Form ACF-118 CCDF Plan for States/Territories FY 2014-2015

Draft for 2nd Public Comment – February, 2013

Child Care and Development Fund (CCDF) Plan
For
State/Territory:
FFY 2014-2015
This Plan describes the CCDF program to be administered by the State/Territory for
the period 10/1/2013 – 9/30/2015. 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 printed herein of
applicable laws and regulations are sometimes paraphrases of, or excerpts and
incomplete quotations from, the full text. The Lead Agency acknowledges its
responsibility to adhere to them regardless of these modifications.
Public reporting burden for this collection of information is estimated to average
162.5 hours per response, including the time for reviewing instructions, gathering
and maintaining the data needed, and reviewing the collection of information.
An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid OMB control number.

Form ACF-118 Approved OMB Number 0970-0114 expires XX/XX/XXXX

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 1

Draft for 2nd Public Comment – February, 2013

TABLE OF CONTENTS
Part 1: Administration
1.1. Contact Information
1.2. Estimated Funding
1.3. CCDF Program Integrity and Accountability
1.4. Consultation in the Development of the CCDF Plan
1.5. Coordination Activities to Support the Implementation of
CCDF Services
1.6. Child Care Emergency Preparedness and Response Plan
Part 2: CCDF Subsidy Program Administration
2.1. Administration of the Program
2.2. Family Outreach and Application Process
2.3. Eligibility Criteria for Child Care
2.4. Sliding Fee Scale and Family Contribution
2.5. Prioritizing Services for Eligible Children and Families
2.6. Parental Choice in Relation to Certificates, Grants or Contracts
2.7. Payment Rates for Child Care Services
Part 3: Health and Safety and Quality Improvement Activities
3.1. Activities to Ensure the Health and Safety of Children in Child
Care (Component #1)
3.2. Establishing Voluntary Early Learning Guidelines (Component
#2)
3.3. Creating Pathways to Excellence for Child Care Programs
through Program Quality Improvement Activities (Component
#3)
3.4. Pathways to Excellence for the Workforce – Professional
Development Systems and Workforce Initiatives (Component
#4)
Amendments Log
Appendix 1: Quality Performance Report
Appendix 2: CCDF Program Assurances and Certifications

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 2

Draft for 2nd Public Comment – February, 2013

PART 1
ADMINISTRATION
This section provides information on how the CCDF program is administered,
including the designated Lead Agency, funding information, the administrative
structure, program integrity and accountability policies and strategies, coordination
efforts, and emergency preparedness plans and procedures.
1.1 Contact Information
The agency shown below has been designated by the Chief Executive Officer of the
State (or Territory), 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)
1.1.1 Who is the Lead Agency designated to administer the CCDF
program? Identify the Lead Agency and Lead Agency’s Chief Executive Officer
designated by the State/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), §98.10)
Name of Lead Agency:
Address of Lead Agency:
Name and Title of the Lead Agency’s Chief Executive Officer:
Phone Number:
Fax Number:
E-Mail Address:
Web Address for Lead Agency (if any):
1.1.2. Who is the CCDF administrator? Identify the CCDF administrator
designated by the Lead Agency, the day-to-day contact, with responsibility for
administering the State/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 entity with administrative responsibilities and include contact
information. (§§98.16(a) and (c)(1))
a) Contact Information for CCDF Administrator:
Name of CCDF Administrator:
Title of CCDF Administrator:
Address of CCDF Administrator:
Phone Number:
Fax Number:
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 3

Draft for 2nd Public Comment – February, 2013
E-Mail Address:
Phone Number for CCDF program information (for the public) (if any):
Web Address for CCDF program (for the public) (if any):
Web address for CCDF program policy manual: (if any):
Web address for CCDF program administrative rules: (if any):
b) Contact Information for CCDF Co-Administrator (if applicable):
Name of CCDF Co-Administrator:
Title of CCDF Co-Administrator:
Address of CCDF Co-Administrator:
Phone Number:
Fax Number:
E-Mail Address:
Description of the role of the Co-Administrator:
1.2 Estimated Funding
1.2.1. What is your expected level of funding for the first year of the FY
2014 – FY 2015 plan period? The Lead Agency estimates that the following
amounts will be available for child care services and related activities during the 1year period from October 1, 2013 through September 30, 2014. (§98.13(a)).
FY 2012 Federal CCDF allocation (Discretionary, Mandatory and Matching):
$
Federal TANF Transfer to CCDF: $
Direct Federal TANF Spending on Child Care: $
State CCDF Maintenance-of-Effort Funds: $
State Matching Funds: $
Reminder – Lead Agencies are reminded that not more than 5 percent of the
aggregate CCDF funds, including federal funds and required State Matching funds,
shall be expended on administration costs (§98.52) once all FY2014 funds have been
liquidated. State Maintenance-of-Effort funds are not subject to this limitation.
1.2.2. Which of the following funds does the Lead Agency intend to use to
meet the CCDF Matching and maintenance-of-effort (MOE)
requirements described in 98.53(e) and 98.53(h)? Check all that apply.
Territories not required to meet CCDF Matching and MOE requirements should
mark
N/A here.
Note: The Lead Agency must check at least public and/or private funds as matching,
even if pre-kindergarten (pre-k) funds also will be used.
Public funds to meet the CCDF Matching Fund requirement. Public funds
may include any general revenue funds, county or other local public funds,
State/Territory-specific funds (tobacco tax, lottery), or any other public funds.
If checked, identify source of funds:
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 4

Draft for 2nd Public Comment – February, 2013
If known, identify the estimated amount of public funds the Lead
Agency will receive: $
Private donated funds 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 number of entities designated to
receive private donated funds and provide name, address,
contact, and type
If known, identify the estimated amount of private donated funds the
Lead Agency will receive: $
State expenditures for pre-k programs to meet the CCDF Matching Funds
requirement. If checked,
Provide the estimated percentage of Matching Fund requirement that
will be met with pre-k expenditures (not to exceed 30%):
If percentage is more than 10% of the Matching fund
requirement, describe how the State will coordinate its pre-k
and child care services:
If known, identify the estimated amount of pre-k funds the Lead
Agency will receive for Matching Funds requirement: $
Describe the Lead Agency efforts to ensure that pre-k programs meet
the needs of working parents:
State expenditures for pre-k programs to meet the CCDF Maintenance of
Effort (MOE) 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 98.53(h)(1).
Estimated percentage of MOE Fund requirement that will be met with
pre-k expenditures (not to exceed 20%):
If percentage is more than 10% of the MOE requirement,
describe how the State will coordinate its pre-k and child care
services to expand the availability of child care:
If known, identify the estimated amount of pre-k funds the Lead
Agency will receive for MOE Fund requirement: $
Describe the Lead Agency efforts to ensure that pre-k programs meet
the needs of working parents:
1.2.3 Describe the activities for which quality funds (including targeted
quality funds for infants and toddlers, school-age children, and resource
and referral) will be used in FY 2014 - 2015. In as much detail possible, list
the activities that will be funded, the estimated amount of CCDF quality funds that
will be used for each activity, and how these activities relate to the Lead Agency’s
overall goal of improving the quality of child care for low-income children.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 5

Draft for 2nd Public Comment – February, 2013
Activity Estimated Amount of CCDF
Quality Funds (check which
targeted funds will be used, if
any)

Purpose Projected Impact
and Anticipated
Results (if possible)

Check if targeted funds for this
activity:

Infant/Toddler Targeted Funds
School-Age/Child Care Resource
and Referral Targeted Funds
Quality Expansion

Check if targeted funds for this
activity:
Infant/Toddler Targeted Funds
School-Age/Child Care Resource
and Referral Targeted Funds
Quality Expansion

Check if targeted funds for this
activity:
Infant/Toddler Targeted Funds
School-Age/Child Care Resource
and Referral Targeted Funds
Quality Expansion

1.2.4 Will the Lead Agency distribute quality funds to counties or local
entities? Note: This question is to obtain information on whether the Lead Agency
retains decision making responsibilities regarding the quality dollars at the
State/Territory level or if funds are distributed to local entities
Does the State maintain decisions at the State level, or are funds distributed to locals
that have some decisions on how funds are spent.
No, the Lead Agency will not distribute any quality funds directly to local
entities
Yes, all quality funds will be distributed to local entities
Yes, the Lead Agency will distribute a portion of quality funds directly to
local entities. Estimated amount or percentage to be distributed to
localities
Other. Describe.
1.3. CCDF Program Integrity and Accountability

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 6

Draft for 2nd Public Comment – February, 2013
Program integrity is defined to include efforts that ensure effective internal controls
over the administration of CCDF funds. The Lead Agency is responsible for
monitoring programs and services, ensuring compliance with the rules of the
program, promulgating rules and regulations to govern the overall administration of
the plan and oversee the expenditure of funds by sub-grantees and contractors. (§
98.11(b)) Accountability measures should address administrative error, which
includes unintentional agency error, as well as address program violations, both
unintentional and intentional, that may or may not result in further action by the
Lead Agency, including those cases suspected of and/or prosecuted for fraud.
1.3.1. Describe the strategies the Lead Agency will utilize to ensure
effective internal controls are in place. The description of internal controls
may include, but is not limited to a description of processes to ensure sound fiscal
management, to identify areas of risk or to establish regular evaluation of control
activities.
1.3.2 Describe the processes the Lead Agency will use to monitor all subrecipients. Lead Agencies that use other governmental or non-governmental subrecipients to administer the program must have written agreements in place
outlining roles and responsibilities for meeting CCDF requirements (98.11 (a) (3))
Definition: A sub-recipient (including a sub-contractor and or sub-grantee) is a
non-Federal entity that expends Federal awards (contract or grant) received from
another entity to carry out a Federal program, but does not include a vendor nor
does it include an individual who is a beneficiary of such a program. OMB Circular
A-133 Section 210 provides additional information on the characteristics of a subrecipient and vendor
(http://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2010).
The description of monitoring may include, but is not limited to, a discussion of
written agreements, fiscal management, review of policies and procedures to ensure
compliance with CCDF regulations, monitoring/auditing contractors or grantees to
ensure that eligible children are served and eligibility documentation is verified, and
establishing performance indicators or measures related to improper payments.
1.3.3. Describe the activities the Lead Agency will have in place to
identify program violations and administrative error to ensure program
integrity using the chart below. Program violations may include intentional and
unintentional client and/or provider violations as defined by the Lead Agency.
Administrative error refers to areas identified through the Error Rate Review
process (98.100). Check which activities, if any, the Lead Agency has chosen to
conduct.
Type of Activity

Identify
Program
Violations

Identify
Administrative
Error

Share/match data from other programs (e.g.
TANF, Child and Adult Care Food Program (CACFP),
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 7

Draft for 2nd Public Comment – February, 2013
Identify
Program
Violations

Type of Activity

Identify
Administrative
Error

Food and Nutrition Service (FNS), Medicaid))
Share/match data from other databases (e.g.,
State Directory of New Hires, Social Security
Administration, Public Assistance Reporting
Information System (PARIS))
Run system reports that flag errors (include
types)
Review of attendance or billing records
Audit provider records
Conduct quality control or quality assurance
reviews
Conduct on-site visits to providers or subrecipients to review attendance or enrollment
documents
Conduct supervisory staff reviews
Conduct data mining to identify trends
Train staff on policy and/or audits
Other. Describe
None

For any option the Lead Agency checked in the chart above other than
none, please describe
If the Lead Agency checked none, please describe what measures the
Lead Agency has or plans to put in place to address program integrity:
1.3.4. What strategies will the Lead Agency use to investigate and collect
improper payments due to program violations or administrative error?
Check and describe in the chart below which strategies, if any, the Lead Agency will
use for each of the following areas: Unintentional program violations (UPV),
intentional program violations (IPV) and/or fraud, and administrative error as
defined in your State/Territory. The Lead Agency has the flexibility to recover
misspent funds as a result of errors. The Lead Agency is required to
recover misspent funds as a result of fraud (98.60(i)).
Strategy

UPV

IPV
and/or
Fraud

Administrative
Error

Require recovery after a minimum dollar
amount in improper payment. Identify
the minimum dollar amount
Coordinate with and refer to other
State/Territory agency (e.g.
State/Territory collection agency, law
enforcement). Describe
Recover through repayment plans
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 8

Draft for 2nd Public Comment – February, 2013

Strategy

UPV

IPV
and/or
Fraud

Administrative
Error

Reduce payments in subsequent months
Recover through State/Territory tax
intercepts
Recover through other means. Describe
Establish a unit to investigate and collect
improper payments. Describe
composition of unit
Other. Describe
None

For any option the Lead Agency checked in the chart above other than
none, please describe
1.3.5. What type of sanction, if any, will the Lead Agency place on clients
and providers to help reduce improper payments due to program
violations?
None
Disqualify client. If checked, please describe, including a description of the
appeal process for clients who are disqualified
Disqualify provider. If checked, please describe, including a description of
the appeal process for providers who are disqualified
Prosecute criminally
Other. Describe.
1.3.6. Based on responses provided from Question 14 in the most recent
ACF-402 report, please describe those actions the Lead Agency has taken
or plans to take to reduce identified errors in the table below. Territories
not required to complete the Error Rate Review should mark
N/A here.
Activities
identified in
ACF-402

Cause/Type of
Error
(if known)

Actions Taken
or Planned

Completion Date
(Actual or planned)
(if known)

1.4. Consultation in the Development of the CCDF Plan
Lead Agencies are required to consult with appropriate agencies in the development
of its CCDF Plan (§98.12, §98.14(a),(b), §98.16(d)).
Definition: Consultation involves the meeting with or otherwise obtaining input
from an appropriate agency in the development of the State or Territory CCDF Plan.
At a minimum, Lead Agencies must consult with representatives of general purpose
local governments. (§§98.12(b), 98.14(a)(1))
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 9

Draft for 2nd Public Comment – February, 2013

1.4.1. Identify and describe in the table below who the Lead Agency
consulted with in the development of the CCDF Plan (658D(b)(2),
§§98.12(b), 98.14(b)).
Agency/Entity

Describe how the Lead Agency
consulted with this
Agency/entity in developing the
CCDF Plan

Representatives of general purpose local
government (required)
This may include, but is not limited to: representatives
from counties and municipalities, local human service
agencies, local education representatives (e.g., school
districts), or local public health agencies.
For the remaining agencies, check and describe (optional) any which the Lead Agency
has chosen to consult with in the development of its CCDF Plan.
State/Territory agency responsible for public education
This may include, but is not limited to, State/Territory
pre-kindergarten programs (if applicable), programs
serving school-age children (including 21st Century
Community Learning Centers), or higher education.
State/Territory agency responsible for programs for
children with special needs
This may include, but is not limited to: State/Territory
early intervention programs authorized under the
Individuals with Disabilities Education Act (Part C for
infants and toddlers and Section 619 for preschool), or
other State/Territory agencies that support children with
special needs
State/Territory agency responsible for licensing (if
separate from the Lead Agency)
State/Territory agency with the Head Start Collaboration
grant
Statewide Advisory Council authorized by the Head Start
Act
Other Federal, State, local, Tribal (if applicable), and/or
private agencies providing early childhood and schoolage/youth-serving developmental services
State/Territory agency responsible for the Child and
Adult Care Food Program (CACFP)
State/Territory agency responsible for implementing the
Maternal and Early Childhood Home Visitation
programs grant
State/Territory agency responsible for public health
(including the agency responsible for immunizations and
programs that promote children’s emotional and mental
health)
State/Territory agency responsible for child welfare
State/Territory liaison for military child care programs
or other military child care representatives
State/Territory agency responsible for employment
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 10

Draft for 2nd Public Comment – February, 2013

Agency/Entity

Describe how the Lead Agency
consulted with this
Agency/entity in developing the
CCDF Plan

services/workforce development
State/Territory agency responsible for Temporary
Assistance for Needy Families (TANF)
Indian Tribes/Tribal Organizations
N/A: No such entities exist within the
boundaries of the State
Private agencies/entities including national initiatives
that the Lead Agency is participating in such as BUILD,
Strengthening Families, Mott Statewide After-school
Networks, Ready by 21
Provider groups, associations or labor organizations
Parent groups or organizations
Local community organizations (child care resource and
referral, Red Cross)
Other

1.4.2. Describe the Statewide/Territory-wide public hearing process held
to provide the public an opportunity to comment on the provision of
child care services under this Plan. (658D(b)(1)(C), §98.14(c)) At a minimum,
the description should include:
a) Date(s) of notice of public hearing:
Reminder - Must be at least
20 days prior to the date of the public hearing.
b) How was the public notified about the public hearing?
c) Date(s) of public hearing(s):
Reminder - Must be no earlier than
9 months before effective date of Plan (October 1, 2013).
d) Hearing site(s):
e) How was the content of the Plan made available to the public in advance of
the public hearing(s)?
f) How will the information provided by the public be taken into
consideration in the provision of child care services under this Plan?
1.4.3. Describe any strategies used by the Lead Agency to increase public
consultation on the Plan or access to the public hearing. For example,
translating the public hearing notice into multiple languages, using a variety of sites
or technology (e.g., video) for the public hearing, holding the hearing at times to
accommodate parent and provider work schedules.
1.5. Coordination Activities to Support the Implementation of CCDF
Services
Lead Agencies are required to coordinate with other Federal, State, local, Tribal (if
applicable) and private agencies providing child care and early childhood
development services (§98.12, §98.14(a),(b), §98.16(d)).
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 11

Draft for 2nd Public Comment – February, 2013
Definition - Coordination involves child care and early childhood and
school-age development services efforts to work across multiple entities, both
public and private (such as in connection with a State Early Childhood
Comprehensive System (SECCS) grant or the State Advisory Council funded
under the Head Start Act of 2007). (658D(b)(1)(D), §§98.12(a), 98.14(a)(1))
Note: Descriptions of how governments are organized for each State are provided at:
http://www2.census.gov/govs/cog/all_ind_st_descr.pdf.
1.5.1. Identify and describe in the table below with whom the Lead
Agency coordinates in the delivery of child care and early childhood and
school-age services (§98.14(a)(1)).

Agency/Entity
(check all that apply)

Describe how the
Lead Agency will
coordinate with this
Agency/entity in
delivering child
care and early
childhood services

Describe results
expected from the
coordination
Examples might include
increased supply of fullday/full-year services,
aligned eligibility policies,
blended funding, or access
to more training and
technical assistance
resources shared across
agencies.

Representatives of general purpose local
government (required)
This may include, but is not limited to:
representatives from counties and
municipalities, local education
representatives, or local public health
agencies.
State/Territory agency responsible for
public education (required)
This may include, but is not limited to,
State/Territory pre-kindergarten
programs (if applicable), programs
serving school-age children (including 21st
Century Community Learning Centers), or
higher education;
Other Federal, State, local, Tribal (if
applicable), and/or private agencies
providing early childhood and schoolage/youth-serving developmental services
(required)

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 12

Draft for 2nd Public Comment – February, 2013

Agency/Entity
(check all that apply)

Describe how the
Lead Agency will
coordinate with this
Agency/entity in
delivering child
care and early
childhood services

Describe results
expected from the
coordination
Examples might include
increased supply of fullday/full-year services,
aligned eligibility policies,
blended funding, or access
to more training and
technical assistance
resources shared across
agencies.

