).
☐ Programs that meet national accreditation standards are able to meet all or part of
the quality improvement standards (e.g., content of the standards is the same, an
alternative pathway exists to meeting the standards).
☐ Programs that meet all or part of state/territory school-age quality standards.
☐ Other. Describe:
☐ None.
7.4.4

Do the state/territory’s quality standards build on its licensing requirements and other
regulatory requirements?
☐ No
☐ Yes. If yes, check any links between the state/territory’s quality standards and licensing
requirements.
☐ Requires that a provider meet basic licensing requirements to qualify for the base
level of the QRIS.
☐ Embeds licensing into the QRIS.
☐ State/territory license is a “rated” license.
☐ Other. Describe:
Not linked.

7.4.5

☐

Does the state/territory provide financial incentives and other supports designed to expand the
full diversity of child care options and help child care providers improve the quality of services
that are provided through the QRIS.
☐ No
☐ Yes. If yes, check all that apply.
☐ One time grants, awards, or bonuses
☐ Ongoing or periodic quality stipends
☐ Higher subsidy payments
☐ Training or technical assistance related to QRIS
☐ Coaching/mentoring
☐ Scholarships, bonuses, or increased compensation for degrees/certificates
☐ Materials and supplies
☐ Priority access for other grants or programs
☐ Tax credits (providers or parents)

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☐ Payment of fees (e.g., licensing, accreditation)
☐ Other:
☐ None
7.4.6

7.5

Describe the measureable indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services within the state/territory and the data on the extent to which the state or territory
has met these measures.
Improving the Supply and Quality of Child Care Programs and Services for Infants and Toddlers
Lead Agencies are encouraged to use the needs assessment to systematically review and
improve the overall quality of care that infants and toddlers receive, the systems in place or
needed to support and enhance the quality of infant and toddler providers, the capacity of the
infant and toddler workforce to meet the unique needs of very young children, and the
methods in place to increase the proportion of infants and toddlers in higher quality care,
including any partnerships or coordination with Early Head Start and IDEA Part C programs.
Lead Agencies are required to spend 3 percent of their total CCDF expenditures on activities to
improve the supply and quality of their infant and toddler care. This is in addition to the general
quality set-aside requirement.

7.5.1

What activities are being implemented by the state/territory to improve the supply (see also
section 4) and quality of child care programs and services for infants and toddlers? Check all
that apply and describe.
☐ Establishing or expanding high-quality community- or neighborhood-based family and
child development centers. These centers can serve as resources to child care providers
to improve the quality of early childhood services for infants and toddlers from
lowincome families and to improve eligible child care providers’ capacity to offer
highquality, age-appropriate care to infants and toddlers from low-income families.
Describe:
☐ Establishing or expanding the operation of community- or neighborhood-based family
child care networks. Describe:
☐ Providing training and professional development to enhance child care providers’ ability
to provide developmentally appropriate services for infants and toddlers. Describe:
☐ Providing coaching, mentoring, and/or technical assistance on this age group’s unique
needs from statewide or territory-wide networks of qualified infant-toddler specialists.
Describe:
☐ Coordinating with early intervention specialists who provide services for infants and
toddlers with disabilities under Part C of the Individuals with Disabilities Education Act
(20 U.S.C. 1431 et seq.). Describe:
☐ Developing infant and toddler components within the state/territory’s QRIS, including
classroom inventories and assessments. Describe:
☐ Developing infant and toddler components within the state/territory’s child care
licensing regulations. Describe:

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☐ Developing infant and toddler components within the early learning and developmental
guidelines. Describe:
☐ Improving the ability of parents to access transparent and easy-to-understand
consumer information about high-quality infant and toddler care that includes
information on infant and toddler language, social-emotional, and both early literacy
and numeracy cognitive development. Describe:
☐ Carrying out other activities determined by the state/territory to improve the quality of
infant and toddler care provided within the state/territory and for which there is
evidence that the activities will lead to improved infant and toddler health and safety,
cognitive and physical development, and/or well-being. Describe:
☐ Coordinating with child care health consultants. Describe:
☐ Coordinating with mental health consultants. Describe:
☐ Other. Describe:
7.5.2

7.6

Describe the measureable indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services for infants and toddlers within the state/territory and the data on the extent to
which the state or territory has met these measures.
Child Care Resource and Referral
A Lead Agency may expend funds to establish or expand a statewide system of child care
resource and referral services (98.53(a)(5)). It can be coordinated, to the extent determined
appropriate by the Lead Agency, by a statewide public or private non-profit, community-based,
or regionally based lead child care resource and referral organization (658E(c)(3)(B)(iii)). This
effort may include activities done by local or regional child care and resource referral agencies,
as discussed in section 1.7.

