1 fy2016-2018 Plan Preprint draft for public comment 12-14

Child Care and Development Fund (CCDF) Plan
for
^{State/Territory      }
FFY 2016-2018

This Plan describes the CCDF program to be administered by the State/Territory for the period 6/1/2016 – 9/30/2018. As provided for in the applicable statutes and regulations, the Lead Agency has the flexibility to modify this program at any time, including amending the options selected or described.

For purposes of simplicity and clarity, the specific provisions of applicable laws printed herein are sometimes paraphrases of, or excerpts and incomplete quotations from, the full text. The Lead Agency acknowledges its responsibility to adhere to 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 XXXX-XXXX expires XXXX

Table of Contents

Table of Contents 2

Introduction and How to Approach Plan Development 4

1 Define CCDF Leadership and Coordination with Relevant Systems 7

1.1 CCDF Leadership 7

1.2 CCDF Policy Decision Authority 9

1.3 Consultation in the Development of the CCDF Plan 11

1.4 Coordination with Partners to Expand Accessibility and Continuity of Care 14

1.5 Optional Use of Combined Funds 16

1.6 Public-Private Partnerships 17

1.7 Coordination with Local or Regional Child Care Resource and Referral Systems 17

1.8 Disaster Preparedness and Response Plan 18

2 Promote Family Engagement through Outreach and Consumer Education 19

2.1 Information about Child Care Financial Assistance Program Availability and Application Process 20

2.2 Consumer and Provider Education Information 21

2.3 Website for Consumer Education 27

3 Provide Stable Child Care Financial Assistance to Families 29

3.1 Eligible Children and Families 30

3.2 Increasing Access for Vulnerable Children and Families 36

3.3 Protection for Working Parents 38

3.4 Family Contribution to Payment 41

4 Ensure Equal Access to High Quality Child Care for Low-Income Children 43

4.1 Parental Choice In Relation to Certificates, Grants or Contracts 44

4.2 Assessing Market Rates and Child Care Costs 46

4.3 Setting Payment Rates 48

4.4 Summary of Facts Used to Determine that Payments Rates Are Sufficient to Ensure Equal Access 50

4.5 Payment Practices and Timeliness of Payments 52

4.6 Supply Building Strategies to Meet the Needs of Certain Populations 54

5 Establish Standards and Monitoring Processes to Ensure the Health and Safety of Child Care Settings 56

5.1 Licensing Requirements and Standards 57

5.2 Monitoring and Enforcement Policies and Practices 64

5.3 Criminal Background Checks 70

6 Recruit and Retain a Qualified and Effective Child Care Workforce 73

6.1 Training and Professional Development Requirements 74

6.2 Supporting Training and Professional Development of the Child Care Workforce with CCDF Quality Funds 79

6.3 Early Learning and Developmental Guidelines 82

7 Support Continuous Quality Improvement 85

7.1 Activities to Improve the Quality of Child Care Services 86

7.2 Quality Rating and Improvement System 88

7.3 Improving the Supply and Quality of Child Care Programs and Services for Infants and Toddlers 90

7.4 Child Care Resource & Referral 91

7.5 Facilitating Compliance with State Standards 91

7.6 Evaluating and Assessing the Quality and Effectiveness of Child Care Programs and Services 92

7.7 Accreditation Support 92

7.8 Program Standards 92

7.9 Other Quality Improvement Activities 93

8 Ensure Grantee Program Integrity and Accountability 93

8.1 Program Integrity 93

Introduction and How to Approach Plan Development

Access to stable, high quality child care and early learning experiences improves the odds of success for two generations – parents and children - who rely on child care across the country. The Child Care and Development Fund (CCDF) provides resources to State, Territory, and Tribal grantees that enable low-income parents to work or pursue education and training so that they may better support their families while at the same time promoting the learning and development of their children. The CCDF also provides funding to enhance the quality of child care for all children.

On November 19, 2014, President Obama signed the bipartisan-supported Child Care and Development Block Grant (CCDBG) Act of 2014 into law (Pub. L. 113-186) (https://www.acf.hhs.gov/sites/default/files/occ/child_care_and_development_block_grant_markup.pdf). The law reauthorizes and significantly revises the purposes of the CCDF program and requirements for State and Territory grantees. The law establishes minimum child care assistance eligibility periods, health and safety standards and training requirements for providers, monitoring, consumer information and other components that when fully implemented will strengthen child care in this country and support child and family success.