State/Territory agency responsible for
public health (required)
This may include, but is not limited to, the
agency responsible for immunizations and
programs that promote children’s
emotional and mental health
State/Territory agency responsible for
employment services / workforce
development (required)
State/Territory agency responsible for
providing Temporary Assistance for
Needy Families (TANF) including local
human service agencies(required)
Indian Tribes/Tribal Organizations
(required)
N/A: No such entities exist within
the boundaries of the State
For the remaining agencies, check and describe (optional) any with which the Lead
Agency has chosen to coordinate early childhood and school-age service delivery
State/Territory agency with the Head
Start Collaboration grant
State/Territory agency responsible for
Race to the Top – Early Learning
Challenge (RTT-ELC)
N/A: State/Territory does not
participate in RTT-ELC
State/Territory agency responsible for the
Child and Adult Care Food Program
(CACFP)
State/Territory agency responsible for
programs for children with special needs
This may include, but is not limited to:
State/Territory early intervention
programs authorized under the
Individuals with Disabilities Education
Act (Part C for infants and toddlers and
Section 619 for preschool), or other
State/Territory agencies that support
children with special needs
State/Territory agency responsible for
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 13

Draft for 2nd Public Comment – February, 2013

Agency/Entity
(check all that apply)

Describe how the
Lead Agency will
coordinate with this
Agency/entity in
delivering child
care and early
childhood services

Describe results
expected from the
coordination
Examples might include
increased supply of fullday/full-year services,
aligned eligibility policies,
blended funding, or access
to more training and
technical assistance
resources shared across
agencies.

implementing the Maternal and Early
Childhood Home Visitation programs
grant
State/Territory agency responsible for
child welfare
State/Territory liaison for military child
care programs or other military child care
representatives
Private agencies/entities including
national initiatives that the Lead Agency
is participating in such as BUILD,
Strengthening Families, Mott Statewide
After-school Networks, Ready by 21
Local community organizations (child
care resource and referral, Red Cross)
Provider groups, associations or labor
organizations
Parent groups or organizations
Other

1.5.2. Does the State/Territory have a formal early childhood and/or
school-age coordination plan? Lead Agencies are not required to have an early
childhood nor a school-age coordination plan, but the State/Territory may have such
plans for other purposes, including fulfilling requirements of other programs.
Yes. If yes,
a) Provide the name of the entity responsible for the coordination
plan(s):
b) Describe the age groups addressed by the plan(s):
c) Indicate whether this entity also operates as the State Advisory
Council (as authorized under the Head Start Act of 2007):
Yes
No
d) Provide a web address for the plan(s), if available:
No
1.5.3. Does the State/Territory have a designated entity(ies) responsible
for coordination across early childhood and school-age programs?

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 14

Draft for 2nd Public Comment – February, 2013
(658D(b)(1)(D), §98.14(a)(1)) Check which entity(ies), if any, the State/Territory has
chosen to designate.
State/Territory-wide early childhood and/or school-age cabinet/advisory
council/task force/commission.
If yes, describe entity, age groups and the role of the Lead Agency
State Advisory Council (as described under the Head Start Act of 2007).
If yes, describe entity, age groups and the role of the Lead Agency
Local Coordination/Council
If yes, describe entity, age groups and the role of the Lead Agency
Other.
Describe
None
1.5.4. Does the Lead Agency conduct or plan to conduct activities to
encourage public-private partnerships that promote private sector
involvement in meeting child care needs? (§98.16(d))
Yes. If yes, describe these activities or planned activities, including
the tangible results expected from the public-private partnership
No.
1.6. Child Care Emergency Preparedness and Response Plan
It is recommended, but not required, that each Lead Agency develop a plan to
address preparedness, response, and recovery efforts specific to child care services
and programs. Plans should cover the following areas: 1) planning for continuation
of services to CCDF families; 2) coordination with other State/Territory agencies and
key partners; 3) emergency preparedness regulatory requirements for child care
providers; 4) provision of temporary child care services after a disaster; and 5)
rebuilding child care after a disaster. For further guidance on developing Child Care
Emergency Preparedness and Response Plans see the Information Memorandum
(CCDF-ACF-IM-2011-01) located on the Office of Child Care website at:
http://www.acf.hhs.gov/programs/occ/resource/im-2011-01
1.6.1. Indicate which of the following best describes the current status of
your efforts in this area. Check only ONE.
Planning. Indicate whether steps are under way to develop a plan. If so,
describe the time frames for completion and/or implementation, the steps
anticipated and how the plan will be coordinated with other emergency
planning efforts within the State/Territory.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 15

Draft for 2nd Public Comment – February, 2013
Developed. A plan has been developed as of [insert date] and put into
operation as of [insert date], if available. Provide a web address for this
plan, if available:
Other. Describe:
1.6.2. Indicate which of the core elements identified in the Information
Memorandum are or will be covered in the Lead Agency child care
emergency preparedness and response plan. Check which elements, if any,
the Lead Agency includes in the plan.
Planning for continuation of services to CCDF families
Coordination with other State/Territory agencies and key partners
Emergency preparedness regulatory requirements for child care providers
Provision of temporary child care services after a disaster
Restoring or rebuilding child care facilities and infrastructure after a
disaster
None

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 16

Draft for 2nd Public Comment – February, 2013

PART 2
CCDF SUBSIDY PROGRAM ADMINISTRATION
This section focuses on the child care assistance program. Lead Agencies are asked to
describe their efforts to inform parents about the CCDF subsidy program and
application policies and procedures, eligibility criteria, sliding fee scale, payment rate
policies and procedures, and how Lead Agencies ensure continuity of care and
parental choice of high quality settings for families.
2.1. Administration of the Program
The Lead Agency has broad authority to administer (i.e., establish rules) and operate
(i.e., implement activities) the CCDF program through other governmental, nongovernmental, or other public or private local agencies as long as it retains overall
responsibility for the administration of the program. (658D(b), §98.11(a))
2.1.1. Which of the following CCDF program rules and policies are set or
established at the State/Territory versus the local level? Identify the level at
which the following CCDF program rules and policies are established.
Eligibility rules and policies (e.g., income limits) are set by the:
State/Territory
Local entity. If checked, identify the type of policies the local
entity(ies) can set
Other. Describe:
Sliding fee scale is set by the:
State/Territory
Local entity. If checked, identify the type of policies the local
entity(ies) can set
Other. Describe:
Payment rates are set by the:
State/Territory
Local entity. If checked, identify the type of policies the local
entity(ies) can set
Other. Describe:
2.1.2. How is the CCDF program operated in your State/Territory? In the
table below, identify which agency(ies) performs these CCDF services and activities.
Implementation of CCDF Services/Activities
Who determines eligibility?

Note: If different for families receiving TANF benefits and
families not receiving TANF benefits, please describe:

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Agency (Check all that apply)
CCDF Lead Agency
TANF agency
Other State/Territory agency.
Describe.
Local government agencies such
as county welfare or social services
departments
Page 17

Draft for 2nd Public Comment – February, 2013
Implementation of CCDF Services/Activities

Who assists parents in locating child care (consumer
education)?

Who issues payments?

Agency (Check all that apply)
Child care resource and referral
agencies
Community-based organizations
Other. Describe.
CCDF Lead Agency
TANF agency
Other State/Territory agency.
Describe.
Local government agencies such
as county welfare or social services
departments
Child care resource and referral
agencies
Community-based organizations
Other. Describe.
CCDF Lead Agency
TANF agency
Other State/Territory agency.
Describe.
Local government agencies such
as county welfare or social services
departments
Child care resource and referral
agencies
Community-based organizations
Other. Describe.

Describe to whom is the payment issued (e.g., parent
or provider) and how are payments distributed (e.g.,
electronically, cash, etc)
Other. List and describe:

2.2. Family Outreach and Application Process
Lead Agencies must inform parents of eligible children and the general public of the
process by which they can apply for and potentially receive child care services.
(658D(b)(1)(A), 658E(c)(2)(D) & (3)(B), §§98.16(k), 98.30(a)-(e). Note - For any
information in questions 2.2.1 through 2.2.10 that differs or will differ for families
receiving TANF, please describe in 2.2.11.
2.2.1. By whom and how are parents informed of the availability of child
care assistance services under CCDF? (658E(c)(2)(A), §98.30(a)) Check all
agencies and strategies that will be used in your State/Territory.
CCDF Lead Agency
TANF offices
Other government offices
Child care resource and referral agencies
Contractors
Community-based organizations
Public schools
Internet (provide website):
Promotional materials
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 18

Draft for 2nd Public Comment – February, 2013
Community outreach meetings, workshops or other in-person meetings
Radio and/or television
Print media
Other. Describe:
2.2.2. How can parents apply for CCDF services? Check all application
methods that your State/Territory has chosen to implement.
In person interview or orientation
By mail
By Phone/Fax
Through the Internet (provide website)
By Email
Through a State/Territory Agency
Through an organization contracted by the State/Territory
Other. Describe:
2.2.3. Describe how the Lead Agency provides consumer education to
parents applying for CCDF assistance to promote informed choices.
about the quality of care provided by various providers in their
communities.
Lead Agencies must certify that the State/Territory will collect and disseminate to
parents of eligible children and the general public, consumer education information
that will promote informed child care choices(658E (c)(2)(G), §98.33).
For example, memorandums of understanding with resource and referral agencies to
provide consumer education to families applying for CCDF assistance, providing
parents with provider lists showing licensing history and/or Quality Rating and
Improvement System (QRIS) ratings, or informational brochures that address
importance of quality and different care options available.
2.2.4. Describe how the Lead Agency will support child care programs to
increase the likelihood that CCDF-served children receive higher quality
care as defined in your State/Territory. For example, methods used to
promote upward movement in quality rating and improvement system, methods
used to encourage high quality programs to participate in the subsidy program such
as tiered reimbursement, or incentives used to support high quality programs in
rural, suburban, urban, and low-income communities.
2.2.5. Describe how the Lead Agency promotes access to the CCDF
subsidy program? Check the strategies implemented by your State/Territory.
Provide access to program office/workers such as:
Providing extended office hours
Accepting applications at multiple office locations
Providing a toll-free number for clients
Email/online communication
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 19

Draft for 2nd Public Comment – February, 2013
Other. Describe:
Using a simplified eligibility determination process such as:
Simplifying the application form (such as eliminating unnecessary
questions, lowering the reading level)
Developing a single application for multiple programs
Developing web-based and/or phone-based application procedures
Coordinating eligibility policies across programs. List the program
names
Streamlining verification procedures, such as linking to other
program data systems
Providing information multi-lingually
Including temporary periods of unemployment in eligibility criteria
(job search, seasonal unemployment). Length of time
(Note:
this period of unemployment should be included in the Lead Agency’s
definition of working, or job training/educational program at 2.3.3).
Other. Describe:
Other. Describe:
None
2.2.6. Describe the Lead Agency’s policies to promote continuity of care
for children and stability for families. Check the strategies, if any, that your
State/Territory has chosen to implement.
Provide CCDF assistance during periods of job search. Length of time
Establish two-tiered income eligibility to allow families to continue to
receive child care subsidies if they experience an increase in income but
still remain below 85% of State median income (SMI)
Synchronize review date across programs. List programs:
Longer eligibility re-determination periods (e.g., 1 year). Describe
Extend periods of eligibility for families who are also enrolled in either
Early Head Start or Head Start and pre-k programs. Describe
Extend periods of eligibility for school-age children under age 13 to cover
the school year. Describe
Minimize reporting requirements for changes in family’s circumstances
that do not impact families’ eligibility, such as changes in income below a
certain threshold or change in employment
Individualized case management to help families find and keep stable child
care arrangements. Describe
Using non-CCDF Funds to continue subsidy for families who no longer
meet eligibility, such as for children who turn 13 years of age during the
middle of a program year
Other. Describe
None

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 20

Draft for 2nd Public Comment – February, 2013
2.2.7. How will the Lead Agency provide outreach and services to eligible
families with limited English proficiency? Check the strategies, if any, that
your State/Territory has chosen to implement.
Application in other languages (application document, brochures, provider
notices)
Informational materials in non-English languages
Training and technical assistance in non-English languages
Website in non-English languages
Lead Agency accepts applications at local community-based locations
Bilingual caseworkers or translators available
Outreach Worker
Other:
None
If the Lead Agency checked any option above related to providing
information or services in other non-English languages, please list
the languages offered
2.2.8. How will the Lead Agency overcome language barriers with
providers? Check the strategies, if any, that your State/Territory has chosen to
implement.
Informational materials in non-English languages
Training and technical assistance in non-English languages
CCDF health and safety requirements in non-English languages
Provider contracts or agreements in non-English languages
Website in non-English languages
Bilingual caseworkers or translators available
Other:
None
If the Lead Agency checked any option above related to providing
information or services in other non-English languages, please list
the languages offered
2.2.9. Describe how the Lead Agency documents and verifies applicant
information using the table below. (§98.20(a)) Check the strategies that will be
implemented by your State/Territory. Attach a copy of your parent application for
the child care subsidy program(s) as Attachment 2.2.9 or provide a web address, if
available
Reminder – Lead Agencies are reminded that, for purposes of implementing the
citizenship verification requirements mandated by title IV of Personal Responsibility
and Work Opportunity Reconciliation Act, only the citizenship and immigration
status of the child, who is the primary beneficiary of the child care benefit, is relevant
for eligibility purposes. (ACYF-PI-CC-98-08) States may not deny child care benefits
to an eligible child because the parent(s), legal guardians, persons standing in loco
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 21

Draft for 2nd Public Comment – February, 2013
parentis, or other household members have not provided information regarding
their immigration status.
The Lead Agency requires
documentation of:

Describe how the Lead Agency
documents and verifies applicant
information:

Applicant identity
Household composition
Applicant’s relationship to the child
Child’s information for determining
eligibility (e.g., identity, age, etc.)
Work, Job Training or Educational
Program
Income
Other. Describe

2.2.10. 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 monitor the eligibility determination process
Other. Describe
None
2.2.11. Are the policies, strategies or processes provided in questions
2.2.1. through 2.1.10 different for families receiving TANF? (658E(c)(2)(H)
& (3)(D), §§98.16(g)(4), 98.33(b), 98.50(e))
Yes. If yes, describe:
No.
2.2.12. Informing parents who receive TANF benefits about the exception
to the individual penalties associated with the TANF work requirement
The regulations at §98.33(b) require the Lead Agency 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 under 6 years of age. Lead Agencies must
coordinate with TANF programs to ensure, pursuant 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 TANF agency in accordance with section 407(e)(2) of the Social
Security Act.
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.
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 22

Draft for 2nd Public Comment – February, 2013

a) Identify the TANF agency that established these criteria or definitions:
State/Territory TANF Agency
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 individual penalties associated with the TANF work requirements?
In writing
Verbally
Other:
2.3. Eligibility Criteria for Child Care
In order to be eligible for services, children must (1) be under the age of 13, or under
the age of 19 if the child is physically or mentally disabled or under court
supervision; (2) reside with a family whose income is less than 85 percent of the
State’s median income for a family of the same size; and (3) reside with a parent or
parents who is working or attending job training or an educational program; or (4)
be receiving or needs to receive protective services. (658P(3), §98.20(a))
2.3.1. How does the Lead Agency define the following eligibility terms?
residing with in loco parentis –
2.3.2. Eligibility Criteria Based Upon Age
a) The Lead Agency serves children from
not equal or exceed age 13).

weeks to

years (may

b) Does the Lead Agency allow CCDF-funded child care for children age 13
and above but below age 19 years who are physically and/or mentally
incapable of self-care? (658E(c)(3)(B), 658P(3), §98.20(a)(1)(ii))
Yes, and the upper age is
(may not equal or exceed age 19) .
Provide the Lead Agency definition of physical or mental incapacity –
No.
c) Does the Lead Agency allow CCDF-funded child care for children age 13
and above but below age 19 years who are under court supervision? (658P(3),
658E(c)(3)(B), §98.20(a)(1)(ii))
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 23

Draft for 2nd Public Comment – February, 2013
Yes, and the upper age is
No.

(may not equal or exceed age 19)

2.3.3. Eligibility Criteria Based Upon Work, Job Training or Educational
Program
a) How does the Lead Agency define “working” for the purposes of eligibility?
Provide a narrative description below, including allowable activities and if a
minimum number of hours is required.
Reminder – Lead Agencies have the flexibility to include any workrelated activities in its definition of working including periods of job
search and travel time. (§§98.16(f)(3), 98.20(b))
working –
b) Does the Lead Agency provide CCDF child care assistance to parents who
are attending job training or an educational program? (§§98.16(g)(5),
98.20(b))
Yes. If yes, how does the Lead Agency define “attending job training or
educational program” for the purposes of eligibility? Provide a
narrative description below.
Reminder – Lead Agencies have the flexibility to include any
training or education-related activities in its definition of job
training or education, including study time and travel time.
attending job training or educational program –
No.
2.3.4. Eligibility Criteria Based Upon Receiving or Needing to Receive
Protective Services
a) Does the Lead Agency provide child care to children in protective services?
(§§98.16(f)(7), 98.20(a)(3)(ii)(A) & (B))
Yes. If yes, how does the Lead Agency define “protective services”
for the purposes of eligibility? Provide a narrative description
below.
Reminder – Lead Agencies have the flexibility to define
protective services beyond formal child welfare or foster care
cases. Lead Agencies may elect to include homeless children and
other vulnerable populations in the definition of protective
services.
Note – If the Lead Agency elects to provide CCDF-funded child
care to children in foster care whose foster care parents are not
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 24

Draft for 2nd Public Comment – February, 2013
working, or who are not in education/training activities for
CCDF purposes these children are considered to be in protective
services and should be included in this definition.
protective services –
No.
b) Does the Lead Agency waive, on a case-by-case basis, the co-payment and
income eligibility requirements for cases in which children receive, or need to
receive, protective services? (658E(c)(3)(B), 658P(3)(C)(ii),
§98.20(a)(3)(ii)(A))
Yes.
No.
2.3.5. Income Eligibility Criteria
a) How does the Lead Agency define “income” for the purposes of eligibility?
Provide the Lead Agency’s definition of “income” for purposes of eligibility
determination. (§§98.16(g)(5), 98.20(b))
income –
b) Which of the following sources of income, if any, will the Lead Agency
exclude or deduct from calculations of total family income for the purposes of
eligibility determination? Check any income the Lead Agency chooses to
exclude or deduct, if any.
Adoption subsidies
Foster care payments
Alimony received or paid
Child support received
Child support paid
Federal nutrition programs
Federal tax credits
State/Territory tax credits
Housing allotments, Low-Income Energy Assistance Program
(LIHEAP) or energy assistance
Medical expenses or health insurance related expenses
Military housing or other allotment/bonuses
Scholarships, education loans, grants, income from work study
Social Security Income
Supplemental Security Income (SSI)
Veteran’s benefits
Unemployment Insurance
Temporary Assistance for Needy Families (TANF)
Worker Compensation
Other types of income not listed above
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 25

Draft for 2nd Public Comment – February, 2013
None
c) Whose income will be excluded, if any, for purposes of eligibility
determination? Check anyone the Lead Agency chooses to exclude, if any.
Children under age 18
Children age 18 and over – still attending school
Teen parents
Unrelated members of household
All members of household except for parents/legal guardians
Other
None
d) Provide the CCDF income eligibility limits in the table below. Complete
columns (a) and (b) based upon maximum eligibility initial entry into the
CCDF program. Complete Columns (c) and (d) ONLY IF the Lead Agency is
using income eligibility limits lower than 85% of the SMI.