7.6.1

7.7

Describe the measureable indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services within the state/territory and the data on the extent to which the state or territory
has met these measures.
Facilitating Compliance with State Standards

7.7.1

What strategies does your state/territory fund with CCDF quality funds to facilitate child care
providers’ compliance with state/territory requirements for inspection, monitoring, training,
and health and safety and with state/territory licensing standards? Describe:

7.7.2

Does the state/territory provide financial assistance to support child care providers in complying
with minimum health and safety requirements?
☐ No
☐ Yes. If yes, which types of providers can access this financial assistance?
☐ Licensed CCDF providers

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☐ Licensed non-CCDF providers ☐
License-exempt CCDF providers ☐
Other. Describe:
7.7.3

7.8

Describe the measureable indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services within the state/territory and the data on the extent to which the state or territory
has met these measures.
Evaluating and Assessing the Quality and Effectiveness of Child Care Programs and Services

7.8.1

Describe how the state/territory measures the quality and effectiveness of child care programs
and services in both child care centers and family child care homes currently being offered,
including any tools used to measure child, family, teacher, classroom, or provider
improvements, and how the state/territory evaluates how those tools positively impact
children.

7.8.2

Describe the measureable indicators of progress relevant to this use of funds that the
State/Territory will use to evaluate its progress in improving the quality of child care programs
and services in child care centers and family child care homes within the state/territory and the
data on the extent to which the state or territory has met these measures.

7.9
7.9.1

Accreditation Support
Does the state/territory support child care providers in the voluntary pursuit of accreditation by
a national accrediting body with demonstrated, valid, and reliable program standards of high
quality?
☐ Yes, the state/territory has supports operating statewide or territory-wide for both child
care centers and family child care homes. Describe the support efforts for all types of
accreditation that the state/territory provides to child care centers and family child care
homes to achieve accreditation.
☐ Yes, the state/territory has supports operating statewide or territory-wide for child care
centers only. Describe the support efforts for all types of accreditation that the
state/territory provides to child care centers. Describe:
☐ Yes, the state/territory has supports operating statewide or territory-wide for family
child care homes only. Describe the support efforts for all types of accreditation that the
state/territory provides to family child care. Describe:
☐ Yes, the state/territory has supports operating as a pilot-test or in a few localities but
not statewide or territory-wide.
☐ Focused on child care centers. Describe:
☐ Focused on family child care homes. Describe:
☐ No, but the state/territory is in the accreditation development phase.
☐ Focused on child care centers. Describe:
☐ Focused on family child care homes. Describe:

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☐ No, the state/territory has no plans for accreditation development.
7.9.2

Describe the measureable indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services within the state/territory and the data on the extent to which the state or territory
has met these measures.

7.10 Program Standards
7.10.1 Describe how the state/territory supports state/territory or local efforts to develop or adopt
high-quality program standards, including standards for infants and toddlers, preschoolers,
and/or school-age children
7.10.2 Describe the measureable indicators of progress relevant to this use of funds that the
state/territory will use to evaluate its progress in improving the quality of child care programs
and services within the state/territory and the data on the extent to which the state or territory
has met these measures.
7.11 Early Learning and Development Guidelines and Other Quality Improvement Activities
7.11.1 If quality funds are used to develop, maintain, or implement early learning and development
guidelines, describe the measureable indicators that will be used to evaluate the
state/territory’s progress in improving the quality of child care programs and services and the
data on the extent to which the state/territory has met these measures (98.53(f)(3)).
7.11.2 List and describe any other activities that the state/territory provides to improve the quality of
child care services for infants and toddlers, preschool-aged, and school-aged children, which
may include consumer and provider education activities, and also describe the measureable
indicators of progress for each activity relevant to this use of funds that the state/territory will
use to evaluate its progress in improving provider preparedness, child safety, child well-being,
or kindergarten entry and the data on the extent to which the state or territory has met these
measures. Describe:

8

Ensure Grantee Program Integrity and Accountability
Program integrity and accountability activities are integral to the effective administration of the
CCDF program. Lead Agencies are required to describe in their Plan effective internal controls
that ensure integrity and accountability while maintaining the continuity of services (98.16(cc)).
These accountability measures should address reducing fraud, waste, and abuse, including
program violations and administrative errors.
This section includes topics on internal controls to ensure integrity and accountability and
processes in place to investigate and recover fraudulent payments and to impose sanctions on
clients or providers in response to fraud. Respondents should consider how fiscal controls,
program integrity, and accountability apply to:

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8.1
8.1.1

•

Memorandums of understanding (MOUs) within the Lead Agency’s various
divisions that administer or carry out the various aspects of CCDF

•

MOUs, grants, or contracts to other state agencies that administer or carry out
various aspects of CCDF

•

Grants or contracts to other organizations that administer or carry out various
aspects of CCDF, such as professional development and family engagement
activities

•

Internal processes for conducting child care provider subsidy

Internal Controls and Accountability Measures to Help Ensure Program Integrity
Check and describe how the Lead Agency ensures that all its staff members and any staff
members in other agencies who administer the CCDF program through MOUs, grants and
contracts are informed and trained regarding program requirements and integrity. Check all
that apply:
☐ Train on policy manual. Describe:
☐ Train on policy change notices. Describe:
☐ Ongoing
Describe:
☐

8.1.2

monitoring and assessment of policy implementation.
Other. Describe:

Lead Agencies must ensure the integrity of the use of funds through sound fiscal management
and must ensure that financial practices are in place (98.68 (a)(1)). Describe the processes in
place for the Lead Agency to ensure sound fiscal management practices for all expenditures of
CCDF funds. Check all that apply:
☐ Verifying and processing billing records to ensure timely payments to providers.
Describe:
☐ Fiscal oversight of grants and contracts. Describe:
☐ Tracking systems to ensure reasonable and allowable costs. Describe:
☐ Other. Describe:

8.1.3

Check and describe the processes that the Lead Agency will use to identify risk in their CCDF
program. Check all that apply:
☐ Conduct a risk assessment of policies and procedures. Describe:
☐ Establish checks and balances to ensure program integrity. Describe:
☐ Use supervisory reviews to ensure accuracy in eligibility determination. Describe:
☐ Other. Describe:

8.1.4

Lead Agencies conduct a wide variety of activities to fight fraud and ensure program integrity.
Lead Agencies are required to have processes in place to identify fraud and other program
violations to ensure program integrity. Program violations can include both intentional and

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unintentional client and/or provider violations, as defined by the Lead Agency. These violations
and errors, identified through the error-rate review process may result in payment or
nonpayment (administrative) errors and may or may not be the result of fraud, based on the
Lead Agency definition. Check and describe any activities that the Lead Agency conducts to
ensure program integrity.
a) Check and describe all activities that the Lead Agency conducts to identify and prevent
fraud or intentional program violations. Include in the description how each activity assists
in the identification and prevention of fraud and intentional program violations. Include a
description of the results of such activity.
☐ Share/match data from other programs (e.g., TANF program, Child and Adult Care
Food Program, Food and Nutrition Service (FNS), Medicaid) or other databases (e.g.,
State Directory of New Hires, Social Security
Administration, Public
Assistance Reporting Information System
(PARIS)). Describe:
☐ Run system reports that flag errors (include types). Describe:
☐ Review enrollment documents and attendance or billing records. Describe:
☐ Conduct supervisory staff reviews or quality assurance reviews. Describe:
☐ Audit provider records. Describe:
☐ Train staff on
Describe: ☐ Other.