States and Territories must comply with the provisions of the Child Care and Development Block Grant (CCDBG) Act, as revised by reauthorization. The Office of Child Care (OCC) has provided interpretive guidance on the new requirements of the law through Program Instructions or responses to Frequently Asked Questions, which are available at: http://www.acf.hhs.gov/programs/occ/ccdf-reauthorization. Pending the issuance of implementing regulations, States and Territories are to comply with the law based on their reasonable interpretation of the requirements in the revised CCDBG statute. Further Federal clarification through guidance and regulation is forthcoming. Once final rules are issued, any States and Territories that do not fully meet the requirements of the regulations will need to revise their policies and procedures to come into compliance, and file appropriate Plan amendments related to those changes.

CCDF Plan Overview. The Administration for Children and Families (ACF) re-designed the CCDF Plan to assist State and Territory grantees to plan for full implementation of the law. We recognize that the CCDBG Act of 2014 includes a significant number of changes, some of which are straightforward to implement, while others are complex and will be phased-in over several years. The level of effort needed for implementation will vary across the country depending on the number of changes a State or Territory needs to make. We encourage all States and Territories to take time to think systematically and consider large-scale changes to advance a coherent vision for their child care programs and achieve the goals of the reauthorization – that is, to improve the health, safety, and quality of child care and to improve low-income working families’ access to child care assistance and care that promotes child development. Some States and Territories will need time to enact changes through their legislatures or rulemaking processes. In addition, some requirements will take time to fully operationalize. ACF will work with States and Territories to ensure that adoption and implementation of these important changes are done in a thoughtful and comprehensive manner.

The Plan process continues to be the primary mechanism by which ACF will determine State and Territory compliance with requirements in the new law. The CCDBG Act of 2014 changed the Plan cycle from a biennial to a triennial Plan period; thus, this Plan will cover a 3-year period. (658E(b)) States and Territories are required to submit their FY 2016-2018 CCDF Plans by March 1, 2016, and approved Plans will become effective June 1, 2016. This Pre-Print will provide a tool for States and Territories to describe to ACF their implementation plans to:

1. Define CCDF Leadership and Coordination with Relevant Systems

2. Promote Family Engagement through Outreach and Consumer Education

3. Provide Stable Child Care Financial Assistance to Families

4. Ensure Equal Access to High Quality Child Care for Low-Income Children

5. Establish Standards and Monitoring Processes to Ensure the Health and Safety of Child Care Settings

6. Recruit and Retain a Qualified and Effective Child Care Workforce

7. Support Continuous Quality Improvement

8. Ensure Grantee Accountability

These organizational categories reflect key functions of an integrated system of high quality care for low-income working families. Although the Plan is divided into sections for reporting and accountability purposes, ACF encourages Lead Agencies to approach the Plan in a cross-cutting, integrated manner. The intention is that grantees and the federal government will be able to use this information to track and assess progress, determine need for technical assistance and CCDF Plan amendments, and ultimately determine compliance with specific requirements and deadlines.

For purposes of simplicity and clarity, the specific provisions of applicable laws printed herein are sometimes paraphrases of, or excerpts and incomplete quotations from, the full text. The State/Territory acknowledges its responsibility to adhere to them regardless of these modifications. The Plan contains definitions where provided by law. For terminology not defined in the law, some illustrative examples may be provided. These should only be considered examples, and not requirements, for purposes of responding. If no definitions are provided, States/Territories should respond based on their own definitions for those terms.

CCDBG Implementation Deadlines. In some cases, the CCDBG Act of 2014 specifies a particular date when a provision is effective. Where the law does not specify a date, the new requirements became effective upon the date of enactment and States/Territories have until September 30, 2016 to implement the new statutory requirement(s). ACF has determined that when a State or Territory cannot certify compliance with a specific requirement at the time of CCDF plan submission (March 1, 2016), the grantee must provide a State/Territory-specific implementation plan for achieving compliance with such provision(s). The implementation plan must provide sufficient information to support approval of the Plan for funding.