Family
Size

(a)

(b)

100% of State Median
Income (SMI)
($/month)

85% of State Median
Income (SMI)
($/month)
[Multiply (a) by 0.85]

IF APPLICABLE
Income Level if lower than
85% SMI
(c)
(d)
$/month

% of SMI
[Divide (c) by (a),
multiply by 100]

1
2
3
4
5

Reminder - Income limits must be provided in terms of State Median
Income (SMI) (or Territory Median Income) even if federal poverty level is
used in implementing the program. (§98.20(a)(2)). FY 2013 poverty
guidelines are available at http://aspe.hhs.gov/poverty/13poverty.cfm
e) Will the Lead Agency have “tiered eligibility” (i.e., a separate income limit
at re-determination to remain eligible for the CCDF program)?
Yes. If yes, provide the requested information from the table in
2.3.5d and describe
.
Note: This information can be included in a separate table, or
by placing a “/” between the entry and exit levels in the above
table.
No.
f) SMI Year

and

SMI Source

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 26

Draft for 2nd Public Comment – February, 2013
g) These eligibility limits in column (c) became or will become effective on:
2.3.6. Eligibility Re-determination
a)

Does the State/Territory follow OCC’s 12 month re-determination
recommendation? (See Program Instruction on Continuity of Care
http://www.acf.hhs.gov/programs/occ/resource/im2011-06
Yes
No. If no, what is the re-determination period in place for most
families?
6 months
24 months
Other. Describe
Length of eligibility varies by county or other jurisdiction. Describe

b) Does the Lead Agency coordinate or align re-determination
periods with other programs?
Yes.
No. If no, check programs that the Lead Agency aligns
eligibility periods with and describe the redetermination period
for each.
Head Start and/or Early Head Start Programs. Re-determination
period
Pre-kindergarten programs. Re-determination period
TANF. Re-determination period
SNAP. Re-determination period
Medicaid. Re-determination period
SCHIP. Re-determination period
Other. Describe
c) Describe under what circumstances, if any, a family’s eligibility would be
reviewed prior to redetermination. For example, regularly scheduled
interim assessments, or a requirement for families to report changes.
d) Describe any action(s) the State/Territory would take in response to any
change in a family’s eligibility circumstances prior to re-determination
e) Describe how these policies are implemented in a family-friendly manner
that promotes access and continuity of care for children. (See Information
Memorandum on Continuity of Care for examples
http://www.acf.hhs.gov/programs/occ/resource/im2011-06 ).
f) Does the Lead Agency use a simplified process at re-determination?
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 27

Draft for 2nd Public Comment – February, 2013

Yes. If yes, describe
No.
2.3.7. Waiting Lists
Describe the Lead Agency’s waiting list status. Select ONE of these
options.
Lead Agency currently does not have a waiting list and:
All eligible families who apply will be served under
State/Territory eligibility rules
Not all eligible families who apply will be served under
State/Territory eligibility rules
Lead Agency has an active waiting list for:
Any eligible family who applies when they cannot be served
at the time of application
Only certain eligible families. Describe those families:
Waiting lists are a county/local decision. Describe
Other. Describe
2.3.8. Appeal Process for Eligibility Determinations
Describe the process for families to appeal eligibility determinations
2.4. Sliding Fee Scale and Family Contribution
The statute and regulations require Lead Agencies to establish a sliding fee scale that
varies based on income and the size of the family to be used in determining each
family's contribution (i.e., co-payment) to the cost of child care (658E(c)(3)(B)
§98.42).
2.4.1. Attach a copy of the sliding fee scale as Attachment 2.4.1. Will the
attached sliding fee scale be used in all parts of the State/Territory?
Yes. Effective Date
No. If no, attach other sliding fee scales and their effective date(s) as
Attachment 2.4.1a, 2.4.1b, etc.
2.4.2. What income source and year will be used in creating the sliding fee scale?
(658E(c)(3)(B)) Check only one option.
State Median Income, Year:
Federal Poverty Level, Year:
Income source and year varies by geographic region. Describe
income source and year:
Other. Describe income source and year:

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 28

Draft for 2nd Public Comment – February, 2013
2.4.3. How will the family’s contribution be calculated and to whom will
it be applied? Check all that the Lead Agency has chosen to use. (§98.42(b))
Fee is a dollar amount and
Fee is per child with the same fee for each child
Fee is per child and discounted fee for two or more children
Fee is per child up to a maximum per family
No additional fee charged after certain number of children
Fee is per family
Fee is a percent of income and
Fee is per child with the same percentage applied for each child
Fee is per child and discounted percentage applied for two or more
children
No additional percentage applied charged after certain number of
children
Fee is per family
Contribution schedule varies by geographic area. Describe:
Other. Describe
If the Lead Agency checked more than one of the options above,
describe
2.4.4. Will the Lead Agency use other factors in addition to income and
family size to determine each family's contribution to the cost of child
care? (658E(c)(3)(B), §98.42(b))
Yes, and describe those additional factors:
No.
2.4.5. The Lead Agency may waive contributions from families whose
incomes are at or below the poverty level for a family of the same size.
(§98.42(c)). Select ONE of these options.
Reminder – Lead Agencies are reminded that the co-payments may be waived for
only two circumstances - for families at or below the poverty level or on a case-bycase basis for children falling under the definition of “protective services” (as defined
in 2.3.4.a).
ALL families, including those with incomes at or below the poverty
level for families of the same size, ARE required to pay a fee.
NO families with income at or below the poverty level for a family of
the same size ARE required to pay a fee. The poverty level used by the
Lead Agency for a family of 3 is: $
SOME families with income at or below the poverty level for a family of
the same size ARE NOT required to pay a fee. The Lead Agency waives
the fee for the following families:
2.5. Prioritizing Services for Eligible Children and Families
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 29

Draft for 2nd Public Comment – February, 2013
At a minimum, CCDF requires Lead Agencies to give priority for child care assistance
to children with special needs, or in families with very low incomes. Prioritization of
CCDF assistance services is not limited to eligibility determination (i.e.,
establishment of a waiting list or ranking of eligible families in priority order to be
served). Lead Agencies may fulfill priority requirements in other ways such as higher
payment rates for providers caring for children with special needs or waiving copayments for families with very low incomes (at or below the federal poverty level).
(658E(c)(3)(B), §98.44)
2.5.1. How will the Lead Agency prioritize child care services to children
with special needs or in families with very low incomes? (658E(c)(3)(B),
§98.44) Lead Agencies have the discretion to define children with special needs and
children in families with very low incomes. Lead Agencies are not limited in
defining children with special needs to only those children with physical or mental
disabilities (e.g., with a formal Individual Education Plan (IEP) required under the
Individuals with Disabilities Education Act (IDEA)). Lead Agencies could consider
children in the child welfare system, children of teen parents, or homeless children
as examples of children with special needs.
How will the Lead
Agency prioritize
CCDF services for:
Children with special
needs
Provide the Lead
Agency definition of
Children with Special
Needs

Children in families
with very low incomes
Provide the Lead
Agency definition of
Children in Families
with Very Low Incomes

Eligibility
Priority
(Check only
one)
Priority over
other CCDFeligible families
Same priority
as other CCDFeligible families
Guaranteed
subsidy
eligibility
Other.
Describe

Is there a time
limit on the
eligibility priority
or guarantee?
Yes. The time
limit is:

Priority over
other CCDFeligible families
Same priority
as other CCDFeligible families
Guaranteed
subsidy
eligibility
Other.
Describe

Yes. The time
limit is:

No

No

Other Priority
Rules
Different eligibility
thresholds. Describe
Higher rates for
providers caring for
children with special
needs requiring
additional care
Prioritizes quality
funds for providers
serving these children
Other. Describe
Different eligibility
thresholds. Describe
Waiving copayments for families
with incomes at or
below the Federal
Poverty Level
Other. Describe

2.5.2. How will CCDF funds be used to provide child care assistance to
meet the needs of families receiving Temporary Assistance for Needy
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 30

Draft for 2nd Public Comment – February, 2013
Families (TANF), those attempting to transition off TANF through work
activities, and those at risk of becoming dependent on TANF?
(658E(c)(2)(H), Section 418(b)(2) of the Social Security Act, §§98.50(e), 98.16(g)(4))
Reminder - CCDF requires that not less than 70 percent of CCDF Mandatory and
Matching funds be used to provide child care assistance for families receiving
Temporary Assistance for Needy Families (TANF), those attempting to transition off
TANF through work activities, and those at risk of becoming dependent on TANF.
Use priority rules to meet the needs of TANF families (describe in 2.5.1 or
2.5.3.)
Waive fees (co-payments) for some or all TANF families who are below
poverty level
Coordinate with other entities (i.e. TANF office, other State/Territory
agencies, and contractors)
Other:
2.5.3. List and define any other eligibility conditions, priority rules and
definitions that will be established by the Lead Agency. (658E(c)(3)(B),
§98.16(g)(5), §98.20(b)) Reminder – Lead Agencies are reminded that any
eligibility criteria and terms provided below must comply with the eligibility
requirements of §98.20 and provided in section 2.2. Any priority rules provided
must comply with the priority requirements of §98.44 and provided in section 2.4.1.
Term(s)

Definition(s)

2.6. Parental Choice In Relation to Certificates, Grants or Contracts
The parent(s) of each eligible child who receives or is offered financial assistance for
child care services has the option of either enrolling such child with a provider that
has a grant or contract for the provision of service or receiving a child care
certificate. (658E(c)(2)(A), §98.15(a)).
2.6.1. Child Care Certificates
a) When is the child care certificate (also referred to as voucher or
authorization) issued to parents? (658E(c)(2)(A)(iii), 658P(2), §98.2,
§98.30(c)(4) & (e)(1) & (2))
Before parent has selected a provider
After parent has selected a provider
Other. Describe
b) How does the Lead Agency inform parents that the child care certificate
permits them to choose from a variety of child care categories, including child

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 31

Draft for 2nd Public Comment – February, 2013
care centers, child care group homes, family child care homes, and in-home
providers? (§98.30(e)(2))
Certificate form provides information about choice of providers
Certificate is not linked to a specific provider so parents can choose
provider of choice
Consumer education materials (flyers, forms, brochures)
Referral to child care resource and referral agencies
Verbal communication at the time of application
Public Services Announcement
Agency Website:
Community outreach meetings, workshops, other in person
activities
Multiple points of communication throughout the eligibility and
renew process
Other. Describe
c) What information is included on the child care certificate? Attach a copy
of the child care certificate as Attachment 2.6.1. (658E(c)(2)(A)(iii))
Authorized provider(s)
Authorized payment rate(s)
Authorized hours
Co-payment amount
Authorization period
Other. Describe
d) What is the estimated proportion of services that will be available for child
care services through certificates?
2.6.2. 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),
658P(4), §§98.16(g)(1), 98.30(a)(1) & (b)). Note: Do not check “yes” if
every provider is simply required to sign an agreement in order to be paid
in the certificate program.
Yes. If yes, describe the type(s) of child care services available
through grants or contracts, the process for accessing grants or
contracts, and the range of providers that will be available
through grants or contracts:
No. If no, skip to 2.6.3.
b) Will the Lead Agency use grants or contracts for child care services to
achieve any of the following? Check the strategies, if any, that your
State/Territory chooses to implement.
Increase the supply of specific types of care
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 32

Draft for 2nd Public Comment – February, 2013
Programs to serve children with special needs
Wrap-around or integrated child care in Head Start, Early
Head Start, pre-k, summer or other programs
Programs to serve infant/toddler
School-age programs
Center-based providers
Family child care providers
Group-home providers
Programs that serve specific geographic areas
Urban
Rural
Other. Describe
Support programs in providing higher quality services
Support programs in providing comprehensive services
Serve underserved families. Specify:
Other. Describe
c) Are child care services provided through grants or contracts offered
throughout the State/Territory? (658E(a), §98.16(g)(3))
Yes.
No, and identify the localities (political subdivisions) and
services that are not offered:
d) How are payment rates for child care services provided through
grants/contracts determined?
e) What is the estimated proportion of direct services that will be available for
child care services through grants/contracts?
2.6.3. How will the Lead Agency inform parents and providers of policies
and procedures for affording parents unlimited access to their children
whenever their children are in the care of a provider who receives CCDF
funds? (658E(c)(2)(B), §98.31)) Check the strategies that will be implemented by
your State/Territory.
Signed declaration
Parent Application
Parent Orientation
Provider Agreement
Provider Orientation
Other. Describe:
2.6.4. 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(g)(2),
98.30(e)(1)(iv)) Will the Lead Agency limit the use of in-home care in any way?
No
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 33

Draft for 2nd Public Comment – February, 2013
Yes. If checked, what limits will the Lead Agency set on the use of in-home
care? Check all limits the Lead Agency will establish.
Restricted based on minimum number of children in the care of the
provider to meet minimum wage law or Fair Labor Standards Act
Restricted based on provider meeting a minimum age requirement
Restricted based on hours of care (certain number of hours, nontraditional work hours)
Restricted to care by relatives
Restricted to care for children with special needs or medical condition
Restricted to in-home providers that meet some basic health and safety
requirements
Other. Describe
2.6.5. Describe how the Lead Agency maintains a record of substantiated
parental complaints about providers and makes substantiated parental
complaints available to the public on request. (658E(c)(2)(C), §98.32)
2.7. Payment Rates for Child Care Services
The statute at 658E(c)(4) and the regulations at §98.43(b)(1) require the Lead
Agency to establish adequate payment rates for child care services that ensure
eligible children equal access to comparable care.
2.7.1 Attach a copy of your payment rates as Attachment 2.7.1. Will the
attached payment rates be used in all parts of the State/Territory?
Yes. Effective Date:
No. If no, attach other payment rates and their effective date(s) as
Attachment 2.7.1a, 2.7.1b, etc.
2.7.2. Which strategies, if any, will the Lead Agency use to ensure the
timeliness of payments?
Policy on length of time for making payments. Describe length of time
Track and monitor the payment process
Other. Describe
None
2.7.3. Market Rate Survey
Lead Agencies must complete a local Market Rate Survey (MRS) no earlier than two
years prior to the effective date of the Plan (no earlier than October 1, 2011). The
MRS must be completed prior to the submission of the CCDF Plan (see Program
Instruction CCDF-ACF-PI-2009-02
http://www.acf.hhs.gov/programs/occ/resource/pi-2009-02 for more information
on the MRS deadline).
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 34

Draft for 2nd Public Comment – February, 2013

a) Provide the month and year when the local Market Rate Survey(s) was
completed (§98.43(b)(2)):
.
b) Provide a summary of the results of the survey.
The summary
should include a description of the sample population, data source, the type of
methodology used, response rate, description of analyses, and key findings.
2.7.4. Describe the payment rate ceilings in relation to the current MRS
using the tables below.
Because of the flexibility that Lead Agencies have in setting payment rate ceilings,
the following tables have been developed to simplify Lead Agency reporting on how
their payment rate ceilings compare to their most recent MRS. These tables are not
meant to collect comprehensive payment rate ceilings within a State/Territory and
ACF recognizes that Lead Agencies are not required to set their payment rate ceilings
at the 75th percentile. These tables allow Lead Agencies to use a common metric –
the 75th percentile – as a reference point against which the Lead Agency can report
their percentiles for three selected age groups in two geographic areas for licensed
child care centers and licensed family child care homes.
In table 2.7.4a and 2.7.4b, highest rate area refers to the State or Territory’s area or
geographic region with the highest maximum payment rate ceiling for child care
centers (2.7.4a) and family child care homes (2.7.4b). Identify the highest rate area
in the box provided. In column (a), provide the full-time monthly rate at the 75th
percentile from the most recent MRS, even if the most recent MRS is not used to set
rates. In column (b), provide the maximum monthly payment rate ceiling from your
CCDF payment rate table. Complete column (c) ONLY IF the percentile for the
monthly maximum payment rate ceiling is lower than the 75th percentile of the most
recent MRS.
Note - Report the “base” maximum reimbursement rate ceiling, not including any
rate add-ons or tiered reimbursements. For example, if maximum reimbursement
rate ceilings are tiered based on level of quality (e.g., accreditation, or rating within a
quality rating system such as gold, silver and bronze), report the rates for the lowest
level in the tables below (e.g., bronze), only if there is no lower “base” rate paid for
child care services by providers not participating in the quality rating system.
If your State/Territory has hourly, daily and/or weekly maximum payment rate
ceiling, Lead Agencies can use the following assumptions to calculate monthly
maximum payment rate ceiling for column (b) – 9 hours a day, 5 days per week, 4.33
weeks per month.
OCC recognizes that States and Territories use a wide variety of age ranges and
categories in setting payment rate ceilings. In these charts, report rates for the
following ages only – 11 months, 59 months, and 84 months of age – regardless of
what that age category may be called in your State/Territory.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 35

Draft for 2nd Public Comment – February, 2013
2.7.4a – Highest
Rate Area (Centers)

(a)
Monthly
Payment Rate
at the 75th
percentile from
the most recent
MRS

(b)
Monthly
Maximum
Payment Rate
Ceiling

(c)
Percentile if
lower than 75th
percentile of
most recent
survey

(a)
(b)
Monthly
Monthly
Payment Rate at
Maximum
the 75th
Payment Rate
percentile of the
Ceiling
most recent
MRS

(c)
Percentile if
lower than 75th
percentile of
most recent
survey

Full-Time Licensed
Center Infants (11
months)
Full-Time Licensed
Center Preschool (59
months)
Full-Time Licensed
Center School-Age (84
months)
2.7.4b – Lowest Rate
Area (Centers)

Full-Time Licensed
Center Infants (11
months)
Full-Time Licensed
Center Preschool (59
months)
Full-Time Licensed
Center School-Age (84
months)
In table 2.7.4c and 2.7.4d, lowest rate area refers to the State or Territory’s area or
geographic region with the lowest maximum payment rate ceiling for child care
centers and family child care homes. Identify the lowest rate area in the box
provided. In column (a), provide the full-time monthly rate at the 75th percentile
from the most recent MRS, even if the most recent MRS is not used to set rates. In
column (b), provide the maximum monthly payment rate ceiling from your CCDF
payment rate table. Complete column (c) ONLY IF the percentile for the monthly
maximum payment rate ceiling is lower than the 75th percentile of the most recent
MRS.
Note - Report the “base” maximum reimbursement rate ceilings, not including any
rate add-ons or tiered reimbursement. For example, if maximum reimbursement
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 36

Draft for 2nd Public Comment – February, 2013
rate ceilings are tiered based on level of quality (e.g., accreditation, or rating within a
quality rating system such as gold, silver and bronze), report the rates for the lowest
level in the tables below (e.g., bronze), only if there is no lower “base” rate paid for
child care services by providers not participating in the quality rating system.
If your State/Territory has hourly, daily and/or weekly maximum payment rate
ceiling, Lead Agencies can use the following assumptions to calculate monthly
maximum payment rate ceiling for column (b) – 9 hours a day, 5 days per week, 4.33
weeks per month.
OCC recognizes that States and Territories use a wide variety of age ranges and
categories in setting payment rate ceilings. In these charts, report rates for the
following ages only – 11 months, 59 months, and 84 months of age – regardless of
what that age category may be called in your State/Territory.
2.7.4c – Highest
Rate Area (FCC)

(a)
Monthly Payment
Rate at the 75th
percentile of the
most recent MRS

(b)
Monthly
Maximum
Payment
Rate Ceiling

(c)
Percentile if
lower than 75th
percentile of most
recent survey

(a)
Monthly Payment
Rate at the 75th
percentile of the
most recent MRS

(b)
Monthly
Maximum
Payment
Rate Ceiling

(c)
Percentile if
lower than 75th
percentile of
most recent
survey

Full-Time Licensed FCC
Infants (11 months)
Full-Time Licensed FCC
Preschool (59 months)
Full-Time Licensed FCC
School-Age (84 months)
2.7.4d – Lowest Rate
Area (FCC)

Full-Time Licensed FCC
Infants (11 months)
Full-Time Licensed FCC
Preschool (59 months)
Full-Time Licensed FCC
School-Age (84 months)
2.7.5. How are payment rate ceilings for license-exempt providers set?
a) Describe how license-exempt center payment rates are set:
b) Describe how license-exempt family child care home payment rates are
set:
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 37

