Form 1 Child Care and Development Fund (CCDF) Lead Agency Monit

Office of Child Care (OCC)

OMB Control No: 0970-0558
Expiration Date: 12/20/2027

Child Care and Development Fund (CCDF) Lead Agency Monitoring Profile
CCDF requires Lead Agencies to maintain compliance with all provisions of the Child Care and Development Block Grant Act, CCDF regulations at 45 CFR 98, and
the state’s approved CCDF Plan during the administration of their program. OCC’s Monitoring Protocol validates CCDF Lead Agency implementation of a specific
subset of CCDF requirements and determines compliance. The Monitoring Protocol includes pre-visit State Planning Calls, a review of policies, procedures, and
other documentation of implementation provided by the Lead Agency, and an onsite visit to validate the Lead Agency’s implementation of the requirements
through data collection interviews, system demonstrations, and case file reviews.
The Lead Agency Monitoring Profile provides a current summary of the Lead Agency’s compliance status for only the CCDF requirements included in the
Monitoring Protocol scope that fall within five (5) Program Areas: Eligibility and Enrollment, Equal Access, Health and Safety, Comprehensive Background Checks
and Program Integrity and Accountability. OCC uses the Lead Agency Monitoring Profile to confirm areas of compliance and non-compliance, identify documents
needed for pre-visit review and establish the specific scope for the onsite visit. The Lead Agency Monitoring Profile is a key step in OCC’s data collection process.
The Lead Agency Monitoring Profile is divided into two (2) parts. Part 1 of the Lead Agency Monitoring Profile contains four sections:
•
•
•
•

Section A - Administrative Structure: Summary of information regarding sub-recipients (internal/external entities) responsible for administering child care
subsidy, provider training and inspections, and oversight of program integrity and accountability.
Section B - Provider Structure: Summary of the Lead Agency’s provider types and entities providing oversight of each provider type.
Section C - Compliant Provisions: Summary of compliant CCDF requirements as indicated in the approved CCDF Plan and Plan Amendments
Section D - Non-Compliant Provisions: Summary of non-compliant CCDF requirements as indicated in the approved CCDF Plan and Plan Amendments.

Part 2 of the Lead Agency Profile includes information for the pre-visit document submission process.
OCC will pre-populate Part 1 of the Lead Agency Monitoring Profile with information contained in the Lead Agency’s CCDF Plan, and information the Lead Agency
has previously submitted to OCC. A copy of the pre-filled Lead Agency Monitoring Profile will be sent to the Lead Agency for review. During State Planning Call #1,
OCC will review the pre-populated form with the Lead Agency to confirm accuracy and to identify documents for the pre-visit review. Following State Planning
Call #1, the Lead Agency will review Part 1 for accuracy and submit to OCC with a signature from the Lead Agency Contact certifying the information in Part 1.
Lastly, the Lead Agency will complete Part 2 of the Lead Agency Monitoring Profile titled Document Submission Chart and submit the requested documentation
to OCC for review.

Page 1 of 9

Lead Agency Information:
State/Territory:

Lead Agency:

Date Profile Created:

Lead Agency Contact:

Onsite Monitoring Date:

State Planning Call #1 Date:

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SECTION A – STATE/TERRITORY ADMINISTRATIVE STRUCTURE (PART 1)

State/Territory Administrative Structure – Section A is completed by OCC and confirmed by the lead agency.
Lead Agency Entities
Identify the number of total entities for each section and list out any details for inspections of CCDF eligible providers and CCDF subsidy eligibility. In addition, please include
any details on training sources, outside entities, or training requirements that may be relevant.
Example: “10 Total Entities. Child Care Resource &Referral (CCR&R) (6) and County Agencies (4)”. List any geographical details that also may be relevant (e.g., “Northwest
region of state”).
*Entity is defined as any internal or external organizations determining subsidy eligibility and/or conducting inspections of CCDF providers (e.g., CCR&Rs or sister agencies
internal to state government). Any organization with a Memorandum of Understanding, Written Agreement, delegation of funds, or considered a sub-recipient that
determines subsidy eligibility or conducts inspections of CCDF providers could be considered an entity.

CCDF Subsidy Eligibility - # of entities determining eligibility:
• Details:
CCDF Eligible Providers - # of entities conducting inspections of CCDF providers:
• Details:
•
Lead Agency
Data Systems
• Subsidy:
• Licensing:
Pre-Service/Orientation Training
• Single Source ☐
• Multi source ☐
Details:
Program Integrity & Accountability
Agencies/Entities/Departments involved with Program Integrity and Accountability, specifically maintaining effective internal controls and fraud
investigations, recovery, and sanctions.
•
•
•

Investigations:
Sanctions:
Payment Recoupment:

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Fraud Risk Assessment:

SECTION B – STATE/TERRITORY PROVIDER STRUCTURE (PART 1 continued)

State/Territory Provider Structure CCDF Plan Provider Types
Licensed Center Care

Section B is completed by OCC and confirmed by the Lead Agency.
Lead Agency Provider Types

Name of entity responsible for inspecting Provider Type

Licensed Family Child Care Homes
Licensed In-Home Care
Out-of-School Programs - Licensed
Out-of-School Programs - License-Exempt
License-Exempt Center Care
License-Exempt In-Home Care
License-Exempt Family Child Care Homes

The last two sections of Part 1 (Section C and D) will focus on FFY2025-2027 CCDF Plan compliance. Section C will address compliant CCDF Provisions in the Lead
Agency’s CCDF Plan, while Section D addresses non-compliant provisions. Both Sections are completed by OCC and confirmed by the Lead Agency.