Specifically, as part of its implementation plan, States/Territories will be asked to describe:

• Overall target completion date (no later than appropriate effective date deadline)

• Current overall status for this section (not yet started, partially implemented, substantially implemented, other) including describing progress to date for any requirements already implemented and listing any unmet requirements that are not yet fully implemented

• Specific steps (activities) you will take to complete implementation of the unmet requirement(s) (e.g., secure legislative or rule changes, modify agreements with coordinating agencies, etc.)

• Timeline for implementation including projected start date and end date for each step

• Agency/entity responsible for completing implementation of the goal/objective, and partners who will work with the responsible agency to complete implementation of the goal/objective.

We recognize that it will take multiple steps and interim activities toward complete implementation of the requirement. We have included spaces to allow respondents to outline those interim steps and associated timelines (projected start and end dates) for those interim steps to be outlined. A comprehensive summary of the topical implementation plans across sections will be generated electronically to facilitate monitoring of progress towards completion.

ACF will work with States and Territories to monitor progress towards achievement of these requirements and will conduct ongoing reviews of implementation plans until fulfillment of the requirement. Upon completion of the implementation plan, the State/Territory will submit a Plan amendment to certify fulfillment of the requirement(s). These updates and amendments can be submitted at any time prior to the effective date of the requirement. For example, States and Territories may, and are encouraged to, submit amendments to certify compliance with requirements upon completion, but no later than the effective date of the requirements (refer to the Program Instruction on Effective Dates for these deadlines https://www.acf.hhs.gov/programs/occ/resource/pi-2015-02 and corresponding timeline of effective dates https://www.acf.hhs.gov/programs/occ/resource/pi-2015-02-attachment-timeline-of-effective-dates-for-States-and-Territories-ccdbg-act-of-2014).

Lead Agencies can access a variety of federal technical assistance resources to support implementation of the new requirements at: https://childcareta.acf.hhs.gov/ccdf-reauthorization In addition to these materials, States and Territories will continue to receive support through the Office of Child Care’s Technical Assistance Network (CCTAN) to assist with implementation of the new law. ACF recommends reviewing these resources prior to starting and completing each section of the Plan.

CCDF Plan Submission. States and Territories will submit their Plans electronically through the ACF-118 electronic submission site. The ACF-118 site will include all language and questions included in the final CCDF Plan Preprint template approved by the Office of Management and Budget. Please note that the format of the questions in the ACF-118 site may be modified from the Word version of the document to ensure compliance with Section 508 policies regarding accessibility to electronic and information technology for individuals with disabilities (see http://www.section508.gov/ for more information). Until the final draft is approved, States and Territories may use the draft CCDF Plan preprint templates as they work to implement the new law. In responding to questions, States and Territories are asked to provide brief, specific summary text and/or bullet points only. Do not use tables or copy and paste charts, attachments or manuals into the Plan.

All information and materials developed to support CCDF implementation and information reported in the CCDF Plan are subject to review by ACF as part of ongoing CCDBG compliance monitoring efforts. In cases where the CCDBG Act of 2014 did not change CCDF regulatory requirements (e.g., Public Hearing requirements), the CCDF regulations are still in effect and relevant questions are included in this Plan.

The CCDF Plan does not contain the Quality Performance Report (QPR) appendix included in previous Plans. The CCDBG Act of 2014 requires ongoing collection of some information that was included in the QPR. ACF will issue a separate information collection tool for public comment and approval linked to the CCDF Plan and updated based on the new requirements in the law.

1. Define CCDF Leadership and Coordination with Relevant Systems

Implementation of the requirements of the CCDBG Act of 2014 will require leadership and coordination between the child care assistance program and other child- and family-serving agencies, services, and supports at the state and local levels. ACF recognizes that each grantee must identify the most appropriate entities and individuals to lead and participate in implementation based on the context within that State or Territory. This will include those that manage various components of CCDF-funded activities and requirements (fiscal, subsidy, health and safety monitoring, and continuous quality improvement) as well as other public and private partners.