Draft for 2nd Public Comment – February, 2013

c) Describe how license-exempt group family child care home payment rates
are set:
d) Describe how in-home care payment rates are set:
2.7.6 Will the Lead Agency provide any type of tiered reimbursement or
differential rates on top of its base reimbursement rates for providing
care for children receiving CCDF subsidies? Check which types of tiered
reimbursement, if any, the Lead Agency has chosen to implement. In the description
of any tiered rates or add-ons, indicate the process and basis used for determining
the tiered rates and amount and also indicate if the rates were set based on the MRS
or another process.
Differential rate for nontraditional hours. Describe
Differential rate for children with special needs as defined by the
State/Territory. Describe
Differential rate for infants and toddlers. Describe
Differential rate for school-age programs. Describe
Differential rate for higher quality as defined by the State/Territory.
Describe
Other differential rate. Describe
None.
Reminder - CCDF regulations require the Lead Agency to certify that the payment
rates for the provision of child care services are sufficient to ensure equal access for
eligible families to child care services comparable to those provided to families not
eligible to receive CCDF assistance. In the next three questions, Lead Agencies are
asked to describe how their payment policies reflect the affordable copayments for
families’ provision of equal access (i.e., minimizing additional fees to parents), how
payment practices are implemented consistent with the general child care market to
be fair to providers (see Information Memorandum on Continuity of Care for
examples http://www.acf.hhs.gov/programs/occ/resource/im2011-06 ), and the
summary of facts describing how payment rates are adequate to ensure equal access
to the full range of providers.
2.7.7. What policies does the Lead Agency have regarding any additional
fees that providers may charge CCDF parents? The Lead Agency…
Allows providers to charge the difference between the maximum
reimbursement rate and their private pay rate
Pays for provider fees (e.g., registration, meals, and supplies). Describe
Policies vary across region, counties and or geographic areas. Describe
Other. Describe

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 38

Draft for 2nd Public Comment – February, 2013
2.7.8 What specific policies and practices does the Lead Agency have
regarding the following:
a) Number of absent days allowed. Describe
b) Paying based on enrollment. Describe
c) Paying on the same schedule that providers charge private pay families
(e.g., hourly, weekly, monthly)
d) Using electronic tools (automated billing, direct deposit, EBT cards, etc.) to
make provider payments. Describe
2.7.9. Describe how payment rates are adequate to ensure equal access
to the full range of providers based on the Market Rate Survey.
CCDF regulations require the Lead Agency to certify that the payment rates for the
provision of child care services are sufficient to ensure equal access for eligible
families to child care services comparable to those provided to families not eligible to
receive CCDF assistance. To demonstrate equal access, the Lead Agency shall
provide at a minimum a summary of facts describing: (§98.43(a))
a) How a choice of the full range of providers, e.g., child care centers, family
child care homes, group child care homes and in-home care, is made available
(§98.43(a)(1))
b) How payment rates are adequate based on the most recent local MRS
(§98.43(a)(2))
c) How family co-payments based on a sliding fee scale are affordable
(§98.43(a)(3))
d) Any additional facts the Lead Agency considered to determine that its
payment rates ensure equal access, including how the quality of child care
providers is taken into account when setting rates and whether any other
methodologies (e.g., cost estimation models) are used in setting payment
rates
2.8 Goals for the next Biennium – In this section, Lead Agencies are asked to
identify at least one goal for the upcoming biennium and are encouraged to identify
no more than five priority goals total. ACF will target technical assistance efforts to
help Lead Agencies achieve their goal(s). Lead Agencies may include existing goals
(e.g., already identified in a State strategic plan or established by the Governor for a
Lead Agency). Lead Agencies will report progress and updates on these goals in the
annual Quality Performance Report (Appendix 1), including any barriers
encountered.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 39

Draft for 2nd Public Comment – February, 2013
What are the Lead Agency’s goals for the administration of the CCDF subsidy
program in the coming Biennium? For example, what progress does the
State/Territory expect to make on continuing improved services to parents and
providers, continuity of care for children, improving outreach to parents and
providers, building or expanding information technology systems, or revising rate
setting policies or practices).
Note – When identifying your goals below, Lead Agencies are encouraged to begin
with an action verb reflecting the desired result over the two year period (e.g.,
Increase, Improve, Build, Align, Implement, Review, Revise, Streamline, Expand,
etc.)
Goal 1 Goal 2 Goal 3 Goal 4 Goal 5

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 40

Draft for 2nd Public Comment – February, 2013
PART 3
HEALTH AND SAFETY AND QUALITY IMPROVEMENT ACTIVITIES
In this section, Lead Agencies are asked to describe their goals and plans for
implementation of child care quality improvement activities. Under the Child Care
and Development Block Grant Act, Lead Agencies have significant responsibility for
ensuring the health and safety of children in child care through the State/Territory’s
child care licensing system and establishing health and safety standards for children
who receive CCDF funds. Health and safety is the foundation of quality, but is not
adequate to ensure that programs and staff are competent in supporting all areas of
child development and promoting school success.
Quality investments and support systems to promote continuous quality
improvement of both programs and the staff who work in them are a core element of
CCDF. Lead Agencies have been reporting on their efforts to support program
quality improvement and professional development since their initial Plans in 1999.
This section allows Lead Agencies to continue to describe the steps that they are
taking toward continuous quality improvement with a goal of having high quality
child care options across settings for all families. While one of the key goals for CCDF
is helping more low-income children access higher quality care, the Lead Agency has
the flexibility to consider its goals and strategic plans for a child care quality
improvement system for all families, not just those receiving assistance under CCDF.
Part 3 is organized around a template of four key components of quality which
encompass most of the quality investments and initiatives undertaken by Lead
Agencies over the past decade:
1. Ensuring health and safety of children through licensing and health and
safety standards
2. Establishing early learning guidelines
3. Creating pathways to excellence for child care programs through program
quality improvement activities
4. Creating pathways to an effective, well-supported child care workforce
through professional development systems and workforce
initiatives.
For each component, Lead Agencies are asked to conduct a three-step process. First,
in this section, Lead Agencies will conduct a self-assessment of their programs by
responding to the questions in Part 3 that describe the current status of their efforts,
using common practices and best practices to list characteristics that build off those
that have been reported in previous plans. Second, Lead Agencies then are asked to
identify goals for making progress during the FY 2014-2015 biennium and describe
their data, performance measure and evaluation capacity for each component. Third,
Lead Agencies will report progress on their goals using the Quality Performance
Report which is included and described in Appendix 1. The QPR will not be
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 41

Draft for 2nd Public Comment – February, 2013
submitted until December 31, 2014.
Based on information reported in past plans, it is expected that the Lead Agency will
describe in these first two steps how they will continue to make systematic
investments towards child care quality improvement across its early childhood and
school-age spectrum – including all settings, geographic coverage and age range –
that will help show progress toward these outcomes and goals. Ultimately, these
child care quality improvement elements should be fully implemented and
integrated. Each State/Territory is expected to fall on a continuum of progress as a
result of these first two steps. Lead Agency’s individual progress will reported using
the Quality Performance Report.
3.1. Activities to Ensure the Health and Safety of Children in Child Care
(Component #1)
This section is intended to collect information on how Lead Agencies meet the
statutory and regulatory provisions related to licensing and health and safety
requirements. The CCDBG statute and the CCDF regulations address health and
safety primarily in two ways.
First, Lead Agencies shall certify that they have in effect licensing requirements
applicable to child care services provided within the area served by the Lead Agency
(§98.40(a)(1)). These licensing requirements need not be applied to specific types of
providers of child care services (658(E)(c)(2)(E)(i). Lead Agencies must describe
those licensing requirements and how they are effectively enforced. Questions
related to licensing requirements are in sections 3.1.1 and 3.1.2. Second, Each Lead
Agency shall certify that there are in effect, within the State or local law,
requirements designed to protect the health and safety of children that are applicable
to child care providers of services for which assistance is provided under CCDF.
Questions related to CCDF Health and Safety requirements are in sections 3.1.3 and
3.1.4.
3.1.1. Compliance with Applicable State/Territory and Local Regulatory
Requirements on Licensing
Lead Agencies shall certify that they have in effect licensing requirements applicable
to child care services provided within the area served by the Lead Agency
(§98.40(a)(1)). These licensing requirements need not be applied to specific types of
providers of child care services (658(E)(c)(2)(E)(i). Lead Agencies must describe
those licensing requirements and how they are effectively enforced.
Definition: Licensing requirements are defined as regulatory requirements,
including registration or certification requirements established under State, local, or
tribal law, necessary for a provider to legally operate and provide child care services
in a State or locality (§98.2). This does not include registration or certification
requirements solely for child care providers to be eligible to participate in the CCDF
program. Those requirements will be addressed in 3.1.2.
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 42

Draft for 2nd Public Comment – February, 2013
The relationship between licensing requirements and health and safety requirements
varies by State/Territory depending on how comprehensive the licensing system is.
In some States and Territories, licensing may apply to the majority of CCDF-eligible
providers and the licensing standards cover the three CCDF health and safety
requirements so the State/Territory has few, if any, providers for whom they need to
establish additional CCDF health and safety requirements. In other cases, States and
Territories have elected to exempt large numbers of providers from licensing which
means that those exempted providers who care for children receiving assistance
from CCDF will have to meet to the CCDF health and safety requirements through an
alternative process outside of licensing as defined by the State/Territory. The
State/Territory may also elect to impose more stringent standards and licensing or
regulatory requirements on child care providers of services for which assistance is
provided under the CCDF than the standards or requirements imposed on other
child care providers. (§98.40(b)(1)) (658E(c)(2)(F), §98.41).
a) Is the Lead Agency responsible for child care licensing? (§98.11(a))
Yes.
No. Please identify the State or local (if applicable) entity/agency
responsible for licensing
b) Provide a brief overview of the relationship between the licensing
requirements and CCDF health and safety requirements in your
State/Territory.
c) Do the State/Territory’s licensing requirements serve as the CCDF health
and safety requirements?
CenterBased
Child Care

Group Home
Child Care

Family Child
Care

N/A. Check if
in-home care is
not subject to
licensing in your
State/Territory.

N/A. Check if
your
State/Territory
does not have
group home
child care.

Yes, for all
providers in
this
category
Yes, for
some
providers in
this
category
No
Other

In-Home Care

Describe

Describe

Describe

Describe

Describe

Describe

Describe

Describe

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 43

Draft for 2nd Public Comment – February, 2013

d) CCDF identifies and defines four categories of care: child care centers,
family child care homes, group child care homes and in-home child care
providers (§98.2). The CCDF definition for each category is listed below. For
each CCDF category of care, please identify which types of providers are
subject to licensing and which providers are exempt from licensing in your
State/Territory in the chart below. Note: OCC recognizes that each
State/Territory identifies and defines its own categories of care.
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
but consistent with your reported 801 data.
CCDF
Category of
Care
CenterBased
Child Care

Group
Home
Child Care
N/A.
Check if
your
State/Terri
tory does
not have
group
home child
care.
Family
Child Care

CCDF Definition
(§98.2)
Center-based child care
providers are defined as
a provider licensed or
otherwise authorized to
provide child care
services for fewer than
24 hours per day per
child in a nonresidential setting,
unless care in excess of
24 hours is due to the
nature of the parent(s)’
work.
Group home child care
provider is defined as
two or more individuals
who provide child care
services for fewer than
24 hours per day per
child, in a private
residence other than
the child’s residence,
unless care in excess of
24 hours is due to the
nature of the parent(s)’
work.
Family child care
provider is defined as
one individual who
provides child care
services for fewer than
24 hours per day per
child, as the sole
caregiver, in a private
residence other than
the child’s residence,

Which providers in your
State/Territory are subject to
licensing under this CCDF
category?
Describe which types of
center-based settings are
subject to licensing in your
State/Territory

Are any providers in your
State/Territory which fall
under this CCDF category
exempt from licensing?
Describe which types of
center-based settings are
exempt from licensing in
your State/Territory
For example, some
jurisdictions exempt schoolbased centers, centers
operated by religious
organizations, summer
camps, or Head Start
programs.

Describe which types of
group homes are subject to
licensing

Describe which types of
group homes are exempt
from licensing

Describe which types of
family child care home
providers are subject to
licensing

Describe which types of
family child care home
providers are exempt from
licensing

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 44

Draft for 2nd Public Comment – February, 2013
CCDF
Category of
Care

CCDF Definition
(§98.2)

In-Home
Care

unless care in excess of
24 hours is due to the
nature of the
parent(s)’s work.
Reminder - Do not
check if family child
care home providers
simply must register or
be certified to
participate in the CCDF
program separate from
the State/Territory
regulatory
requirements.
In-home child care
provider is defined as
an individual who
provides child care
services in the child’s
own home. Reminder
- Do not respond if inhome child care
providers simply must
register or be certified
to participate in the
CCDF program
separate from the
State/Territory
regulatory
requirements.

Which providers in your
State/Territory are subject to
licensing under this CCDF
category?

Are any providers in your
State/Territory which fall
under this CCDF category
exempt from licensing?

N/A. Check if in-home
care is not subject to
licensing in your
State/Territory.

Describe which types of inhome child care providers are
exempt from licensing

Describe which in-home
providers are subject to
licensing

Note: In lieu of submitting or attaching licensing regulations to certify the
requirements of §98.40(a)(1), Lead Agencies may provide their licensing
regulations to the National Resource Center for Health and Safety in Child
Care and Early Education. Please check the NRCKid’s website at
http://nrckids.org/CFOC3 to verify the accuracy of your licensing regulations
and provide any updates to the National Resource Center. Check this box to
indicate that the licensing requirements were submitted and
verified at NRCKid's.
e) Indicate whether your State/Territory licensing requirements include any
of the following four indicators for each category of care*.
* American Academy of Pediatrics, American Public Health Association,
National Resource Center for Health and Safety in Child Care and Early
Education. (2011) Caring for Our Children: National Health and Safety
Performance Standards; Guidelines for Early Care and Education
Programs. 3rd Edition. Elk Grove Village, IL: American Academy of
Pediatrics; Washington, DC: American Public Health Association. Available
online: http://nrckids.org/CFOC3
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 45

Draft for 2nd Public Comment – February, 2013

For each indicator, check all requirements for licensing that apply, if any.
Group Home
In-Home Care
Child Care

Indicator

CenterBased Child
Care

Do the licensing
requirements
include child:
staff ratios and
group sizes?

Yes, Child:
staff ratio
requirement
Infant ratio (11
months):

If yes, provide the
ratio for age
Toddler ratio
specified.
(35 months):

N/A. Check if
your
State/Territory
does not have
group home child
care.
Yes, Child: staff
ratio requirement
Infant ratio (11
months):

Preschool ratio (59
months):
No ratio
requirements.

No ratio
requirements.

Yes, Group size
requirement
Infant group size
(11 months):

Toddler group
size (35
months):

Yes, Child:
staff ratio
requirement.
List ratio
requirement by
age group:

Toddler ratio (35
months):

Preschool ratio
(59 months):

Yes, Group
size
requirement
Infant group
size (11
months):

Family Child
Care

N/A if the
State/Territory
does not license inhome care (i.e.,
care in the child’s
own home)
Yes, Child: staff
ratio requirement.
List ratio
requirement by age
group:
No ratio
requirements.

No ratio
requirements.
Yes, Group
size
requirement.
List ratio
requirement by
age group

Yes, Group size
requirement. List
ratio requirement
by age group
No group size
requirements.

No group
size
requirements.

Toddler group size
(35 months):
Preschool group
size (59 months):

No group size
requirements.

Preschool
group size (59
months):

No group
size
requirements.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 46

Draft for 2nd Public Comment – February, 2013
Do the licensing
requirements
identify specific
educational
credentials for
child care
directors?

High
school/GED
Child
Development
Associate
(CDA)
State/
Territory
Credential
Associate’s
degree
Bachelor’s
degree
No
credential
required for
licensing
Other:

Do the licensing
requirements
identify specific
educational
credentials for
child care
directors?

High
school/GED
Child
Development
Associate (CDA)
State/
Territory
Credential
Associate’s
degree
Bachelor’s
degree
No credential
required for
licensing
Other:

Do the licensing
requirements
identify specific
educational
credentials for
child care
directors?

Do the licensing
requirements
identify specific
educational
credentials for
child care
teachers?

High
school/GED
Child
Development
Associate
(CDA)
State/
Territory
Credential
Associate’s
degree
Bachelor’s
degree
No
credential
required for
licensing
Other:

Do the licensing
requirements
identify specific
educational
credentials for
child care
teachers?

High
school/GED
Child
Development
Associate (CDA)
State/
Territory
Credential
Associate’s
degree
Bachelor’s
degree
No credential
required for
licensing
Other:

Do the licensing
requirements
identify specific
educational
credentials for
child care
teachers?

Do the licensing
requirements
specify that
directors and
caregivers must
attain a specific
number of
training hours
per year?

At least 30
training hours
required in
first year
At least 24
training hours
per year after
first year
No training
requirement
Other:

Do the licensing
requirements
specify that
directors and
caregivers must
attain a specific
number of
training hours
per year?

At least 30
training hours
required in first
year
At least 24
training hours
per year after
first year
No training
requirement
Other:

Do the licensing
requirements
specify that
directors and
caregivers must
attain a specific
number of
training hours
per year?

e) Do you expect the licensing requirements for child care providers to change
in FY2014-2015?
Yes. Describe
No
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 47

Draft for 2nd Public Comment – February, 2013

3.1.2 Enforcement of Licensing Requirements
Each Lead Agency is required to provide a detailed description of the
State/Territory’s licensing requirements and how its licensing requirements are
effectively enforced. (658E(c)(2)(E), §98.40(a)(2)) The Lead Agency is also required
to certify that that procedures are in effect to ensure that child care providers caring
for children receiving CCDF services comply with the applicable health and safety
requirements. (658E(c)(2)(G), §98.41(d))
Describe the State/Territory’s policies for effective enforcement of the
licensing requirements using questions 3.1.2a through 3.1.2e below. This
description includes whether and how the State/Territory uses visits (announced
and unannounced), background checks, and any other enforcement policies and
practices for the licensing requirements.
a) Does your State/Territory include announced and/or unannounced
visits in its policies as a way to effectively enforce the licensing requirements?
Yes. If “Yes” please refer to the chart below and check all that apply.
No
Frequency of
Routine
Announced Visits
Once a Year
More than Once a
Year
Once Every Two
Years
Other. Describe

Frequency of
Routine
Unannounced Visits
Once a Year
More than Once a
Year
Once Every Two
Years
Other. Describe

Group Home Child Care

Once a Year
More than Once a
Year
Once Every Two
Years
Other. Describe

Once a Year
More than Once a
Year
Once Every Two
Years
Other. Describe

Family Child Care Home

Once a Year
More than Once a
Year
Once Every Two
Years
Other. Describe

Once a Year
More than Once a
Year
Once Every Two
Years
Other. Describe

Once a Year
More than Once a
Year
Once Every Two
Years

Once a Year
More than Once a
Year
Once Every Two
Years

CCDF Categories of Care
Center-Based Child Care

In-Home Child Care
N/A. Check if In-Home Child
Care is not subject to licensing in
your State/Territory (skip to
3.1.2b)
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 48

Draft for 2nd Public Comment – February, 2013
Other. Describe

Other. Describe

b) Does your State/Territory have any of the following procedures in place for
effective enforcement of the licensing requirements? If procedures differ
based on the category of care, please indicate how in the “Describe” box.
Yes. If “Yes” please refer to the chart below and check all that apply.
No
Licensing Procedures
The State/Territory requires providers to attend
or participate in training relating to opening a
child care facility prior to issuing a license.
The State/Territory has procedures in place for
licensing staff to inspect centers and family child
care homes prior to issuing a license.
Licensing staff has procedures in place to address
violations found in an inspection.

Licensing staff has procedures in place to issue a
sanction to a noncompliant facility.

The State/Territory has procedures in place to
respond to illegally operating child care facilities.