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SECTION C – LEAD AGENCY COMPLIANT PROVISIONS (PART 1 continued)

Lead Agency Compliant Provisions - Section C is completed by OCC and confirmed by the Lead Agency.

CCDF Provision &
Description

Documents
Previously Reviewed
to determine
compliance

Changes made
to previously
reviewed
documents

Document
Needed from
Lead Agency?

(provision listed here)

 YES
 NO

 YES
 NO
 N/A

(provision listed here)

 YES
 NO

 YES
 NO
 N/A

(provision listed here)

 YES
 NO

 YES
 NO
 N/A

List of Documents Needed from
Lead Agency

SECTION D – LEAD AGENCY NON-COMPLIANT PROVISIONS (PART 1 continued)
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Notes (Optional)

Lead Agency Non-Compliant Provisions - Section C is completed by OCC and confirmed by the Lead Agency.

CCDF Provision & Description

Non-Compliance details

(provision listed here)

CCDF Plan
Amendment
Submitted
 YES
 NO

Amendment Transitional
Date
Waiver

Notes (Optional)

 YES
 NO
 N/A

(provision listed here)

 YES
 NO

 YES
 NO
 N/A

(provision listed here)

 YES
 NO


 YES
 NO
 N/A


(provision listed here)

 YES
 NO


 YES
 NO
 N/A


Lead Agency Certification

By signing the Lead Agency Monitoring Profile, the Lead Agency is
certifying that the information in Sections A, B, C, and D of Part 1
are true and accurate to the best of their knowledge.

Certifier Name: ________________________________________
Title of Certifier: __________________________________________
Date of Certification: _______________________________________

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DOCUMENT SUBMISSION CHART (PART 2)

Document Submission Chart – Part 2 is completed by the Lead Agency after State Planning Call #1.

Instructions: In Part 2, the Lead Agency completes the Document Submission Chart. The Lead Agency will only need to fill out the rows that identified any of the
following in Part 1:
• A policy change or a change in process; and/or
• CCDF requirements marked with an (*) asterisk to indicate provisions that were not previously included in OCC’s Monitoring Protocol.
Please ensure that accurate titles, links/URLs, and page/sections are documented. OCC will use this information to determine the onsite monitoring scope, so
accuracy is essential. Once this section is completed, the Lead Agency will upload all identified documents in the chart to the Office of Child Care Monitoring
System within two weeks of State Planning Call #1.
CCDF Rule
Document to
File Name or
Page/Section Date
Review
URL
Sent
Eligibility and Enrollment: Continuity of Care
98.21(a)(1)(i) 12-month Eligibility
98.21(a)(1)(ii) Policies for Temporary Changes
98.21(h)(1-2), 98.21(h)(4)(i) Family Reporting Policies
98.21(a)(3) Copayments within 12-month Eligibility Period
Equal Access: Payment Practices to Providers
98.45(m)(1) Prospective Payments*
98.45(m)(2) Enrollment Based Payments*
Equal Access: Affordability
98.21(h)(4)(ii) Maintaining Services & Affordability
Health & Safety: 11 Health & Safety Requirements
98.44(b)(1)(i) Pre-service/Orientation for Providers
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98.42(b)(2)(i)(B) Annual Inspections for Licensed Providers
98.42(b)(2)(ii) Annual Inspections for Licensed Exempt Providers
Health & Safety: Inspections of In-Home providers
98.42(b)(2)(iv)(B) In-home Provider Inspections
Health & Safety: Pre-Licensure Inspections
98.42(b)(2)(i)(A) Pre-licensure Inspections
Health and Safety: Posting Inspection Reports
98.33(a)(4) Posting Full Monitoring/Inspection Reports*
Health and Safety: Ratios and Group Sizes
98.42(b)(2)(i)(B) Annual Inspection for Licensed Providers
98.42(b)(2)(ii) Annual Inspection for License-Exempt Providers
Health and Safety: Fire Standards
98.42(b)(2)(i)(B) Annual Inspection for Licensed Providers
98.42(b)(2)(ii) Annual Inspection for License-Exempt Providers
Comprehensive Background Checks: Pre-service Check Requirements
98.43(d)(4) Provisional Hire*
Program Integrity and Accountability: Effective Internal Controls
98.68(a)(2) Identification of Risk
98.68(a)(3) Program Administration Staff Training on Program Requirements and
Integrity
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98.68(a)(3) Child Care Provider Training on Program Requirements and Integrity
98.68(a)(4) Evaluation of Internal Control Activities
98.68(c) Documenting and Verifying Child Eligibility
Program Integrity and Accountability: Fraud Investigation, Payment Recovery and
Sanctions
98.68(b)(1) Identifying Fraud or Other Program Violations
98.68(b)(2) Investigating and Recovering Fraudulent Payments and Imposing
Sanctions

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