This section collects information to help ACF understand the stakeholders convened and consulted to develop the Plan, where authority lies to make policy decisions and program changes, and who is responsible for implementing the blueprint for action the Plan describes. For example, the law requires that, at the option of the Tribes, State/Territory Lead Agencies must collaborate and coordinate with Indian tribes or tribal organizations in the State in a timely manner in the development of the CCDF Plan. ACF expects that new requirements in the law will necessitate that grantees build partnerships with other agencies and organizations to better link the children and families receiving financial assistance to information, services and resources regarding other programs for which they may be eligible, including developmental screenings for children, and other resources (also in section 2). In addition, States and Territories must describe how public-private partnerships are being used to increase the supply and quality of child care services.

1. CCDF Leadership

The Governor of a State or Territory shall designate an agency (which may be an appropriate collaborative agency), or establish a joint inter-agency office, to represent the State (or Territory) as the Lead Agency. The Lead Agency agrees to administer the program in accordance with applicable Federal laws and regulations and the provisions of this Plan, including the assurances and certifications appended hereto. (658D, 658E(c)(1))

1. Which Lead Agency is designated to administer the CCDF program?

Identify the Lead Agency or joint inter-agency office 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))

Name of Lead Agency      

Address of Lead Agency      

Name and Title of the Lead Agency Official      

Phone Number      

E-Mail Address      

Web Address for Lead Agency (if any)      

2. Who is the CCDF administrator?

Identify the CCDF administrator designated by the Lead Agency, the day-to-day contact, or the person 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.

a) Contact Information for CCDF Administrator:

Name of CCDF Administrator      

Title of CCDF Administrator      

Address of CCDF Administrator      

Phone Number      

E-Mail Address      

b) Contact Information for CCDF Co-Administrator (if applicable):

Name of CCDF Co-Administrator      

Title of CCDF Co-Administrator      

Phone Number      

E-Mail Address      

Description of the role of the Co-Administrator      

c) Primary Contact Information for the CCDF Program:

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)      

3. Identify the agency/department/entity that is responsible for each of the major parts of CCDF administration and the name of the lead contact responsible for managing this portion of the Plan.

• Outreach and Consumer Education (section 2):

• Agency/Department/Entity      

• Name of Lead Contact      

• Subsidy/Financial Assistance (section 3 and section 4)

• Agency/Department/Entity      

• Name of Lead Contact      

• Licensing/Monitoring (section 5):

• Agency/Department/Entity      

• Name of Lead Contact      

• Child Care Workforce (section 6):

• Agency/Department/Entity      

• Name of Lead Contact      

• Quality Improvement (section 7):

• Agency/Department/Entity      

• Name of Lead Contact      

• Grantee Accountability/Program Integrity (section 8):

• Agency/Department/Entity      

• Name of Lead Contact      

2. CCDF Policy Decision Authority

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

1. Which of the following CCDF program rules and policies are set or established at the State/Territory versus the local level? In other words, identify whether CCDF program rules and policies are established by the State or Territory (even if administered or operated locally) or whether the CCDF policies or rules are established by local entities (such as counties or workforce boards) setting those policies. Check one.

All program rules and policies are set or established at the State/Territory level.

Some or all program rules and policies are set or established by local entities. If checked, indicate which entities establish the following policies. Check all that apply.

Eligibility rules and policies (e.g., income limits) are set by the:

State/Territory

County. If checked, describe the type of eligibility policies the county can set      

Other local entity (e.g., workforce boards, early learning coalitions). If checked, identify the entity (e.g. workforce board) and describe the type of eligibility policies the local entity(ies) can set      

Other. Describe      

Sliding fee scale is set by the:

State/Territory

County. If checked, describe the type of sliding fee scale policies the county can set      

Other local entity (e.g., workforce boards, early learning coalitions). If checked, identify the entity (e.g. workforce board) and describe the type of sliding fee scale policies the local entity(ies) can set      

Other. Describe      

Payment rates are set by the:

State/Territory

County. If checked, describe the type of payment rate policies the county can set      

Other local entity (e.g., workforce boards, early learning coalitions). If checked, identify the entity (e.g. workforce board) and describe the type of payment rate policies the local entity(ies) can set      

Other. Describe      

Other. List and describe (e.g., quality improvement systems, payment practices)      

2. How is the CCDF program operated in your State/Territory? In other words, which agency(ies) implement or perform these CCDF services and activities and how will the State/Territory ensure that Federal CCDF requirements are fully implemented by other governmental or nongovernmental agencies. ACF recommends minimizing differences in eligibility or other policies across counties or other jurisdictions to ease family burden and confusion. Check all that apply and describe the services performed by the entity and how the State/Territory ensures accountability that federal requirements are fully implemented by other agency(ies).

a) Who determines eligibility?