The State/Territory has procedures in place for
providers to appeal licensing enforcement
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Describe which procedures are used by
the State/Territory for enforcement of
the licensing requirements.
Yes. Describe
No.
Other. Describe
An on-site inspection is conducted.
Programs self-certify. Describe
No procedures in place.
Other. Describe
Providers are required to submit
plans to correct violations cited during
inspections.
Licensing staff approve the plans of
correction submitted by providers.
Licensing staff verify correction of
violation.
Licensing staff provide technical
assistance regarding how to comply with
a regulation.
No procedures in place.
Other. Describe
Provisional or probationary license
License revocation or non-renewal
Injunctions through court
Emergency or immediate closure not
through court action
Fines for regulatory violations
No procedures in place.
Other. Describe
Cease and desist action
Injunction
Emergency or immediate closure not
through court action
Fines
No procedures in place.
Other. Describe
Yes. Describe
No.
Page 49

Draft for 2nd Public Comment – February, 2013
Describe which procedures are used by
the State/Territory for enforcement of
the licensing requirements.
Other. Describe

Licensing Procedures
actions.

c ) Does your State/Territory use background checks as a way to
effectively enforce the licensing requirements?
Yes. If “Yes” please refer to the chart below to identify who is
required to have background checks, what types of checks, and with
what frequency.
No
CCDF Categories of
Care
Center-Based
Child Care

Types of
Background
Check
Child Abuse
Registry

Frequency
Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

State/Territory
Criminal
Background
Check if
State/Territory
background check
includes fingerprints

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

FBI Criminal
Background (e.g.,
fingerprint)

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Sex Offender
Registry

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Initial
Entrance
into the
System
Checks

Who is Subject
to Background
Checks?
Director
Teaching staff
Non-teaching
staff
Volunteers
Other

Director
Teaching staff

Non-teaching
staff
Volunteers
Other

Director
Teaching staff

Non-teaching
staff
Volunteers
Other

Director
Teaching staff

Non-teaching
staff
Volunteers

Page 50

Draft for 2nd Public Comment – February, 2013
CCDF Categories of
Care

Types of
Background
Check

Frequency
Conducted
Annually
Other.
Describe

Group Child Care
Homes

Other

Child Abuse
Registry

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

State/Territory
Criminal
Background
Check if the
State/Territory
background check
includes fingerprints

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Provider
Non-provider
residents of the
home

FBI Criminal
Background (e.g.,
fingerprint)

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Provider
Non-provider
residents of the
home

N/A. Check if your
State/Territory does not
have group home child
care.

Sex Offender
Registry

Family Child Care
Homes

Who is Subject
to Background
Checks?

Child Abuse
Registry

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Provider

Non-provider
residents of the
home

Initial
Provider
Entrance
Non-provider
into the
residents of the
System
home
Checks
Conducted
Annually
Other.
Describe
Initial
Entrance into
the System
Checks
Conducted
Annually

Provider
Non-provider
residents of the
home

Page 51

Draft for 2nd Public Comment – February, 2013
CCDF Categories of
Care

Types of
Background
Check

Frequency

Who is Subject
to Background
Checks?

Other.
Describe

State/Territory
Criminal
Background
Check if the
State/Territory
background check
includes fingerprints

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Provider
Non-provider
residents of the
home

FBI Criminal
Background (e.g.,
fingerprint)

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Provider
Non-provider
residents of the
home

Sex Offender
Registry

In-Home Child
Care Providers

Initial
Provider
Entrance
Non-provider
into the
residents of the
System
home
Checks
Conducted
Annually
Other.
Describe

Child Abuse
Registry

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Provider
Non-provider
residents of the
home

State/Territory
Criminal
Background
Check if the
State/Territory
background check

Initial
Entrance into
the System
Checks
Conducted
Annually

Provider
Non-provider
residents of the
home

N/A. Check if InHome Child Care is not
subject to licensing in
your State/Territory
(skip to 3.1.2e)

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 52

Draft for 2nd Public Comment – February, 2013
CCDF Categories of
Care

Types of
Background
Check
includes fingerprints

Frequency

FBI Criminal
Background (e.g.,
fingerprint)

Initial
Entrance into
the System
Checks
Conducted
Annually
Other.
Describe

Sex Offender
Registry

Who is Subject
to Background
Checks?

Other.
Describe

Provider
Non-provider
residents of the
home

Initial
Provider
Entrance
Non-provider
into the
residents of the
System
home
Checks
Conducted
Annually
Other.
Describe

d) Please provide a brief overview of the State/Territory’s process for
conducting background checks for child care. In this brief overview,
include the following:
d -1) The cost associated with each type of background check
conducted
d-2) Who pays for background checks
d-3) What types of violations would make providers ineligible for
CCDF? Describe
d-4) The process for providers to appeal the Lead Agency’s decision
based on the background check findings. Describe
e) If not performing visits (announced or unannounced) or background
checks, describe how the State/Territory will ensure that its licensing
requirements are effectively enforced per the CCDF regulations?
(658E(c)(2)(E), §98.40(a)(2))

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 53

Draft for 2nd Public Comment – February, 2013
f) Does the State/Territory disseminate information to parents and the public,
including the use of on-line tools or other “search tools,” about child care
program licensing status and compliance records?
Yes. Describe
No
3.1.3. Compliance with Applicable State/Territory and Local Regulatory
Requirements on Health and Safety
Each Lead Agency shall certify that there are in effect, within the State or local law,
requirements designed to protect the health and safety of children that are applicable
to child care providers of services for which assistance is provided under CCDF. Such
requirements shall include the prevention and control of infectious diseases
(including immunization), building and physical premises safety, and minimum
health and safety training appropriate to the provider setting. These health and
safety requirements apply to all providers caring for children receiving CCDF
services and which also may be covered by the licensing requirements.
(658E(c)(2)(F), §98.41)
Check if the Lead Agency certifies that there are in effect within the State (or
other area served by the Lead Agency), under State or local law, requirements
designed to protect the health and safety of children; these requirements are
applicable to child care providers that provide services for which assistance is made
available under the Child Care and Development Fund. (658E(c)(2)(E))
a) Describe the Lead Agency’s health and safety requirements for prevention
and control of infectious disease in effect for child care providers of services
for which assistance is provided under CCDF using the table below.
(658E(c)(2)(F)(i), §98.41(a)(1))

The Lead Agency
requires:

For each health and safety requirement checked,
identify which providers under the CCDF category
must meet the requirement. Check all that apply.
Center-based Family child
Group home
In-home
child care
care home
child care
child care
providers
providers
providers
providers

Physical exam or health
statement for providers
Physical exam or health
statement for children
Tuberculosis check for
providers
Tuberculosis check for
children
Provider immunizations
Child immunizations
Hand-washing policy for
providers and children
Diapering policy and
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 54

Draft for 2nd Public Comment – February, 2013

The Lead Agency
requires:

For each health and safety requirement checked,
identify which providers under the CCDF category
must meet the requirement. Check all that apply.
Center-based Family child
Group home
In-home
child care
care home
child care
child care
providers
providers
providers
providers

procedures
Providers to submit a
self-certification or
complete health and safety
checklist
Providers to meet the
requirements of another
oversight entity that fulfill
the CCDF health and safety
requirements
Other. Describe

b) Describe the Lead Agency’s health and safety requirements for building
and physical premises safety, including policies and practices to protect from
environmental hazards, in effect for child care providers of services for which
assistance is provided under CCDF using the table below. (658E(c)(2)(F)(ii),
§98.41(a)(2))

The Lead Agency
requires:

For each health and safety requirement checked,
identify which providers under the CCDF category
must meet the requirement. Check all that apply.
CenterGroup
Family child
In-home
based child
home child
care home
child care
care
care
providers
providers
providers
providers

Fire inspection
Building inspection
Health inspection
Inaccessibility of toxic
substances policy
Safe sleep policy
Tobacco exposure
reduction
Transportation policy
Providers to submit a
self-certification or
complete health and
safety checklist
Providers to meet the
requirements of another
oversight entity that
fulfill the CCDF health
and safety requirements

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 55

Draft for 2nd Public Comment – February, 2013
The Lead Agency
requires:

For each health and safety requirement checked,
identify which providers under the CCDF category
must meet the requirement. Check all that apply.

Other. Describe

c) Describe the Lead Agency’s health and safety requirements for health and
safety training in effect for child care providers of services for which
assistance is provided under CCDF using the table below. (658E(c)(2)(F)(iii),
§98.41(a)(3)). Note: While Lead Agencies have the flexibility to define these
terms, for this question, pre-service refers to any training that happens prior
to a person starting or shortly thereafter (first week, etc). “On-going” would be
some type of routine occurrence (e.g., maintain qualifications each year).
CCDF
Categories of
Care
Child Care
Centers

Health and safety training requirements

PreService

OnGoing

First Aid
CPR
Medication Administration Policies and Practices
Poison Prevention and Safety
Safe Sleep Practices including Sudden Infant
Death Syndrome (SIDS) Prevention
Shaken Baby Syndrome and abusive head trauma
prevention
Age appropriate nutrition, feeding, including
support for breastfeeding
Physical Activities
Procedures for preventing the spread of infectious
disease, including sanitary methods and safe
handling of foods
Recognition and mandatory reporting of
suspected child abuse and neglect
Emergency preparedness and planning response
procedures
Management of common childhood illnesses,
including food intolerances and allergies
Transportation and child passenger safety (if
applicable)
Caring for children with special health care needs,
mental health needs, and developmental
disabilities in compliance with the Americans with
Disabilities (ADA) Act
Child development including knowledge of
developmental stages and milestones appropriate
for the ages of children receiving services.
Supervision of children
Behavior management
Other. Describe

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 56

Draft for 2nd Public Comment – February, 2013
CCDF
Categories of
Care
Group Home
Child Care

Family Child
Care Providers

Health and safety training requirements

PreService

OnGoing

First Aid
CPR
Medication Administration Policies and Practices
Poison Prevention and Safety
Safe Sleep Practices including Sudden Infant
Death Syndrome (SIDS) Prevention
Shaken Baby Syndrome and abusive head trauma
prevention
Age appropriate nutrition, feeding, including
support for breastfeeding
Physical Activities
Procedures for preventing the spread of infectious
disease, including sanitary methods and safe
handling of foods
Recognition and mandatory reporting of
suspected child abuse and neglect
Emergency preparedness and planning response
procedures
Management of common childhood illnesses,
including food intolerances and allergies
Transportation and child passenger safety (if
applicable)
Caring for children with special health care needs,
mental health needs, and developmental
disabilities in compliance with the Americans with
Disabilities (ADA) Act
Child development including knowledge of
developmental stages and milestones appropriate
for the ages of children receiving services.
Supervision of children
Behavior management
Other. Describe
First Aid
CPR
Medication Administration Policies and Practices
Poison Prevention and Safety
Safe Sleep Practices including Sudden Infant
Death Syndrome (SIDS) Prevention
Shaken Baby Syndrome and abusive head trauma
prevention
Age appropriate nutrition, feeding, including
support for breastfeeding
Physical Activities
Procedures for preventing the spread of infectious
disease, including sanitary methods and safe
handling of foods

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 57

Draft for 2nd Public Comment – February, 2013
CCDF
Categories of
Care

In-Home Child
Care Providers

Health and safety training requirements

PreService

OnGoing

Recognition and mandatory reporting of
suspected child abuse and neglect
Emergency preparedness and planning response
procedures
Management of common childhood illnesses,
including food intolerances and allergies
Transportation and child passenger safety (if
applicable)
Caring for children with special health care needs,
mental health needs, and developmental
disabilities in compliance with the Americans with
Disabilities (ADA) Act
Child development including knowledge of
developmental stages and milestones appropriate
for the ages of children receiving services.
Supervision of children
Behavior management
Other. Describe
First Aid
CPR
Medication Administration Policies and Practices
Poison Prevention and Safety
Safe Sleep Practices including Sudden Infant
Death Syndrome (SIDS) Prevention
Shaken Baby Syndrome and abusive head trauma
prevention
Age appropriate nutrition, feeding, including
support for breastfeeding
Physical Activities
Procedures for preventing the spread of infectious
disease, including sanitary methods and safe
handling of foods
Recognition and mandatory reporting of
suspected child abuse and neglect
Emergency preparedness and planning response
procedures
Management of common childhood illnesses,
including food intolerances and allergies
Transportation and child passenger safety (if
applicable)
Caring for children with special health care needs,
mental health needs, and developmental
disabilities in compliance with the Americans with
Disabilities (ADA) Act
Child development including knowledge of
developmental stages and milestones appropriate
for the ages of children receiving services.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 58

Draft for 2nd Public Comment – February, 2013
CCDF
Categories of
Care

Health and safety training requirements

PreService

OnGoing

Supervision of children
Behavior management
Other. Describe

d) CCDF allows Lead Agencies to exempt relative providers (grandparents,
great-grandparents, siblings if living in a separate residence, aunts, and
uncles) from these health and safety requirements. What are the Lead
Agency’s requirements for relative providers? (§98.41(A)(ii))(A))
All relative providers are subject to the same health and safety
requirements as described in 3.1.2a-c, as appropriate; there are no
exceptions for relatives.
Relative providers are NOT required to meet any health and safety
requirements as described in 3.1.2a-c, as appropriate.
Relative providers are subject to certain requirements. Describe the
different requirements
e) Provide a web address for the State/Territory’s health and safety
requirements, if available:
3.1.4 Effective enforcement of the CCDF health and safety requirements.
For providers who care for children receiving CCDF assistance and who are NOT
subject to the enforcement procedures described in3.1.2 for licensed providers,
please describe how the Lead Agency enforces the CCDF health and safety
enforcement requirements.
a) Describe whether and how the Lead Agency uses on-site visits (announced
and unannounced)
b) Describe whether the Lead Agency uses background checks
c) Does the Lead Agency permit providers to self-certify compliance with
applicable health and safety standards?
Yes. If yes, what documentation, if any, is required? Describe
No
d) Describe whether the Lead Agency uses any other enforcement policies and
practices for the health and safety requirements
Check if the Lead Agency certifies that procedures are in effect to ensure that
child care providers of services for which assistance is provided under the Child Care
and Development Fund comply with all applicable State or local health and safety
requirements. (658E(c)(2)(G))

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 59

Draft for 2nd Public Comment – February, 2013
3.1.5. Does the State/Territory encourage or require child care programs
to conduct developmental screening and referral for children
participating in child care programs? Lead Agencies are not required to
conduct developmental screenings of children, but are encouraged to work with child
care providers to promote screening in the areas of physical health (including vision
and hearing), mental health, oral health, and developmental disabilities.
Yes. Describe
No
a) If yes, are training, resources and supports offered to programs to
assist them in ensuring that children receive appropriate
developmental screenings?
Yes. Describe
No
Other. Describe
b) If yes, are resources and supports provided to programs to help
them understand how families are referred to indicated services and
how to work with the health, mental health, and developmental
disabilities agencies to support children when follow-up to screening is
needed?
Yes. Describe
No
Other. Describe
c) Does the State/Territory use developmental screening and referral
tools?
Yes. If Yes, provide the name of the tool(s)
No
Other. Describe
3.1.6 Data & Performance Measures on Licensing and Health and Safety
Compliance – What data elements, if any, does the State/Territory currently have
access to related to licensing compliance? What, if any, performance measures does
the Lead Agency use for ensuring health and safety? The purpose of these questions
is for Lead Agencies to provide a description of their capacity to provide information,
not to require Lead Agencies to collect or report this information. For any data
elements checked in (a) below, Lead Agencies may provide an optional description
about the data they have access to (e.g., the Lead Agency may have data for only
licensed programs, only programs caring for children receiving CCDF subsidies, only
providers participating in quality improvement systems, or only for certain age
groups (e.g., infants and toddlers or school-age children).
a) Data on licensing and health and safety. Indicate if the Lead Agency
or another agency has access to data on:

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 60

Draft for 2nd Public Comment – February, 2013
Number of licensed programs. Describe (optional)
Numbers of programs operating that are legally exempt from
licensing. Describe (optional)
Number of programs whose licenses were suspended or revoked
due to non-compliance. Describe (optional)
Number of injuries in child care as defined by the State/Territory.
Describe (optional)
Number of fatalities in child care as defined by the State/Territory.
Describe (optional)
Number of monitoring visits received by programs. Describe
(optional)
Caseload of licensing staff. Describe (optional)
Number of programs revoked from CCDF due to non-compliance
with health and safety requirements. Describe (optional)
Other. Describe
None
b) Performance measurement. What, if any, performance measures does
the State/Territory use in its licensing system to monitor compliance with
CCDF health and safety requirements?
c) Evaluation. What, if any, are the State/Territory’s plans for evaluation
related to licensing and health and safety? Evaluation can include efforts
related to monitoring implementation of an initiative, validation of
standards or assessment tools, or looking at outcomes in programs or the
system and may be ongoing or conducted periodically.
3.1.7 Goals for the next Biennium - In this section, Lead Agencies are asked to
identify at least one goal for the upcoming biennium and are encouraged to identify
no more than five priority goals total. ACF will target technical assistance efforts to
help Lead Agencies achieve their goal(s). Lead Agencies may include existing goals
(e.g., already identified in a State strategic plan or established by the Governor for a
Lead Agency). Lead Agencies are not required to establish a goal for each sub-section
of 3.1. Lead Agencies will report progress and updates on these goals in the annual
Quality Performance Report (Appendix 1), including any barriers encountered.
What are the Lead Agency’s goals for the licensing and health and safety system in
the coming biennium? What progress does the State/Territory expect to make on
core areas (e.g. licensing standards, monitoring visits or other effective enforcement,
improved technical assistance, or fewer serious non-compliances?)
Note – When identifying your goals below, Lead Agencies are encouraged to begin
with an action verb reflecting the desired result over the two year period (e.g.,
Increase, Improve, Build, Align, Implement, Review, Revise, Streamline, Expand,
etc.)
Goal 1 Goal 2 CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 61

Draft for 2nd Public Comment – February, 2013
Goal 3 Goal 4 Goal 5 -

CCDF has a number of performance measures that are used to track progress for key
aspects of the program at the national level. These performance measures are
included in budget materials submitted to Congress and other documents. Please
follow this link http://www.acf.hhs.gov/programs/occ/resource/governmentperformance-and-results-act-gpra-measures to see the CCDF performance
measures. A number of these performance measures rely on information reported in
the State and Territorial Plans as a data source. We have added a ruler icon
in
Section 3.2 through 3.4 in order to identify the specific questions used in the
performance measures. When answering these questions, Lead Agencies should
ensure that their answers are accurate and complete in order to promote the
usefulness and integrity of the performance measures.
3.2 Establishing Voluntary Early Learning Guidelines (Component #2)
For purposes of this section, voluntary early learning guidelines (also referred to as
early learning and development standards) include the expectations for what
children should know (content) and be able to do (skills) at different levels of
development. These standards provide guidelines, articulate developmental
milestones, and set expectations for the healthy growth and development of young
children. The term early learning guidelines (ELGs) refers to age-appropriate
developmental learning guidelines for infants and toddlers and school-age children.
These early learning guidelines are voluntary because States/Territories are not
required to develop such guidelines or implement them in a specified manner.
3.2.1 Has the State/Territory developed voluntary early learning
guidelines for children? Check any early learning guidelines the
State/Territory has developed.
Birth-to-three
Three-to-five
Five years and older
None. Skip to 3.2.6.
If yes, insert web addresses, where possible:
Which State/Territory agency is the lead for the early learning guidelines?

