Child Care Improper Payments Data Collection Instructions

Forms and Documents

Document Name	Status
Form ACF-403 ACF-403 Record Review Worksheet: case record reviews (IC-2 - ACF-403) Form and Instruction	New
Form 1 Sampling Decisions, Assurances, and Fieldwork Preparation Plan (IC-1 - SDAP) Form and Instruction	Modified
Form ACF-404 ACF-404 State Improper Payments Report (IC-3 - ACF-404) Form and Instruction	Modified
Form ACF-405 ACF-405 State Improper Payments Report Corrective Action Plan (IC-4 - ACF-405) Form and Instruction	Modified
Form ACF-403 ACF-403 Record Review Worksheet: template (IC-2 - ACF-403) Form and Instruction	Modified
Attachment B DCI Final Draft Clean updated 1-29-25 clean.docx Supplementary Document	2025-01-29
Attachment A OCC responses to public comments.docx Supplementary Document	2025-01-24
SSA - OCC DCI Revision_0970-0323_Clean.docx Supporting Statement A	2025-01-24
SSB - OCC DCI Revision_0970-0323_Clean.docx Supporting Statement B	2025-01-24

IC Document Collections

IC ID	Document Title	Status
273857	ACF-403 Record Review Worksheet: case record reviews (IC-2 - ACF-403) Form and Instruction	New
203503	Sampling Decisions, Assurances, and Fieldwork Preparation Plan (IC-1 - SDAP) Form and Instruction	Modified
181818	ACF-404 State Improper Payments Report (IC-3 - ACF-404) Form and Instruction	Modified
181817	ACF-405 State Improper Payments Report Corrective Action Plan (IC-4 - ACF-405) Form and Instruction	Modified
181816	ACF-403 Record Review Worksheet: template (IC-2 - ACF-403) Form and Instruction	Modified

ICR Details

OMB Control No: 0970-0323	ICR Reference No: 202501-0970-010
Status: Received in OIRA	Previous ICR Reference No: 202109-0970-002
Agency/Subagency: HHS/ACF	Agency Tracking No: OCC
Title: Child Care Improper Payments Data Collection Instructions
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/31/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2025
Responses	4,840	4,823
Time Burden (Hours)	17,291	44,151
Cost Burden (Dollars)	0	0

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Abstract: Section 2 of the Payment Integrity Information Act of 2019 (PIIA) requires federal agencies to review their programs and activities to identify those that may be susceptible to significant improper payments, publish improper payment estimates for those programs and activities, and submit a report on actions taken to reduce improper payments. 45 CFR Part 98 Subpart K requires states to prepare and submit a report of errors occurring in the administration of Child Care and Development Fund (CCDF) grant funds once every three years and directs states to follow the methodology outlined in the Child Care Improper Payments Data Collection Instructions (DCI). The DCI provides instructions and forms to states to implement the required CCDF error rate review methodology. The Office of Child Care (OCC) first implemented the error rate methodology in 2007 and is currently completing the sixth 3-year cycle of case record reviews to meet the requirements for error rate reporting under the PIIA. The current data collection forms and instructions expire on January 31, 2025 and must be renewed. As part of the renewal process, OCC has revised the forms and instructions with minor changes that do not change the error rate methodology, but instead provide respondents with additional guidance and clarification to facilitate complete and accurate data submissions. To allow states time to implement changes prior to the submission deadline for the ACF-404 State Improper Payments Report (one of the four reports included in the DCI), the new version of the ACF-404 will be effective for the June 2026 reports. The currently approved version of the ACF-404 will be used in 2025.

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Authorizing Statute(s): PL: Pub.L. 116 - 117 2 Name of Law: Payment Integrity Information Act of 2019
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 90294	11/11/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 1234	01/31/2025
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
ACF-403 Record Review Worksheet: case record reviews (IC-2 - ACF-403)	ACF-403	Improper Payment DCI - ACF-403 Record Review Worksheet: case record reviews
ACF-403 Record Review Worksheet: template (IC-2 - ACF-403)	ACF-403	Improper Payment DCI - ACF-403 Record Review Worksheet: template
ACF-404 State Improper Payments Report (IC-3 - ACF-404)	ACF-404 , ACF 404	ACF-404 State Improper Payments Report - 2026 Version ,   ACF-404 State Improper Payments Report - 2025 version
ACF-405 State Improper Payments Report Corrective Action Plan (IC-4 - ACF-405)	ACF-405	Improper Payments DCI - ACF-405 State Improper Payments Report Corrective Action Plan
Sampling Decisions, Assurances, and Fieldwork Preparation Plan (IC-1 - SDAP)	1	Improper Payments DCI - Sampling Decisions, Assurances, and Fieldwork Preparation Plan

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	4,840	4,823	0	17	0	0
Annual Time Burden (Hours)	17,291	44,151	0	-26,860	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: There are no significant changes to the information collection since the last OMB approval. Minor revisions were made to provide respondents with additional guidance and clarification to facilitate complete and accurate required data submissions. OCC revised the estimated burden hours for respondents based on feedback collected from states as described in Question 12 in the Supporting Statement.

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Annual Cost to Federal Government: $49,082

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/31/2025

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