CCDF Lead Agency

TANF agency. Describe.      

Other State/Territory agency. Describe.      

Local government agencies such as county welfare or social services departments. Describe.      

Child care resource and referral agencies. Describe.      

Community-based organizations. Describe.      

Other. Describe.      

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

CCDF Lead Agency

TANF agency. Describe.      

Other State/Territory agency. Describe.      

Local government agencies such as county welfare or social services departments. Describe.      

Child care resource and referral agencies. Describe.      

Community-based organizations. Describe.      

Other. Describe.      

c) Who issues payments?

CCDF Lead Agency

TANF agency. Describe.      

Other State/Territory agency. Describe.      

Local government agencies such as county welfare or social services departments. Describe.      

Child care resource and referral agencies. Describe.      

Community-based organizations. Describe.      

Other. Describe.      

3. Consultation in the Development of the CCDF Plan

The Lead Agency is responsible for developing the CCDF plan which serves as the application for a three-year implementation period. In the development of the CCDF plan, the Lead Agency shall consult with appropriate representatives of units of general purpose local government. (658D(b)(2)) General purpose local governments is defined by the U.S. Census at https://www.census.gov/newsroom/cspan/govts/20120301_cspan_govts_def_3.pdf

The CCDBG Act of 2014 added a requirement that States consult with the State Advisory Council on Early Childhood Education and Care (pursuant to 642B(b)(I)(A)(i) of the Head Start Act). 658E(c)(2)(R) In addition, States shall, at the option of an Indian tribe or tribal organization in the State, collaborate and coordinate with such Indian tribe or tribal organization in the development of the State plan in a timely manner. (658D (b)(1)(E))

1. Check who and describe how the Lead Agency consulted with these entities in the development of the CCDF Plan (check all that apply). For example, did the entity participate in a drafting committee, review drafts, sign off on the final version, or develop a memorandum of understanding with the Lead Agency to meet requirements to share information or services for CCDF subsidy families, or other manner of participation? This list includes entities required by law along with a list of optional CCDF Plan consultation partners that Lead Agencies potentially would consult with in their developing their CCDF Plan.

• [REQUIRED] Appropriate representatives of general purpose local government, which can include counties, municipalities or townships/towns Describe      

• [REQUIRED, IF APPLICABLE] State Advisory Council on Early Childhood Education and Care (pursuant to 642B(b)(I)(A)(i) of the Head Start Act). Describe      

  • If checked, does the Lead Agency have official representation and a decision-making role in the State Advisory Council?

• Yes

• No.

• If no State Advisory Council on Early Childhood Education and Care (pursuant to 642B(b)(I)(A)(i) of the Head Start Act) exists in your State/Territory, describe how you consulted with any other state- or state-designated cross-agency body such as an advisory council, cross-agency commission, or council or cabinet related to child and family planning and policy      

• [REQUIRED] Indian tribe(s) and/or tribal organization(s), at the option of individual Tribes. Describe, including which Tribe(s) you consulted with      . Check N/A if no Indian Tribes and/or Tribal organizations in the State

• State/Territory agency responsible for public education. Describe      

• State/Territory agency/agencies responsible for programs for children with special needs, including early intervention programs authorized under the Individuals with Disabilities Education Act (Part C for infants and toddlers and Section 619 for preschool). Describe      

• State/Territory institutions for higher education, including community colleges. Describe      

• State/Territory agency responsible for child care licensing. Describe      

• State/Territory office/director for Head Start State collaboration. Describe      

• State/Territory/local agencies with Early Head Start-Child Care Partnerships grants. Describe      

• State/Territory agency responsible for Child and Adult Care Food Program (CACFP). Describe      

• State/Territory agency responsible for WIC, nutrition (including breast-feeding support), and childhood obesity prevention. Describe      

• Other Federal, State, local and/or private agencies providing early childhood and school-age/youth serving developmental services. Describe      

• State/Territory agency responsible for implementing the Maternal and Child Home Visitation programs grant. Describe      

• Agency responsible for Medicaid/Early and Periodic Screening, Diagnostic and Treatment (EPSDT). Describe      