3.2.2 Do the early learning guidelines cover a range of domains
across physical, cognitive, and social and emotional development? Check
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 62

Draft for 2nd Public Comment – February, 2013
all that apply for each age group as applicable in the chart below. Because States vary
in their domain names and which domains to include, we have used the domains
identified in the Head Start Child Development and Early Learning Framework for
reference purposes.
Birth-toThree ELGs

Domains

Three-to-Five
ELGs

Five and
Older ELGs

Physical development and health
Social and emotional development
Approaches to learning
Logic and reasoning (e.g., problemsolving)
Language development
Literacy knowledge and skills
Mathematics knowledge and skills
Science knowledge and skills
Creative arts expression (e.g.,
music, art, drama)
Social studies knowledge and skills
English language development (for
dual language learners)
List any domains not covered in the
above
Other. Describe

3.2.3 To whom are the early learning guidelines disseminated and in
what manner? Check all audiences and methods that your State/Territory has
chosen to use in the chart below.
Information
Dissemination

Voluntary
Training

Mandatory
Training

Parents in the child care
subsidy system
Parents using child care
more broadly
Practitioners in child care
centers
Providers in family child
care homes
Practitioners in Head Start
Practitioners in Early
Head Start
Practitioners in public
Pre-K program
Practitioners in
elementary schools
Other. List

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 63

Draft for 2nd Public Comment – February, 2013

3.2.4 Are voluntary early learning guidelines incorporated into
other parts of the child care system? Check which ways, if any, the
State/Territory incorporates its early learning guidelines into other parts of the child
care system.
To define the content of training required to meet licensing requirements
To define the content of training required for program quality
improvement standards (e.g., QRIS standards)
To define the content of training required for the career lattice or
professional credential
To require programs in licensing standards to develop curriculum/learning
activities based on the voluntary ELGs
To require programs in quality improvement standards to develop
curriculum/learning activities based on the voluntary ELGs
To develop State-/Territory –approved curricula
Other. List
None.
3.2.5 Are voluntary early learning guidelines and development
standards aligned with into other parts of the child care system? Check
the standards, if any, with which the State/Territory aligns its early learning
guidelines.
Cross-walked to align with Head Start Child Development and Early
Learning Framework
Cross-walked to align with K-12 content standards
Cross-walked to align with State/Territory pre-k standards
Cross-walked with accreditation standards
Other. List
None.
3.2.6 Describe how your State/Territory uses ongoing assessments and
measures of school readiness assessment using the following series of
questions. In this section, assessment is framed with two distinct purposes/tools –
1) ongoing assessment of children’s progress within the classroom to improve and
individualize instruction (this corresponds to 3.2.6a) and 2) assessments conducted
within pre-kindergarten and/or at kindergarten entry to inform policymakers about
the school readiness of children across the State on a broad range of domains, used
to guide program initiatives (this corresponds to 3.2.6b).
In the description for each Yes response, please include a) who administers, and b)
how often assessments are conducted, and c) what assessment tools are used.
a) Are programs required to conduct ongoing assessments of children’s progress
of children using valid, reliable and age-appropriate tools aligned with the
early learning guidelines or other child standards?
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 64

Draft for 2nd Public Comment – February, 2013
Yes. Describe
a-1) If yes, are programs encouraged to use information from ongoing
assessments to improve practice and individual children’s needs?
Yes. Describe
No
Other. Describe
a-2) If yes, is information on child’s progress reported to parents?
Yes. Describe
No
Other. Describe

No
Other. Describe

b) Does the State/Territory use tools that are valid, reliable and age-appropriate
to track the readiness of children within pre-kindergarten and/or as they
enter kindergarten?
Yes. Describe
b-1) If yes, do the tools cover the developmental domains identified in
3.2.2?
Yes. Describe
No
Other. Describe
b-2) If yes, are the tools used on all children or samples of children?
All children. Describe
Samples of children. Describe
Other. Describe
b-3) If yes, is the information from the school readiness measures used
to target program quality improvement activities?
Yes. Describe
No
Other. Describe
No
Other. Describe
c) Is school readiness information linked to the statewide longitudinal data
system (SLDS, program of the Department of Education)?
Yes. Describe
No
Not applicable. State does not have an SLDS.
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 65

Draft for 2nd Public Comment – February, 2013

3.2.7 Data & Performance Measures on Voluntary Early Learning
Guidelines – What data elements, if any, does the State/Territory have access to on
the dissemination of, implementation of, or children’s attainment of the early
learning guidelines? What, if any, performance measures does the State/Territory
use for dissemination and implementation of the early learning guidelines? The
purpose of these questions is for Lead Agencies to provide a description of their
capacity to provide information, not to require Lead Agencies to collect or report this
information. For any data elements checked in (a) below, Lead Agencies may provide
an optional description about the data they have access to (e.g., the Lead Agency may
have data for only licensed programs, only programs caring for children receiving
CCDF subsidies, only providers participating in quality improvement systems, or
only for certain age groups (e.g., infants and toddlers or school-age children).
a) Data on voluntary early learning guidelines. Indicate if the Lead
Agency or another agency has access to data on:
Number/percentage of child care providers trained on ELG’s for
preschool aged children. Describe (optional)
Number/percentage of child care providers trained on ELG’s for
infants and toddlers. Describe (optional)
Number of programs using ELG’s in planning for their work.
Describe (optional)
Number of parents trained on or served in family support programs
that use ELG’s. Describe (optional)
Other. Describe
None
b) Performance measurement. What, if any, are the Lead Agency’s
performance measures related to dissemination and implementation of the
early learning guidelines?
c) Evaluation. What are the State/Territory’s plans, if any, for evaluation
related to early learning guidelines and the progress of children in child
care? Evaluation can include efforts related to monitoring implementation
of an initiative validation of standards or program assessment tools, or
looking at outcomes in programs or the system and may be ongoing or
conducted periodically.
3.2.8 Goals for the next Biennium - In this section, Lead Agencies are asked to
identify at least one goal for the upcoming biennium. Lead Agencies are encouraged
to include measurable and achievable goals. Lead Agencies may include existing
goals (e.g., already identified in a State strategic plan or established by the Governor
for a Lead Agency). ACF will target technical assistance efforts to help Lead Agencies
achieve their goal(s). What are the Lead Agency’s goals for using voluntary early
learning guidelines in the coming biennium? What progress does the Lead Agency
expect to make related to early learning guidelines?
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 66

Draft for 2nd Public Comment – February, 2013
3.3 Creating Pathways to Excellence for Child Care Programs through
Program Quality Improvement Activities (Component #3)
Many States have chosen to use targeted quality funds and other resources to
develop a systematic framework for evaluating, improving, and communicating the
level of quality in early childhood programs (i.e. QRIS). States and Territories will
provide a self-assessment on current program quality improvement activities by
responding to questions in this section and then describe their goals for the
upcoming Biennium.
For purposes of this section, States and Territories will respond according to a
Quality Rating and Improvement System (QRIS) framework. 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.

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

While not all States and Territories have developed or implemented a formal QRIS,
all are pursuing quality improvement strategies that can be described within this
framework (based upon previous CCDF Plans). Using this framework to organize
this section allows States/Territories to report on their quality improvement
activities systematically whether they have a QRIS or not. Over time, States and
Territories are encouraged to work on linking their quality improvement initiatives
and strategies across all of these elements, culminating in a comprehensive Quality
Rating and Improvement System with adequate support for providers to attain
higher levels of quality and transparency for parents and the community regarding
the quality of child care.
a) Describe which entities are involved in planning and administering the program
quality improvement activities in 3.3, including State/Territory entities and local or
community level entities.
3.3.1 Element 1 – Program Standards
Definition – For purposes of this section, program standards refers to the
expectations for quality, or quality indicators, which identify different levels of and
pathways to improved quality. Minimum licensing standards and health and safety
requirements provided in section 3.1 are also program standards but in this section,
we focus on those standards that build upon and go beyond those minimum
requirements.
a) Does your State/Territory’s have quality improvement standards that
include indicators covering the following areas beyond what is required for
licensing? Check any indicators, if any, that your State/Territory has chosen to
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 67

Draft for 2nd Public Comment – February, 2013
establish.
Ratios and group size
Health, nutrition and safety
Learning environment and curriculum
Staff/Provider qualifications and professional development
Teacher/providers-child relationships
Teacher/provider instructional practices
Family partnerships and family strengthening
Community relationships
Administration and management
Developmental screenings
Child assessment for the purposes of individualizing instruction and/or
targeting program improvement
Cultural competence
Other. Describe
None. If checked, skip to 3.3.2.
b) Does your State/Territory have quality improvement standards with provisions
about the care of any of these groups of children? Check any provisions your
State/Territory has chosen to establish.
Children with special needs as defined by your State/Territory
Infants and toddlers
School-age children
Children who are dual language learners
None
c) How do your State/Territory’s quality standards link to State/Territory licensing
requirements? Check any links between your State/Territory’s quality standards and
licensing requirements.
Licensing is a pre-requisite for participation
Licensing is the first tier of the quality levels
State/Territory license is a “rated” license.
Other. Describe
Not linked.
d) Do your State/Territory’s quality improvement standards align with or have
reciprocity with any of the following standards? Check any alignment, if any,
between your State/Territory’s quality standards and other standards.
Programs that meet State/Territory pre-k standards are able to meet all or
part of the quality improvement standards (e.g., content of the standards is
the same, or there is a reciprocal agreement between pre-k and the quality
improvement system)
Programs that meet Federal Head Start Performance Standards are able to
meet all or part of the quality improvement standards (e.g., content of the
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 68

Draft for 2nd Public Comment – February, 2013
standards is the same, or there is a reciprocal agreement between Head Start
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, or an alternative pathway to meeting the standards)
Other. Describe
None
3.3.2 Element 2 –Supports to Programs to Improve Quality
Definition – For purposes of this section, supports to programs to improve quality
refers to such activities as technical assistance and consultation services for
programs to assist in meeting child care quality improvement standards.
a) Check which types of and for what purposes the State/Territory uses
supports to child care programs, if any, in the following chart. If none, skip to 3.3.3.
Types and Purposes of
Support

Information or
Written
Materials

Training

On-Site
Consultation

Attaining and maintaining
licensing compliance
Attaining and maintaining
quality improvement standards
beyond licensing
Attaining and maintaining
accreditation
Providing targeted technical
assistance in specialized content
areas:
Health and safety
Infant/toddler care
School-age care
Inclusion
Teaching dual language
learners
Mental health
Business management
practices
Other. Describe
None. Skip to 3.3.3.
b) Methods used to customize quality improvement supports to the needs of
individual programs include:
Program improvement plans
Technical assistance on the use of program assessment tools
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 69

Draft for 2nd Public Comment – February, 2013
Other. Describe
c) Is technical assistance linked to entering the QRIS or targeted to help programs
forward on QRIS?
Yes. Describe
No
Other. Describe
3.3.3 Element 3 – Financial Incentives and Supports
Definition – For purposes of this section, financial incentives refers to the types of
monetary supports offered to programs in meeting and sustaining licensing and
QRIS or other child care quality improvement standards for programs.
a) Identify which types of financial incentives are offered and to which
providers in the following chart. Check which incentives and supports, if any,
the State/Territory chooses to offer. If none, skip to 3.3.4.
Types of Financial Incentives and
Supports for Programs

Child Care
Centers

Child Care
Homes

LicenseExempt
Providers

Grants to programs to meet or
maintain licensing
Grants to programs to meet QRIS or
similar quality level
One-time awards or bonuses on
completion of quality standard
attainment
Tiered reimbursement tied to quality
for children receiving subsidy
On-going, periodic grants or stipends
tied to improving/maintaining quality
Tax credits tied to meeting program
quality standards
Other. Describe
None. Skip to 3.3.4.

3.3.4 – Element 4 - Quality Assurance and Monitoring
Definition – For purposes of this section, quality assurance and monitoring refers
to the ways that the State/Territory measures program quality for the purposes of its
QRIS or other quality improvement system and the methods for measuring that the
child care quality improvement standards for programs are met initially and
maintained over time.
a) What tools, if any, does the State/Territory use to measure and
monitor the quality of programs? Check all that apply and briefly describe
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 70

Draft for 2nd Public Comment – February, 2013
using the chart below, including which programs are required to participate
and the frequency of assessments. If none, skip to 3.3.5.
Types of Program Quality Assessment
Tools
Environment Rating Scales (e.g., ECERS,
ITERS, SACERS, FDCRS)
Describe, including frequency of assessments.

Child Care
Centers

Child
Care
Homes

LicenseExempt
Providers

Infant/Toddler
Preschool
School-Age

Classroom Assessment Scoring System
(CLASS)
N/A
Describe, including frequency of assessments.
Program Administration Scale (PAS) for
child care centers or Business Administration
Scale (BAS) for family child care homes
Describe, including frequency of assessments.
Customized instrument, including
submission of written documentation,
developed for State/Territory quality
improvement system. This may include
instruments developed for quality
improvements in 21st Century Learning
Center programs
Describe, including frequency of assessments.
Other. Describe
None. Skip to 3.3.5.

b) What steps, if any, has the State/Territory taken to align quality assurance
and monitoring across funding streams and sectors in order to minimize
duplication?
Have a mechanism to track different quality
assessments/monitoring activities to avoid duplication
Include QRIS or other quality reviews as part of licensing
enforcement
Have compliance monitoring in one sector (e.g., Head Start/Early
Head Start, State/Territory pre-k) serve as validation for compliance
with quality improvement system (e.g., QRIS) without further review
Have monitoring for meeting accreditation standards serve as
validation for compliance with quality improvement system (e.g.,
QRIS) without further review
Other. Describe
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 71

Draft for 2nd Public Comment – February, 2013
None
3.3.5 – Element 5 - Outreach and Consumer Education
Definition – For purposes of this section, outreach and consumer education refers
to the strategies used to promote the child care quality improvement standards to
parents, programs and the general public.
a) Does the State/Territory use symbols or simple icons to communicate
levels of quality for child care programs beyond what may communicated to
parents about licensing status and licensing compliance as reported in 3.1.3?
(e.g. stars, or gold/silver/bronze levels).
Yes. If yes, how is it used?
Resource and referral/consumer education services use with
parents seeking care
Parents enrolling in child care subsidy are educated about
the system and the quality level of the provider that they are
selecting
Searchable database on the web
Voluntarily, visibly posted in programs
Mandatory to post visibly in programs
Used in marketing and public awareness campaigns
Other. Describe
No. If no, skip to 3.3.6.
b) Does the State/Territory use any forms of media to reach parents and the
public to communicate about levels of quality for child care programs? Check
which forms, if any, the State/Territory uses to communicate levels of quality
for child care programs.
Print
Radio
Television
Web
Telephone
Social Marketing
Other. Describe
None
c) Describe any targeted outreach for culturally and linguistically diverse
families.
3.3.6. Quality Rating and Improvement System (QRIS)

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 72

Draft for 2nd Public Comment – February, 2013

a) Based on the five key elements of a QRIS described above in
3.3.1 through 3.3.5, does your State/Territory have a quality rating and
improvement system (QRIS) or similar quality improvement system in place?
Yes, the State/Territory has a QRIS or similar quality improvement
system that includes linked activities in all five elements operating
State/Territory-wide.
Participation is voluntary for
Participation is mandatory for
Yes, the State/Territory has a QRIS or similar quality improvement
system that includes linked activities in all five elements operating as a
pilot or in a few localities but not State/Territory-wide.
No, the State/Territory does not have a QRIS or similar quality
improvement system that includes linked activities in all five elements.
State/Territory is in the development phase
State/Territory has no plans for development
Other. Describe
b) If yes to 3.3.6a, CHECK the types of providers eligible to participate
in the QRIS:
Child care centers
Group child care homes
Family child care homes
In-home child care
License exempt providers
Early Head Start programs
Head Start programs
Pre-kindergarten programs
School-age programs
Other. Describe
3.3.7. If the State/Territory has or will have any quality improvement
strategies for targeted groups of providers (e.g., relative caregivers or
caregivers who are legally exempt from licensing) that are not described
in your responses to any question in section 3.3 above, please describe
3.3.8 Data & Performance Measures on Program Quality – What data
elements, if any, does the State/Territory currently have access to related to the
quality of programs? What, if any, does the State/Territory use for performance
measures on program quality improvement? The purpose of these questions is for
Lead Agencies to provide a description of their capacity to provide information, not
to require Lead Agencies to collect or report this information. For any data elements
checked in (a) below, Lead Agencies may provide an optional description about the
data they have access to (e.g., the Lead Agency may have data for only licensed
programs, only programs caring for children receiving CCDF subsidies, only
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 73

Draft for 2nd Public Comment – February, 2013
providers participating in quality improvement systems, or only for certain age
groups (e.g., infants and toddlers or school-age children).
a) Data on program quality. Indicate if the Lead Agency or another agency
has access to data on:
Data on the quality level for individual programs (e.g. QRIS level) as
defined by your State/Territory. Describe (optional)
Number of programs that move program quality levels annually (up
or down). Describe (optional)
Program scores on program assessment instruments. List
instruments:
Describe (optional)
Classroom scores on program assessment instruments. List
instruments:
Describe (optional)
Qualifications for teachers or caregivers within each program.
Describe (optional)
Number/Percentage of children receiving CCDF assistance in
licensed care. Describe (optional)
Number/percentage of children receiving CCDF assistance who
attend care at each of the tiers of the quality as defined by the
State/Territory
Number/Percentage of programs receiving financial assistance to
meet higher program standards. Describe (optional)
Other. Describe
None
b) Performance measurement. What, if any, are the Lead Agency’s
performance measures on program quality?
c) Evaluation. What, if any, are the State/Territory’s plans for evaluation
related to program quality? Evaluation can include efforts related to
monitoring implementation of an initiative, validation of standards or
assessment tools, or looking at outcomes in programs or the system and
may be ongoing or conducted periodically.
3.3.9 Goals for the next Biennium - In this section, Lead Agencies are asked to
identify at least one goal for the upcoming biennium. Lead Agencies are encouraged
to include measurable and achievable goals. Lead Agencies may include existing
goals (e.g., already identified in a State strategic plan or established by the Governor
for a Lead Agency). ACF will target technical assistance efforts to help Lead Agencies
achieve their goal(s). Lead Agencies are not required to establish a goal for each subsection in 3.3. What are the State/Territory’s goals for the program quality
improvement system in the coming biennium? What progress does the
State/Territory expect to make across the five key elements for quality improvement
systems?
3.4 Pathways to Excellence for the Workforce – Professional
Development Systems and Workforce Initiatives (Component #4)
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 74

Draft for 2nd Public Comment – February, 2013

Pathways to excellence for the workforce builds on the significant investments States
and Territories have made in the area of professional development systems to ensure
a well-qualified workforce with opportunities for growth from entry level through
master teacher, with an increasing emphasis on the many additional roles in the
child care system (e.g. adult educators such as consultants, technical assistance
providers, trainers, and higher education faculty). In this section, States and
Territories provide a self-assessment on current professional development and
workforce activities and describe their goals for the upcoming Biennium.
For purposes of this section, States and Territories will respond according to five key
elements for workforce systems:
1) Core Knowledge and Competencies
2) Career Pathways (or Career Lattice)
3) Professional Development Capacity
4) Access to Professional Development
5) Compensation, Benefits and Workforce Conditions
a) Describe which entities are involved in planning and administering the activities
in Section 3.4, including State/Territory entities and local or community level
entities.
3.4.1 Workforce Element 1 - Core Knowledge and Competencies
Definition – For purposes of this section, core knowledge and competencies
(CKCs) refers to the expectations for what the workforce should know (content) and
be able to do (skills) in their role working with and/or on behalf of children and their
families. These CKCs provide a foundation for professional development design
(including instructional practices) and other quality improvement efforts.
a) Has the State/Territory developed core knowledge and competencies
(CKCs) for practitioners working with and/or on behalf of children?
Yes
No, the State/Territory has not developed core knowledge and
competencies. Skip to question 3.4.2.
Other. Describe
If yes, insert web addresses, where possible:
b) Check which of the following teaching and learning topics, if any, are
covered in the CKCs.
Child growth, development and learning
Health, nutrition, and safety
Learning environment and curriculum
Interactions with children
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 75