policy and/or audits.
Describe:

b) Check and describe all activities the Lead Agency conducts to identify unintentional
program violations. Include in the description how each activity assists in the identification
and prevention of unintentional program violations. Include a description of the results of
such activity.
☐ Share/match data from other programs (e.g., TANF program, CACFP, FNS, Medicaid)
or other databases (e.g., State Directory of New Hires, Social Security
Administration, PARIS). Describe:
☐ Run system reports that flag errors (include types). Describe:
☐ Review enrollment documents and attendance or billing records. Describe:
☐ Conduct supervisory staff reviews or quality assurance reviews. Describe:
☐ Audit provider records. Describe:
☐ Train staff on
☐ Other. Describe:

policy and/or audits. Describe:

c) Check and describe all activities the Lead Agency conducts to identify and prevent agency
errors. Include in the description how each activity assists in the identification and
prevention of agency errors.
☐ Share/match data from other programs (e.g., TANF program, CACFP, FNS, Medicaid)
or other databases (e.g., State Directory of New Hires, Social Security
Administration, PARIS). Describe:

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☐ Run system reports that flag errors (include types). Describe:
☐ Review enrollment documents and attendance or billing records. Describe:
☐ Conduct supervisory staff reviews or quality assurance reviews. Describe:
☐ Audit provider records. Describe:
☐ Train staff on
Describe: ☐ Other.

8.1.5

policy and/or audits.
Describe:

The Lead Agency is required to identify and recover misspent funds as a result of fraud, and it
has the option to recover any misspent funds as a result of errors.
a) Check and describe all activities that the Lead Agency uses to investigate and recover
improper payments due to fraud. Include in the description how each activity assists in the
investigation and recovery of improper payment due to fraud or intentional program
violations. Include a description of the results of such activity. Activities can include, but
are not limited to, the following:
☐ Require recovery after a minimum dollar amount of an improper payment and
identify the minimum dollar amount. Describe:
☐ Coordinate with and refer to the other state/territory agencies (e.g., state/territory
collection agency, law enforcement agency). Describe:
☐ Recover through repayment plans. Describe:
☐ Reduce payments in subsequent months. Describe:
☐ Recover through state/territory tax intercepts. Describe:
☐ Recover through other means. Describe:
☐ Establish a unit to investigate and collect improper payments and describe the
composition of the
unit below. Describe:
☐ Other. Describe:
b) Check any activities
that the Lead Agency will use to investigate and recover
improper payments due to unintentional program violations. Include in the description
how each activity assists in the investigation and recovery of improper payments due to
unintentional program violations. Include a description of the results of such activity.
Activities can include, but are not limited to, the following:
☐ Require recovery after a minimum dollar amount of an improper payment and
identify the minimum dollar amount. Describe:
☐ Coordinate with and refer to the other state/territory agencies (e.g., state/territory
collection agency, law enforcement agency). Describe:
☐ Recover through repayment plans. Describe:
☐ Reduce payments in subsequent months. Describe:
☐ Recover through state/territory tax intercepts. Describe:
☐ Recover through other means. Describe:

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☐ Establish a unit
☐ Other. Describe:

to investigate and collect improper payments. Describe:

c) Check and describe all activities that the Lead Agency will use to investigate and recover
improper payments due to agency errors. Include in the description how each activity
assists in the investigation and recovery of improper payments due to administrative
errors. Include a description of the results of such activity.
☐ Require recovery after a minimum dollar amount of an improper payment and
identify the minimum dollar amount. Describe:
☐ Coordinate with and refer to the other state/territory agency(ies) (e.g.,
state/territory collection agency, law enforcement agency). Describe:
☐ Recover through repayment plans. Describe:
☐ Reduce payments in subsequent months. Describe:
☐ Recover through state/territory tax intercepts. Describe:
☐ Recover through other means. Describe:
☐ Establish a unit to investigate and collect improper payments and describe the
composition of the unit below. Describe:
☐ Other. Describe:
8.1.6

What type of sanction will the Lead Agency place on clients and providers to help reduce
improper payments due to program violations? Check and describe all that apply:
☐ Disqualify the client. If checked, describe this process, including a description of the
appeal process for clients who are disqualified. Describe:
☐ Disqualify the provider. If checked, describe this process, including a description of the
appeal process for providers who are disqualified. Describe:
☐ Prosecute criminally. Describe:
☐ Other. Describe:

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Appendix A: Background Check Waiver Request Form
Lead Agencies may apply for a temporary waiver for certain background check requirements if
milestone prerequisites have been fully implemented. These waivers will be considered
“transitional and legislative waivers” to provide transitional relief from conflicting or duplicative
requirements preventing implementation, or an extended period of time in order for the
state/territory legislature to enact legislation to implement the provisions (98.19(b)(1)) These
waivers are limited to a one-year period and may be extended for at most one additional year
from the date of initial approval.
Approval of these waiver requests is subject to and contingent on OCC review and approval of
responses in section 5 questions 5.4.1 – 5.4.4 to confirm that the milestones are met. If
milestone prerequisites are not met, the waiver request will not be approved. Approved waivers
would begin October 1, 2018 through September 30, 2019.
If approved, States and Territories will have the option to renew these waivers for one
additional year as long as progress is demonstrated during the initial waiver period. Separate
guidance will be issued later on the timeline and criteria for requesting the waiver renewal.
Overview of Background Check Implementation deadlines
Original deadline for implementation (658H(j)(1) of CCDBG Act):

September 30, 2017

Initial one-year extension deadline (658H(j)(2) of CCDBG Act):

September 30, 2018

One-year waiver deadline (45 CFR 98.19(b)(1)(i)):

September 30, 2019

Waiver deadline one-year renewal (45 CFR 98.19(b)(1)(ii)):
September 30, 2020
Waiver approval for new (prospective) staff, existing staff or staff hired provisionally until
background checks are completed, are subject to and contingent upon the OCC review and
approval of responses to 5.4.9 that demonstrate that the state/territory requires: (1) the
provider to submit the background check request before the staff person begins working; and
(2) pending the results of the background check, the staff person must be supervised at all times
by an individual who has completed the background check.
To submit a background check waiver request, complete the form below.
Check and describe each background check provision for which the Lead Agency is requesting a
time-limited waiver extension.
☐ Appendix A.1: In-state criminal registry or repository checks with fingerprint
requirements for existing staff. (See related question at 5.4.1 (b).)
•

Describe the provision from which the state/territory seeks relief.

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Describe how a waiver of the provision will, by itself, improve the delivery of child
care services for children.
•

Certify and describe how the health, safety, and well-being of children served
through assistance received through CCDF will not be compromised as a result of
the waiver.

☐ Appendix A.2: In-state sex offender registry requirements for existing staff. (See
related question at 5.4.2 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

☐ Appendix A.3: In-state child abuse and neglect registry requirements for existing staff.
(See related question at 5.4.3 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

☐ Appendix A.4: National FBI fingerprint search requirements for existing staff. (See
related question at 5.4.4 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

☐ Appendix A.5: National Crime Information Center (NCIC) National Sex Offender
Registry
(NSOR) search requirements for new or prospective staff. (See related question at 5.4.5
(a).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

improve

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•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

☐ Appendix A.6: National Crime Information Center (NCIC) National Sex Offender
Registry
(NSOR) search requirements for existing staff. (See related question at 5.4.5 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself, improve the delivery of
child care services for
children.
Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

☐ Appendix A.7: Interstate criminal registry or repository check for new or prospective
staff. (See related question at 5.4.6 (a).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

☐ Appendix A.8: Interstate criminal registry or repository check for existing staff. (See
related question at 5.4.6 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of the
waiver.

improve

☐ Appendix A.9: Interstate sex offender registry or repository check for new or
prospective staff. (See related question at 5.4.7 (a).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of the
waiver.

improve

117

☐ Appendix A.10: Interstate sex offender registry or repository check for existing staff.
(See related question at 5.4.7 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

☐ Appendix A.11: Interstate child abuse and neglect registry check for new or prospective
staff. (See related question at 5.4.8 (a).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself, improve the delivery of
child care services for
children.
Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

☐ Appendix A.12: Interstate child abuse and neglect registry check for existing staff. (See
related question at 5.4.8 (b).)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

☐ Appendix A. 13: New staff hired to work provisionally until background checks are
completed. (See related question at 5.4.9.)
•
•

Describe the provision from which the state/territory seeks relief.
Describe how a waiver of
the provision will, by itself,
the delivery of child care
services for children.

•

Certify and describe how the health, safety, and well-being of children served
through
assistance received through CCDF will not be compromised as a
result of
the waiver.

improve

118