• McKinney-Vento State coordinators for Homeless Education. Describe      

• State/Territory agency responsible for public health. Describe      

• State/Territory agency responsible for mental health. Describe      

• State/Territory agency responsible for child welfare. Describe      

• State/Territory liaison for military child care programs. Describe      

• State/Territory agency responsible for employment services/workforce development. Describe      

• State/Territory agency responsible for Temporary Assistance for Needy Families (TANF). Describe      

• State/community agencies serving refugee or immigrant families. Describe      

• Child care resource and referral agencies. Describe      

• Provider groups or associations. Describe      

• Worker organizations. Describe      

• Parent groups or organizations. Describe      

• Other. Describe      

1. 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)). Lead Agencies are required to hold at least one public hearing in the State/Territory with sufficient State/Territory-wide distribution of notice prior to such hearing to provide the public an opportunity to comment on the provision of child care services under the CCDF Plan. At a minimum, this description must include:

1. Date(s) of notice of public hearing       Reminder - Must be at least 20 calendar days prior to the date of the public hearing.

2. How was the public notified about the public hearing, including how notice was accessible for people with disabilities? Please include website links if utilized to provide notice.      

3. Date(s) of public hearing(s)       Reminder - Must be no earlier than September 1, 2015 which is 9 months prior to the June 1, 2016 effective date of the Plan.

4. Hearing site(s) or method(s), including how geographic regions of the State/Territory were addressed      

5. Describe how the content of the Plan was made available to the public in advance of the public hearing(s)      

6. How will the information provided by the public be taken into consideration in the provision of child care services under this Plan?      

1. Describe the strategies used by the Lead Agency to make the CCDF Plan and Plan Amendments available to the public. Check all that apply and describe the strategies below, including any relevant links as examples.

• Working with advisory committees. Describe      

• Working with child care resource and referral agencies. Describe      

• Providing translation in other languages. Describe      

• Making available on the Lead Agency website. List the website      

• Sharing through social media (Twitter, Facebook, Instagram, email, etc.). Describe      

• Providing notification to stakeholders (e.g., provider groups, parent groups). Describe      

• Other. Describe      

4. Coordination with Partners to Expand Accessibility and Continuity of Care

The CCDBG Act of 2014 added a requirement that the Plan describe how the State/Territory will efficiently, and to the extent practicable, coordinate child care services supported by CCDF with programs operating at the Federal, State/Territory, and local levels for children in the programs listed below.

1. Check who and describe how your State/Territory coordinates or plans to efficiently coordinate child care services with the following programs to expand accessibility and continuity of care, and assist children enrolled in early childhood programs to receive full-day services that meet the needs of working families. (658E(c)(2)(O)) Please describe the goals of this coordination, such as extending the day or year of services for families; smoothing transitions for children between programs or as they age into school, enhancing and aligning quality of services, linking comprehensive services to children in child care settings or developing supply of quality care for vulnerable populations. NOTE that this list appears similar to the list provided in 1.3.1 which focused on consultation for purposes of developing the CCDF Plan, however, this list includes entities required by law, along with a list of optional CCDF Plan coordination partners that Lead Agencies potentially would coordinate with over the next 3 years to expand accessibility and continuity of care, and assist children enrolled in early childhood programs to receive full-day services. Check and describe all that apply.

• [REQUIRED] Programs operating at the Federal, State and local levels for children in pre-school programs (e.g., state-or locally-funded pre-k, Head Start, school-based programs, public and private preschools, programs serving preschool children receiving special education services, etc.). Describe      

• [REQUIRED, IF APPLICABLE] Tribal early childhood programs. Describe, including which Tribe(s) coordinating with      

  • Check N/A if no Indian Tribes and/or Tribal organizations or programs in the State.