Draft for 2nd Public Comment – February, 2013
Family and community relationships
Professionalism and leadership
Observation and assessment
Program planning and management
Diversity
Other. Describe
None
c) Are the CKCs incorporated into other parts of the child care system? Check
which ways, if any, the State/Territory incorporates its CKCs into other parts
of the child care system.
To define the content of training required to meet licensing
requirements
To define the content of training required for program quality
improvement standards (as reported in section 3.3)
To define the content of training required for the career lattice or
credential
To correspond to the early learning guidelines
To define curriculum and degree requirements at institutions of
higher education
Other. Describe
None
d) Are the CKCs aligned with other State/Territory or national standards?
Check which ways, if any, the State/Territory aligns its CKCs with other
standards.
Cross-walked with the Child Development Associate (CDA)
competencies
Cross-walked with national teacher preparation standards (e.g.,
NAEYC standards for early childhood professional preparation,
National Board of Professional Teaching Standards, National Council
for Accreditation of Teacher Education/Council for the Accreditation of
Educator Preparation, Head Start SOLAR staff skills indicators)
Cross-walked with apprenticeship competencies
Other. Describe
None
e) Check for which roles, if any, the State/Territory developed supplemental
or specialized competencies.
Staff working directly with children in centers, including aides,
assistants, teachers, master teachers. Describe
Providers working directly with children in family child care homes,
including aides and assistants. Describe
Administrators in centers (including educational coordinators,
directors). Describe
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 76

Draft for 2nd Public Comment – February, 2013
Technical assistance providers (including mentors, coaches,
consultants, home visitors, etc.). Describe
Education and training staff (such as trainers, CCR&R staff,
faculty). Describe
Other. Describe
None
f) Check if the State/Territory has developed any supplemental or specialized
competencies for practitioners/providers working with the following ages.
Birth-to-three
Three-to-five
Five and older
Other. Describe
None
3.4.2 Workforce Element 2 - Career Pathways
Definition – For purposes of this section, career pathways (or career lattice)
defines the options and sequence of qualifications and ongoing professional
development to work with children. Career pathways assist professionals in
understanding their career options and identify steps for advancement for the
workforce recognizing and rewarding higher levels of preparation and mastery of
practice to promote higher quality services for children.
a) Does the State/Territory have a career pathway which defines the
sequence of qualifications related to professional development (education,
training and technical assistance) and experience required to work with
children?
Yes. Describe
No, the State/Territory has not developed a career pathway. Skip to
question 3.4.3.
Insert web addresses, where possible:
b) Check for which roles, if any, the career pathways include qualifications,
specializations or credentials.
Staff working directly with children in centers, including aides,
assistants, teachers, master teachers. Describe
Providers working directly with children in family child care homes,
including aides and assistants. Describe
Administrators in centers (including educational coordinators,
directors). Describe
Technical assistance providers (including mentors, coaches,
consultants, home visitors, etc.). Describe
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 77

Draft for 2nd Public Comment – February, 2013
Education and training staff (such as trainers, CCR&R staff,
faculty). Describe
Other. Describe
None
c) Does the career pathways (or lattice) include specializations or credentials,
if any, for working with any of the following children?
Infants and toddlers
Preschoolers
School-age children
Dual language learners
Children with disabilities, children with developmental delays, and
children with other special needs
Other. Describe
None
d) In what ways, if any, is the career pathway (or lattice) used?
Voluntary guide and planning resource
Required placement for all practitioners and providers working in
programs that are licensed or regulated in the State/Territory to serve
children birth to 13
Required placement for all practitioners working in programs that
receive public funds to serve children birth to 13
Required placement for adult educators (i.e., those that provide
training, education and/or technical assistance)
Required placement for participation in scholarship and/or other
incentive and support programs
Required placement for participation in the QRIS or other quality
improvement system
Other. Describe
None
e) Are individuals’ qualifications, professional development, and work
experience verified prior to placement on the career pathway (or lattice?)?
Yes. If yes, describe
No
3.4.3 Workforce Element 3 – Professional Development Capacity
Definition – For purposes of this section, professional development incorporates
higher education, training and technical assistance. Higher education capacity refers
to capability of the higher education system to meet the needs of the diverse
workforce including the provision of content that addresses the full range of
development and needs of children. Training and technical assistance capacity refers
to capability of the training and technical assistance system to meet the needs of the
diverse workforce including the provision of content that addresses the full range of

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 78

Draft for 2nd Public Comment – February, 2013
development and needs of children. Early childhood includes infants, toddlers and
preschoolers.
a) Has the State/Territory assessed the availability of degree programs
in early-childhood education, school-age care or youth development, and
related fields in the State/Territory (e.g., both physical location and distancebased, accessibility to practitioners, etc.)?
Yes. If yes, describe
No
b) Has the State/Territory assessed the availability of early-childhood
and school-age and related training and technical assistance programs in the
State/Territory (e.g., both physical location and distance-based, degree level,
etc.)?
Yes. If yes, describe
No
c) What quality assurance mechanisms, if any, are in place for the degree
programs and courses offered by the State/Territory institutions?
Standards set by the institution
Standards set by the State/Territory higher education board
Standards set by program accreditors
Standards set by State/Territory departments of education
Standards set by national teacher preparation accrediting agencies
Other. Describe
None
d) What quality assurance mechanisms, if any, are in place for the training
and technical assistance programs offered by the State/Territory?
Training approval process. Describe
Trainer approval process. Describe
Training and/or technical assistance evaluations. Describe
Other. Describe
None
e) Does the State/Territory have articulation agreements in place across and
within institutions of higher education?
Yes. If yes, describe
No
f) Does the State/Territory have articulation agreements that translate
training and/or technical assistance into higher education credit?

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 79

Draft for 2nd Public Comment – February, 2013
Yes. If yes, describe
No
3.4.4 Workforce Element 4 – Access to Professional Development
Definition – For purposes of this section, access to professional development
(training, education and technical assistance) refers to the degree to which
practitioners are made aware of, and receive supports and assistance to utilize,
professional development opportunities.
a) Does the State/Territory have professional development opportunities
accessible for professionals in various or all sectors of the early childhood and
school-age field?
Yes. If yes, for which sectors?
Child care
Head Start/Early Head Start
Pre-Kindergarten
Public schools
Early intervention/special education
Other. Describe
No
b) Does the State/Territory have a State/Territory-wide, coordinated and
easily accessible clearinghouse of information about professional
development opportunities available to all members of the early childhood
and school-age workforce? Lead Agencies are not required to have a
professional development system, but States/Territories may develop such
clearinghouses to promote access to professional development opportunities.
Yes. If yes, describe
No
Insert web addresses, where possible:
c) What supports, if any, does the State/Territory provide to promote access
to training and education activities?
Scholarships. Describe
Free training and education. Describe
Reimbursement for training and education expenses. Describe
Grants. Describe
Loans. Describe
Loan forgiveness programs. Describe
Substitute pools. Describe
Release time. Describe
Other. Describe
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 80

Draft for 2nd Public Comment – February, 2013
None
d) Does the State/Territory have career advisors for early childhood and
school-age practitioners?
Yes. If yes, describe
No
e) Does the State/Territory have mentors, coaches, consultants, and/or other
specialists available to provide technical assistance to the workforce?
Yes. If yes, describe
No
3.4.5 Workforce Element 5- Compensation, Benefits and Workforce
Conditions
Definition – For purposes of this section, rewards for education and training refers
to any financial supports provided to practitioners for participating in and
completing education or training or for increasing compensation.
a) Does the State/Territory have a salary or wage scale for various
professional roles?
Yes. If yes, describe
No
b) Does the State/Territory provide financial rewards for participation in
professional development, such as one-time salary bonuses for completing a
training or education program?
Yes. If yes, describe
No
c) Does the State/Territory provide sustained financial support on a
periodic, predictable basis, such as annual wage supplements, based on the
highest level of training and education achieved?
Yes. If yes, describe
No
d) Does the State/Territory have a program to offer or facilitate benefits (e.g.
health insurance coverage, retirement, etc.) to the workforce?
Yes. If yes, describe
No
3.4.6 Data & Performance Measures on the Child Care Workforce – What
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 81

Draft for 2nd Public Comment – February, 2013
data elements, if any, does the State/Territory currently have access to related to the
child care workforce? What, if any, does the State/Territory use for performance
measures on professional development and workforce initiatives? The purpose of
these questions is for Lead Agencies to provide a description of their capacity to
provide information, not to require Lead Agencies to collect or report this
information. For any data elements checked in (a) below, Lead Agencies may provide
an optional description about the data they have access to (e.g., the Lead Agency may
have data for only licensed programs, only programs caring for children receiving
CCDF subsidies, only providers participating in quality improvement systems, or
only for certain age groups (e.g., infants and toddlers or school-age children).
a) Data on the child care workforce. Indicate if the Lead Agency or
another agency has access to data on:
Data on the size of the child care workforce. Describe (optional)
Data on the demographic characteristics of practitioners or
providers working directly with children. Describe (optional)
Records of individual teachers or caregivers and their qualifications.
Describe (optional)
Retention rates. Describe (optional)
Records of individual professional development specialists and their
qualifications. Describe (optional)
Qualifications of teachers or caregivers linked to the programs in
which they teach. Describe (optional)
Number of scholarships awarded . Describe (optional)
Number of individuals receiving bonuses or other financial rewards
or incentives. Describe (optional)
Number of credentials and degrees conferred annually. Describe
(optional)
Data on T/TA completion or attrition rates. Describe (optional)
Data on degree completion or attrition rates. Describe (optional)
Other. Describe
None
b) Does the State/Territory have a workforce data system, such as a workforce
registry, which tracks workforce demographics, compensation, and
qualifications and ongoing professional development for practitioners
working with children birth to age 13?
Definition– For purposes of this section, a workforce data system refers to a
system, such as a workforce registry, that tracks the size and characteristics of
the child care workforce, including longitudinal data to monitor changes over
time. The data system also can produce records to validate and verify

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 82

Draft for 2nd Public Comment – February, 2013
qualifications or ongoing professional development for licensing,
accreditation, QRIS, wage incentives, and credentials.
Yes.
b-1) If yes, which roles are included in the workforce data
system? For each role checked, indicate in your description
whether participation is voluntary or mandatory.
Staff working directly with children in centers,
including aides, assistants, teachers, master teachers.
Describe
Providers working directly with children in family
child care homes, including aides and assistants. Describe
Administrators in centers (including educational
coordinators, directors). Describe
Technical assistance providers (including mentors,
coaches, consultants, home visitors, etc.). Describe
Education and training staff (such as trainers, CCR&R
staff, faculty). Describe
Other. Describe
None

No

b-2) Does the workforce data system apply to:
all practitioners working in programs that are licensed
or regulated by the State/Territory to serve children birth
to 13?
all practitioners working in programs that receive
public funds to serve children birth to age 13?

c) Performance measurement. What, if any, performance measures does
the State/Territory use related to its workforce and professional
development systems?
d) Evaluation. What, if any, are the State/Territory’s plans for evaluation
related to its workforce and professional development systems? Evaluation
can include efforts related to monitoring implementation of an initiative,
validation of standards or assessment tools, or looking at outcomes in
programs or the system and may be ongoing or conducted periodically.
3.4.7 Goals for the next Biennium - In this section, Lead Agencies are asked to
identify at least one goal for the upcoming biennium and are encouraged to identify
no more than five priority goals total. ACF will target technical assistance efforts to
help Lead Agencies achieve their goal(s). Lead Agencies may include existing goals
(e.g., already identified in a State strategic plan or established by the Governor for a
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 83

Draft for 2nd Public Comment – February, 2013
Lead Agency). Lead Agencies are not required to establish a goal for each sub-section
in 3.4. Lead Agencies will report progress and updates on these goals in the annual
Quality Performance Report (Appendix 1), including any barriers encountered.
What are the State/Territory’s goals for the building the professional development
system and improving conditions for the workforce in the coming biennium? What
progress does the State/Territory expect to make across the five key elements for the
workforce and professional development system described above?
Note – When identifying your goals below, Lead Agencies are encouraged to begin
with an action verb reflecting the desired result over the two year period (e.g.,
Increase, Improve, Build, Align, Implement, Review, Revise, Streamline, Expand,
etc.)
Goal 1 Goal 2 Goal 3 Goal 4 Goal 5 -

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 84

Draft for 2nd Public Comment – February, 2013

AMENDMENTS LOG
CHILD CARE AND DEVELOPMENT FUND PLAN FOR:
FOR THE PERIOD: 10/1/11 – 9/30/12
Lead Agencies are required to request approval from Administration for Children
and Families (ACF) whenever a “substantial” change in the Lead Agency’s approved
CCDF plan occurs. Please refer to the ACF Program Instruction regarding CCDF Plan
amendments for more information
http://www.acf.hhs.gov/programs/occ/resource/pi-2009-01
Plan amendments must be submitted to ACF within 60 days of the effective date of
the change. Under the regulation, the plan amendment must be approved no later
than the 90th day following the date on which the amendment is received by ACF
unless the Lead Agency and ACF mutually agree in writing to extend the period.
(§98.18 (b)).
ACF encourages Lead Agencies to contact the Child Care program staff in the
appropriate ACF Regional Office to discuss any proposed amendment as early as
possible.
Instructions for Submitting Amendments:
Complete the first 3 columns of the Amendment Log and send a copy of the Log
(showing the latest amendment sent to ACF) and the amended section(s) to the ACF
Regional Office contact. Lead Agency also should indicate the Effective Date of the
amended section in the footer at the bottom of the amended page(s). A copy of the
Log, showing the latest amendment pending in ACF, is retained as part of the Lead
Agency's Plan.
ACF will complete column 4 and returns a photocopy of the Log to the grantee
following its review and approval of the amendment. The Lead Agency replaces this
page in the Plan with the copy of the Log received from ACF showing the approval
date.
Note: This process depends on repeated subsequent use of the same Log page over
the life of the Plan. At any time the Log should reflect all amendments, both
approved and pending in ACF. The Lead Agency is advised to retain "old" plan pages
that are superseded by amendments in a separate appendix to its Plan. This is
especially important as auditors will review CCDF Plans and examine effective date
of changes.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 85

Draft for 2nd Public Comment – February, 2013
SECTION
AMENDED

EFFECTIVE/
PROPOSED
EFFECTIVE DATE

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

DATE
SUBMITTED TO
ACF

DATE APPROVED
BY ACF

Page 86

Draft for 2nd Public Comment – February, 2013

Appendix 1
Quality Performance Report
This annual report will be submitted to ACF no later than December 31, 2014 and
will reflect the period October 1, 2013 through September 30, 2014. Lead Agencies
will leave this report blank when the Plan is initially submitted.
In this report, Lead Agencies are asked about the State/Territory’s progress in
meetings its goals as reported in the FY 2014-2015 CCDF Plan, and provide available
data on the results of those activities. At a minimum, Lead Agencies are expected to
respond to the first question in each section of the Quality Performance Report
(QPR) which asks for their progress toward meeting their goal(s) articulated in Part
2 and Part 3 of the CCDF Plan for this Biennium.
Because of the flexibility in administering the CCDF program, it is expected that
Lead Agencies may not have information and data available to respond to all
questions. A Describe box is provided for each question for Lead Agencies to provide
descriptive context for data reported and narrative updates in each data section,
including any plans for reporting data in the future, if actual data is not currently
available or if specific questions are not applicable. Lead Agencies may use data
collected by other agencies and entities (e.g., CCR&R agencies or other contractors)
as appropriate. The term Lead Agency is used in questions when the data relate to a
CCDF-specific activity, otherwise the term State/Territory is used when another
entity may be responsible or involved with an activity (e.g., licensing).
The purpose of this annual report is to capture State/Territory progress on
improving the quality of child care. Specifically, this report will:
Provide a national assessment of State’s and Territory’s progress toward
improving the quality of child care, including a focus on program quality and
child care workforce quality;
Track State’s and Territory’s annual progress toward meeting high quality
indicators and benchmarks, including those that they set for themselves in
their CCDF Plans and those that are of interest to the U.S. Department of
Health and Human Services in measuring CCDF program performance;
Assist national and State/Territory technical assistance efforts to help
States/Territories make strategic use of quality funds; and
Assist with program accountability
This report collects progress on the five goals identified in Part 2 and Part 3 of the
Child Care and Development Fund (CCDF) Plan for FY2014-2015 along with key
data in relation to the four components of child care quality used as a quality
framework in Part 3 of the Child Care and Development Fund Plan for FY 20142015:
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 87

Draft for 2nd Public Comment – February, 2013
1. Ensuring health and safety of children through licensing and health and safety
standards
2. Establishing early learning guidelines
3. Creating pathways to excellence for child care programs through program
quality improvement activities
4. Creating pathways to an effective, well-supported child care workforce
through professional development systems and workforce initiatives.
Ensuring the Health and Safety of Children (Component #1)
In this section, Lead Agencies provide information on the minimum health and
safety standards and activities in effect over the past year as of September 30, 2014.
A1.1 Progress on Overall Goals
Based on the goals described in the Lead Agency’s CCDF Plan at Section
3.1.7, please report your progress using the chart below. You may include
any significant areas of progress that were not anticipated in the Plan, as well. For
each goal listed, briefly describe the improvement with specific examples or numeric
targets where possible ( e.g., revised licensing regulation to include elements related
to SIDS prevention, lowered caseload of licensing staff to 1:50, or increased
monitoring visits to twice annually for child care centers). If applicable, describe any
barriers to implementing your planned goals.
Goals Described in FY 2014-2015 CCDF
Plan

Describe Progress – Include
Examples and Numeric
Targets where Possible

Note: If your licensing standards changed during this period, please
provide a brief summary of the major changes and submit the updated
regulations to the National Resource Center for Health and Safety in
Child Care (www.nrckids.org.)
A1.2 Key Data
OCC is collecting this information as one part of our overall effort to better
understand States/Territories’ activities to improve the quality of child care. OCC
recognizes that the data requested in this report will only provide part of that picture
because there are many factors which affect the data being collected here and that
some data requested may be collected by another agency or entity other than the
Lead Agency. Each State/Territory’s policy context and priorities and standards will
play a role in the way that quality improvement activities are developed and
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 88

Draft for 2nd Public Comment – February, 2013
implemented. For example, the number of programs with licensing violations will be
affected by how stringent the licensing standards are. States with more stringent
standards may be more likely to report more violations than those with less stringent
licensing standards. OCC intends to work with the States/Territories to gather any
additional contextual information necessary in order to fully understand the context
of these data for any reporting activities involving this information.
A1.2.1 Number of Programs
a) How many licensed center-based programs operated in the State/Territory
as of September 30, 2014?
N/A
Describe:
b) How many licensed home-based programs operated in the State/Territory
as of September 30, 2014?
N/A
Describe:
c) Does the State/Territory have data on the number of programs operating in
the State/Territory that are legally exempt from licensing? At a minimum, the
Lead Agency should provide the number of legally exempt providers serving
children receiving CCDF.
Yes. If yes, include the number of programs as of September 30, 2014
and describe
(Use the Describe Box to provide the universe of
programs on which the number is based)
No. Describe:
A1.2.2 Number and Frequency of Monitoring Visits
For licensed programs, a monitoring visit is an onsite visit by department personnel
to a licensed child care program with the goal of ensuring compliance with licensing
regulations. This may include initial licensing determination visits, licensing renewal
visits, periodic announced or unannounced visits, and visits made after a complaint
is lodged. For legally exempt providers, a monitoring visit is an onsite visit to a child
care program with the goal of ensuring compliance with health and safety standards
as defined by CCDF and required for receipt of CCDF funds. Use the Describe box to
provide your State/Territory monitoring visit requirement.
a) How many licensed center-based programs received at least one
monitoring visit between October 1, 2013 and September 30, 2014?
a-1) Of those programs visited, how many were unannounced?
a-2) Of those programs visited, how many were triggered by a
complaint or identified risk?
a-3) What percentage of required visits for licensed center-based
program were completed?
N/A
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 89

Draft for 2nd Public Comment – February, 2013
Describe:
b) How many licensed family child care programs received at least one
monitoring visit between October 1, 2013 and September 30, 2014?
b-1) Of those programs visited, how many were unannounced?
b-2) Of those programs visited, how many were triggered by a
complaint or identified risk?
b-3) What percentage of required visits for licensed family child care
programs were completed?
N/A
Describe:
c) How many legally exempt providers receiving CCDF received at least one
monitoring visit between October 1, 2013 and September 30, 2014? Of those,
c-1) Of those programs visited, how many were unannounced?
c-2) Of those programs visited, how many were triggered by a
complaint or identified risk?
c-3) What percentage of required visits for legally exempt providers
were completed?
N/A
Describe:
A1.2.3 Number of Licensing Suspensions, Licensing Revocations and
Terminations from CCDF
Suspension of license includes any enforcement action that requires the temporary
suspension of child care services because of licensing violations. Revocation of
license includes termination or non-renewal of licensure and any other enforcement
action that requires the closure of a program because of licensing violations.
How many
programs had their
licenses suspended
due to licensing
violations as
defined in your
State/Territory
during the last
fiscal year?