• [REQUIRED] Other Federal, State, local early childhood programs serving infants and toddlers with disabilities. Describe      

• [REQUIRED] Early childhood programs serving homeless children (as defined by the McKinney-Vento Homeless Education Assistance Act). Describe      

• [REQUIRED] Early childhood programs serving children in foster care. Describe      

• State/Territory agency responsible for child care licensing. Describe      

• State/Territory agency with Head Start State collaboration grant. Describe      

• State Advisory Council authorized by the Head Start Act. Describe      

• State/Territory/local agencies with Early Head Start-Child Care Partnerships grants. Describe      

• McKinney-Vento State coordinators for Homeless Education or local educational agency McKinney-Vento liaisons. Describe      

• Child care resource and referral agencies. Describe      

• State/Territory agency responsible for public education. Describe      

• State/Territory institutions for higher education, including community colleges. Describe      

• State/Territory agency responsible for Child and Adult Care Food Program (CACFP). Describe      

• State/Territory agency responsible for WIC, nutrition (including breast-feeding support), and childhood obesity prevention. Describe      

• Other Federal, State, local and/or private agencies providing early childhood and school-age/youth serving developmental services. Describe      

• State/Territory agency responsible for implementing the Maternal and Childhood Home Visitation programs grant. Describe      

• Agency responsible for Medicaid/Early and Periodic Screening, Diagnostic and Treatment (EPSDT). Describe      

• State/Territory agency responsible for public health. Describe      

• State/Territory agency responsible for mental health. Describe      

• State/Territory agency responsible for child welfare. Describe      

• State/Territory liaison for military child care programs. Describe      

• State/Territory agency responsible for employment services/workforce development. Describe      

• State/Territory agency responsible for Temporary Assistance for Needy Families (TANF). Describe      

• State/Territory community agencies serving refugee or immigrant families. Describe      

• Provider groups or associations. Describe      

• Worker organizations. Describe      

• Parent groups or organizations. Describe      

• Other. Describe      

5. Optional Use of Combined Funds

The CCDBG Act of 2014 added a provision that States and Territories have the option to combine funding for CCDF child care services with funding for any of the required programs listed in 1.4.1. These include programs operating at the Federal, State and local levels for children in preschool programs, tribal early childhood programs, and other early childhood programs, including those serving infants and toddlers with disabilities, homeless children, and children in foster care. (658E(c)(2)(O))(ii)) Combining funds could include blending multiple funding streams, pooling funds, or layering funds together from multiple funding streams in an effort to expand and/or enhance services for children and families to allow for delivery of comprehensive high quality care that meets the needs of children and families. For example, State/Territory agencies may use multiple funding sources to offer grants or contracts to programs to deliver services; a State/Territory may allow county/local government to use coordinated funding streams; or policies may be in place that allow local programs to layer CCDF funds with additional funding sources to pay for full-day, full-year child care that meets Early Head Start/Head Start or State/Territory pre-kindergarten requirements in addition to State/Territory child care licensing requirements. As a reminder, per the OMB Compliance Supplement governing audits (https://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2014), CCDF funds may be used in collaborative efforts with Head Start (CFDA 93.600) programs to provide comprehensive child care and development services for children who are eligible for both programs.  In fact, the coordination and collaboration between Head Start and the CCDF is mandated by sections 640(g)(2)(D) and (E), and 642(c) of the Head Start Act (42 USC 9835(g)(2)(D) and (E); 42 USC 9837(c)) in the provision of full working day, full calendar year comprehensive services (42 USC 9835(a)(5)(v)).  In order to implement such collaborative programs, which share, for example, space, equipment or materials, grantees may blend several funding streams so that seamless services are provided.

1. Will you combine CCDF funds with the funds for any program with which you coordinate (described in 1.4.1)?

• Yes. If yes, describe at a minimum:

  • How do you define “combine”      

  • Which funds will you combine      

  • Goal(s) of combining funds (why?) and expected outcomes, such as extending the day or year of services available (i.e., full-day, full-year programming for working families), smoothing transitions for children, enhancing and aligning quality of services, linking comprehensive services to children in child care or developing the supply of child care for vulnerable populations      

  • Method of fund allocation (how you will be combining multiple sets of funding, such as at the State/Territory level, local level, program level?)      

  • How are the funds tracked and method of oversight      

• No

6. Public-Private Partnerships

The CCDBG Act of 2014 adds a new provision that requires States and Territories to describe in the Plan how the State/Territory encourages partnerships among State/Territory and public agencies, tribal organizations, private entities, faith based organizations and/or community-based organizations to leverage existing service delivery systems for child care and development services and to increase the supply and quality of child care services for children through age 12, such as by implementing voluntary shared services alliance models (i.e., cooperative agreement among providers to pool resources to pay for shared fixed costs and operation). (658E(c)(2)(P)) ACF expects these types of partnerships to leverage public and private resources to further the goals of reauthorization.