How many
programs had their
licenses revoked
due to licensing
violations as
defined in your
State/Territory
during the last
fiscal year?

How many
programs were
terminated from
participation in
CCDF due to failure
to meet licensing or
minimum CCDF
health and safety
requirements
during the last
fiscal year?

N/A

Describe

Child
Care
Centers
Group
Child
Care
Homes

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 90

Draft for 2nd Public Comment – February, 2013
Family
Child
Care
Homes
In-Home
Providers
A1.2.5 How many previously license-exempt providers were brought
under the licensing system during the last fiscal year?
N/A
Describe:
A1.2.6 How many injuries as defined by the State/Territory occurred in
child care during the last year? Please provide your definition of injuries in the
Describe box and indicate the universe of programs on which the number is based
(e.g., licensed providers, CCDF providers, or all providers).
N/A
Describe:
A1.2.7 How many fatalities occurred in child care or as the result of a
child care accident or injury as of the end of the last year? Please indicate
the universe of programs on which the number is based (e.g., licensed providers,
CCDF providers, or all providers).
N/A
Describe:
Establishing Early Learning Guidelines (Component #2)
A2.1 Progress on Overall Goals
A2.1.1 Did the State/Territory make any changes to its voluntary early
learning guidelines (including guidelines for school-age children) as
reported in 3.2 during the last fiscal year?
Yes. Describe
No
A2.1.2 Based on the goals described in the Lead Agency’s CCDF Plan at
Section 3.2.8, please report your progress. You may include any significant
areas of progress that that were not anticipated in the Plan, as well. For each goal
listed, briefly describe the improvement with specific examples or numeric targets
where possible (e.g., Expanded the number of programs trained on using the ELG’s,
Aligned the ELG’s with Head Start Child Development and Early Learning
Framework). If applicable, describe any barriers to implementing your planned
goals.
Goals Described in FY 2014-2015 CCDF
Plan
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Describe Progress – Include
Examples and Numeric
Page 91

Draft for 2nd Public Comment – February, 2013
Targets where Possible

A2.2 Key Data
OCC is collecting this information as one part of our overall effort to better
understanding State/Territory activities to improve the quality of child care. OCC
recognizes that the data requested in this report will only provide part of that picture
because there are many factors which affect the data being collected here. Each
State/Territory’s policy context and priorities and standards will play a role in the
way that quality improvement activities are developed and implemented. OCC
intends to work with the States/Territories to gather any additional contextual
information necessary in order to fully understand the context of these data for any
reporting activities involving this information.
A2.2.1a How many individuals were trained on early learning guidelines
(ELG’s) or standards over the last fiscal year? Responses to this question
should be consistent with information provided in question 3.2.3 in the CCDF Plan.

Provider Categories

Birth
to
Three
ELG’s

Threeto-Five
ELG’s

Five
and
Older
ELG’s

N/A Describe

How many
teachers/practitioners in centerbased programs were trained on
ELG’s over the past year?
Separate by age group if possible
(e.g., infants and toddlers,
preschoolers, school-age
children)
How many family child care
providers were trained on ELG’s
over the past year? Separate by
age group if possible (e.g., infants
and toddlers, preschoolers,
school-age children)
How many legally exempt
providers were trained on ELG’s
over the past year? Separate by
age group if possible (e.g., infants
and toddlers, preschoolers,
school-age children)
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 92

Draft for 2nd Public Comment – February, 2013

A2.2.1b How many children are served in programs implementing the
ELG’s? Refer to question 3.2.4 in the CCDF Plan for examples of how ELG’s can be
implemented in programs. Program capacity can be used as an estimate of children
served.

Provider Categories

Birth to ThreeThree
to-Five
ELG’s
ELG’s

Five
and
Older
ELG’s

N/A Describe

How many children are served
in center-based programs
implementing the ELG’s?
Separate by age group if
possible (e.g., infants and
toddlers, preschoolers, schoolage children)
How many children are served
in program implementing the
ELG’s? Separate by age group
if possible (e.g., infants and
toddlers, preschoolers, schoolage children)
How many children are served
in programs implementing the
ELG’s? Separate by age group
if possible (e.g., infants and
toddlers, preschoolers, schoolage children)
Pathways to Excellence for Child Care Programs through Program
Quality Improvement Activities (Component #3)
A3.1 Progress on Overall Goals
A3.1.1 Based on the goals described in the Lead Agency’s CCDF Plan at
Section 3.3.9, please report your progress. You may include any significant
areas of progress that that were not anticipated in the Plan, as well. For each goal
listed, briefly describe the improvement with specific examples or numeric targets
where possible (e.g., Expanded the number of programs included in the QRIS,
Aligned the QRIS standards with Head Start performance standards, or expanded
the number of programs with access to an on-site quality consultant). If applicable,
describe any barriers to implementing your planned goals.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 93

Draft for 2nd Public Comment – February, 2013
Goals Described in FY
2014-2015 CCDF Plan

Describe Progress – Include Examples and
Numeric Targets where Possible

A3.2 Key Data
OCC is collecting this information as one part of our overall effort to better
understanding State/Territory activities to improve the quality of child care. OCC
recognizes that the data requested in this report will only provide part of that picture
because there are many factors which affect the data being collected here. Each
State/Territory’s policy context and priorities and standards will play a role in the
way that quality improvement activities are developed and implemented. OCC
intends to work with the States/Territories to gather any additional contextual
information necessary in order to fully understand the context of these data for any
reporting activities involving this information.
A3.2.1 Number of Program Receiving Targeted Technical Assistance
Targeted technical assistance is technical assistance (coaching, mentoring and
consultation) that is designed to address a particular domain/area of quality.
Responses in this section should be consistent with responses provided in question
3.3.2 in the CCDF Plan which focuses on targeted technical assistance to programs
(rather than practitioners) that is intended for moving programs to higher levels of
quality.
a) How many programs received targeted technical assistance during the last
fiscal year (October 1, 2013 through September 30, 2014)?
N/A
Describe:
b) If possible, report the number of programs who received targeted technical
assistance in the following areas:
Health and safety
Infant and toddler care
School-age care
Inclusion
Teaching dual language learners
Understanding developmental screenings and/or observational
assessment tools for program improvement purposes
Mental health
Business management practices
N/A
Describe:
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 94

Draft for 2nd Public Comment – February, 2013

A3.2.2 Number of Programs Receiving Financial Supports
Responses to this question should be consistent with responses provided in question
3.3.3 of the CCDF Plan. Financial supports must be intended to reward, improve,
or sustain quality. They can include grants, cash, reimbursements, gift cards, or
purchases made to benefit a program. This includes tiered reimbursements for CCDF
subsidies. One-time grants, awards, or bonuses include any kind of financial
support that a program can receive only once. On-going or periodic quality
stipends include any kind of financial support intended to reward, improve, or
sustain quality that a program can receive more than once.
a) How many programs received one-time, grants, awards or bonuses?
Child Care Centers
N/A
Describe:
Family Child Care Homes
N/A
Describe:
b) How many programs received on-going or periodic quality stipends?
Child Care Centers
N/A
Describe:
Family Child Care Homes
N/A
Describe:
A3.2.3 Number of Eligible Programs for State/Territory QRIS or Other
Quality Improvement System
a) What is the total number of eligible child care centers for QRIS
Other Quality Improvement System?
N/A
Describe:

OR

b) What is the total number of eligible family child care homes for QRIS
OR Other Quality Improvement System?
N/A
Describe:
c) What is the total number of eligible license-exempt providers for QRIS
OR Other Quality Improvement System?
N/A
Describe:
A3.2.4 Number and Percentage of Programs Participating in
State/Territory QRIS or Other Quality Improvement System

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 95

Draft for 2nd Public Comment – February, 2013
a) Of the total number eligible as reported in A3.2.3, what is the total number
and percentage of child care center programs in the State/Territory that
participate in the State/Territory QRIS or other quality improvement
system for programs over the last fiscal year?
Number of Child Care Centers Participating in QRIS
Other Quality Improvement System

OR

Percentage of Child Care Centers Participating in QRIS
OR Other Quality Improvement System
N/A
Describe:
b) Of the total number eligible as reported in A3.2.3, what is the total number
and percentage of family child care programs in the State/Territory that
participate in the State/Territory QRIS or other quality improvement
system for programs over the last fiscal year?
Number of Family Child Care Homes QRIS
Quality Improvement System
Percentage of Family Child Care Homes QRIS
Quality Improvement System
N/A
Describe:

OR Other
OR Other

c) Of the total number eligible as reported in A3.2.3, what is the total number
and percentage of license-exempt programs in the State/Territory that
participate in the State/Territory QRIS or other quality improvement
system for programs over the last fiscal year?
Number of License-Exempt Providers QRIS
Quality Improvement System
Percentage of License-Exempt Providers QRIS
Other Quality Improvement System
N/A
Describe:

OR Other
OR

A3.2.5. Number of Programs at Each Level of Quality
For each type of care, provide the total number of quality levels and the number of
programs at that level of the total number of participating as reported in A3.2.4.
Describe metric if other than QRIS, such as accreditation.
Number of levels
of quality

Number of programs
at each level

N/A Describe

Child Care
Centers
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 96

Draft for 2nd Public Comment – February, 2013
Family Child
Care Homes
License-Exempt
Providers
A3.2.6 Number of Programs Who Moved Up or Down within QRIS
If quality threshold is something other than QRIS, describe the metric used, such as
accreditation. These numbers ARE NOT expected to total the number of
participating programs in the QRIS as reported in A3.2.4.
How many programs
moved up within the QRIS
or achieved another
quality threshold
established by the
State/Territory over the
last fiscal year?

How many programs
moved down within the
QRIS or achieved another
quality threshold
established by the
State/Territory over the
last fiscal year?

N/A Describe

Child Care
Centers
Family
Child Care
Homes
LicenseExempt
Providers
A3.2.7 Number of CCDF Subsidized Children Served in Programs
Participating in the State/Territory Quality Improvement System
Note. If the State/Territory does not have a formal QRIS, the State/Territory may
define another quality indicator and report it here.
a) What percentage of CCDF children were served in participating programs
during the last fiscal year?
b) What percentage of CCDF children were served in high quality care as
defined by the State/Territory?
Provide the definition of high
quality care in the Describe box. This may include assessment scores,
accreditation, or other metric, if no QRIS.
N/A
Describe:
Pathways to Excellence for the Child Care Workforce: Professional
Development Systems and Workforce Initiatives (Component #4)
A4.1 Progress on Overall Goals

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 97

Draft for 2nd Public Comment – February, 2013
A4.1.1 Based on the goals described in the Lead Agency’s CCDF Plan at
Section 3.4.7, please report your progress. You may include any significant
areas of progress that that were not anticipated in the Plan, as well. For each goal
listed, briefly describe the improvement with specific examples or numeric targets
where possible (e.g., Implement a wage supplement program, Develop articulation
agreements). If applicable, describe any barriers to implementing your planned
goals.
Goals Described in FY
2014-2015 CCDF Plan

Describe Progress – Include Examples and
Numeric Targets where Possible

A4.2 Key Data
OCC is collecting this information as one part of our overall effort to better
understanding State/Territory activities to improve the quality of child care. OCC
recognizes that the data requested in this report will only provide part of that picture
because there are many factors which affect the data being collected here. Each
State/Territory’s policy context and priorities and standards will play a role in the
way that quality improvement activities are developed and implemented. OCC
intends to work with the States/Territories to gather any additional contextual
information necessary in order to fully understand the context of these data for any
reporting activities involving this information.
A4.2.1 Number of Teachers/Caregivers and Qualification Levels
a) What is the total number of child care center teachers in the State/Territory
as of September 30, 2014?
N/A
Describe:
b) What is the total number of family child care providers in the State/Territory
as of September 30, 2014?
N/A
Describe:
c) What is the number of center teachers and family child care providers by
qualification level as of the end of the last fiscal year? Count only the highest
level of education attained.
Child Care
Center
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Family Child
Care

N/A Describe

Page 98

Draft for 2nd Public Comment – February, 2013
Teachers

Providers

Child Development
Associate (CDA)
State/Territory
Credential
Associate’s degree
Bachelor’s degree
Graduate/Advanced
degree
A4.2.2 Number of Individuals Included in State/Territory’s Professional
Development Registry during Last Fiscal Year (October 1, 2013 through
September 30, 2014)
Teachers in child care centers
Family child care home providers
License-exempt providers
N/A
Describe:
A4.2.3 Number of Individuals Receiving Credit-Based Training and/or
Education as defined by State/Territory during the last fiscal year
Teachers in child care centers
Family child care home providers
License-exempt providers
N/A
Describe:
A4.2.4 Number of Credentials and Degrees Awarded during Last Fiscal
Year If possible, list the type of credential or degree and in what type of setting the
practitioner worked.

Setting

List Type of
Credential and
Provide Number
Awarded

List Type of
Degree and
N/A Describe
Provide Number
Awarded

Teachers in
child care
centers
Family child
care home
providers
Licenseexempt
providers
A4.2.5 Number of Individuals Receiving Technical Assistance during
Last Fiscal Year Describe any data you track on coaching, mentoring, or other
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 99

Draft for 2nd Public Comment – February, 2013
specialist consultation. If possible, include in what type of setting the practitioner
worked. Responses to this question should be consistent with information provided
in question 3.4.4e of the CCDF Plan.
Setting

List Type of Technical
Assistance and Provide
Number

N/A Describe

Teachers in child
care centers
Family child care
home providers
License-exempt
providers
A4.2.6 Type of Financial Supports Provided and Number of
Teachers/Providers Receiving as of End of Last Fiscal Year?
Scholarships. How many teachers/providers received?
Reimbursement for Training Expenses. How many teachers/providers
received?
Loans. How many teachers/providers received?
Wage supplements. How many teachers/providers received?
Other. Describe
N/A
Describe:
Building Subsidy Systems that Increase Access to High Quality Care
In this section, Lead Agencies provide progress on their subsidy administration goals
over the past year as of September 30, 2014.
A5.1 Progress on Overall Goals
Based on the goals described in the Lead Agency’s CCDF Plan at Section
2.8, please report your progress using the chart below. You may include
any significant areas of progress that were not anticipated in the Plan, as well. For
each goal listed, briefly describe the improvement with specific examples or numeric
targets where possible (e.g., established copayment policies that sustain income and
sustain quality, or established eligibility policies that promote continuity of care). If
applicable, describe any barriers to implementing your planned goals.
Goals Described in FY 2014-2015 CCDF
Plan

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Describe Progress – Include
Examples and Numeric
Targets where Possible

Page 100

Draft for 2nd Public Comment – February, 2013

APPENDIX 2
CCDF PROGRAM ASSURANCES AND CERTIFICATIONS
The Lead Agency, named in Part 1 of this Plan, assures (§98.15) that:
(1)

(2)

(3)

(4)
(5)

(6)

(7)

upon approval, it will have in effect a program that complies with the
provisions of the Plan printed herein, and is administered in accordance with
the Child Care and Development Block Grant Act of 1990 as amended, Section
418 of the Social Security Act, and all other applicable Federal laws and
regulations. (658D(b), 658E(a))
the parent(s) of each eligible child within the State who receives or is offered
child care services for which financial assistance is provided is given the
option either to enroll such child with a child care provider that has a grant or
contract for the provision of the service; or to receive a child care certificate.
(658E(c)(2)(A)(i))
in cases in which the parent(s) elects to enroll the child with a provider that
has a grant or contract with the Lead Agency, the child will be enrolled with
the eligible provider selected by the parent to the maximum extent
practicable. (658E(c)(2)(A)(ii))
the child care certificate offered to parents shall be of a value commensurate
with the subsidy value of child care services provided under a grant or
contract. (658E(c)(2)(A)(iii))
with respect to State and local regulatory requirements, health and safety
requirements, payment rates, and registration requirements, State or local
rules, procedures or other requirements promulgated for the purpose of the
Child Care and Development Fund will not significantly restrict parental
choice among categories of care or types of providers. (658E(c)(2)(A),
§98.15(p), §98.30(g), §98.40(b)(2), §98.41(b), §98.43(c), §98.45(d))
that children receiving services under the CCDF are age-appropriately
immunized, and that the health and safety provisions regarding
immunizations incorporate (by reference or otherwise) the latest
recommendation for childhood immunizations of the State public health
agency. (§98.41(a)(1))
that CCDF Discretionary funds are used to supplement, not supplant, State
general revenue funds for child care assistance for low-income families. (P.L.
109-149)

The Lead Agency also certifies that:
(1)
it has procedures in place to ensure that providers of child care services for
which assistance is provided under the Child Care and Development Fund
afford parents unlimited access to their children and to the providers caring
for their children during the normal hours of operations and whenever such
children are in the care of such providers. (658E(c)(2)(B))

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 101

Draft for 2nd Public Comment – February, 2013
(2)
(3)
(4)
(5)

(6)

(7)

it maintains a record of substantiated parental complaints and makes
information regarding such complaints available to the public on request.
(658E(c)(2)(C))
it will collect and disseminate to parents of eligible children and the general
public consumer education information that will promote informed child care
choices. (658E(c)(2)(D))
it has in effect licensing requirements applicable to child care services
provided in the State. (658E(c)(2)(E))
there are in effect within the State (or other area served by the Lead Agency),
under State or local law, requirements designed to protect the health and
safety of children; these requirements are applicable to child care providers
that provide services for which assistance is made available under the Child
Care and Development Fund. (658E(c)(2)(E))
procedures are in effect to ensure that child care providers of services for
which assistance is provided under the Child Care and Development Fund
comply with all applicable State or local health and safety requirements.
(658E(c)(2)(G))
payment rates under the Child Care and Development Fund for the provision
of child care services are sufficient to ensure equal access for eligible children
to comparable child care services in the State or sub-State area that are
provided to children whose parents are not eligible to receive assistance under
this program or under any other Federal or State child care assistance
programs. (658E(c)(4)(A))

CCDF Regulations 45 CFR §98.13(b)(2)-(6) require the following certifications.
1. Assurance of compliance with Title VI of the Civil Rights Act of
1964:
http://www.hhs.gov/forms/HHS690.pdf
2. Certification regarding debarment:
http://www.acf.hhs.gov/grants/certification-regarding-debarmentsuspension-and-other
3. Definitions for use with certification of debarment:
http://www.acf.hhs.gov/grants/certification-regarding-debarmentsuspension-and-other-0
4. HHS certification regarding drug-free workplace requirements:
http://www.acf.hhs.gov/grants/certification-regarding-drug-freeworkplace-requirements
5. Certification of Compliance with the Pro-Children Act of 1994:
http://www.acf.hhs.gov/grants/certification-regarding-environmentaltobacco-smoke
6. Certification regarding lobbying:
http://www.acf.hhs.gov/grants/certification-regarding-lobbying
CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 102

Draft for 2nd Public Comment – February, 2013

These certifications were obtained in the 1997 Plan and need not be collected again if
there has been no change in Lead Agency. If the there has been a change in Lead
Agency, these certifications must be completed and submitted with the Plan.

CCDF Plan Effective Date: October 1, 2013
Amended Effective: _____

Page 103