1. Describe the entities with whom and the levels at which the State/Territory is partnering (level – State/Territory, county/local, and/or programs), the goals of the partnerships, method of partnering. Include in your description examples of activities that have resulted from partnerships with other State/Territory and public agencies, tribal organizations, private entities, faith based organizations or community-based organizations, and how the partnerships are expected to leverage existing service delivery systems for child care and development services and to increase the supply and quality of child care services.      

1. Coordination with Local or Regional Child Care Resource and Referral Systems

States and Territories may use funds to establish or support a system of local or regional child care resource and referral organizations (CCR&R) that is coordinated, to the extent determined by the State/Territory, by a statewide public or private non-profit, community-based or regionally based, lead child care resource and referral organization (also see section 7.4). If they do, the law identifies specific requirements for that entity or system receiving CCDF funds. (658E(c)(3)(B)(iii)) These include:

• Provide families with information on a full range of child care options (including faith-based, community-based child care centers and family child care homes, nontraditional hours and emergency child care centers) in their local area or region

• To the extent practicable, work directly with families who receive child care assistance to offer the families support and assistance in making an informed decision about child care options in an effort to ensure families are enrolling their children in the most appropriate child care setting to suit their needs and that is of high quality as determined by the State/Territory

• Collect data and provide information on the coordination of services and supports, including services provided through the Individuals with Disabilities Education Act for children with disabilities

• Collect data and provide information on the supply of and demand for child care services in local areas or regions of the State/Territory and submit such information to the State/Territory

• Work to establish partnerships with public agencies and private entities, including faith- based and community-based child care centers and family child care homes providers, to increase the supply and quality of child care services in the State/Territory

• As appropriate, coordinate their activities with the activities of the Lead Agency and/or local agencies that administer CCDF.

Nothing in statute prohibits States from using CCR&R agencies to conduct or provide additional services beyond those required by statute above.

1. Does the State/Territory fund a system of local or regional CCR&R organizations?

• Yes. The State/Territory funds a CCR&R system. See also related follow-up questions in Section 7.1 and 7.4. If yes,

Describe the State/Territory’s written agreement or contract with the CCR&R, what services are provided through the CCR&R, and any other activities for which the State partners with the CCR&Rs.      

• No. The State/Territory does not fund a CCR&R system and has no plans to establish. Use section 7.4 to describe plans, if any, to establish a CCR&R system.

8. Disaster Preparedness and Response Plan

The CCDBG Act of 2014 added a requirement that States and Territories must include a Statewide Child Care Disaster Plan for coordination of activities with the State/Territory human services agency, emergency management agency, child care licensing agency, State/Territory local resource and referral agencies, and the State Advisory Council (SAC) or other state-designated cross-agency body if there is no SAC. (658E(c)(2)(U)) The Statewide Child Care Disaster Plan must include:

• Guidelines for continuing CCDF assistance and child care services after a disaster, which may include provision of temporary child care, and temporary operating standards for child care after a disaster.

• Requirements that child care providers receiving CCDF have in place procedures for evacuation, relocation, shelter-in-place, lock-down, communication and reunification with families, continuity of operations, accommodation of infants and toddlers, children with disabilities, and children with chronic medical conditions.

• Requirements that child care providers receiving CCDF have in place procedures for staff and volunteer emergency preparedness training and practice drills.

1. Describe the status of State/Territory’s Statewide Child Care Disaster Plan.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. If applicable, describe additional ways the State/Territory addresses the needs of children receiving CCDF before, during and after a disaster or emergency, not already incorporated into the Statewide Child Care Disaster Plan. If available, please provide a link to the disaster plan      

• Not implemented. The State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses here will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

  • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

2. Promote Family Engagement through Outreach and Consumer Education

Parents are their children’s most important teacher and advocate. State and Territory child care systems interact with parents in multiple ways, therefore presenting many opportunities to engage and inform families. Child care providers can serve as convenient and trusted sources of information for parents and family members on child development and community supports and services. State/Territory and local child care assistance systems should be designed to promote seamless linkages to useful information and other child- and family-services, such as during subsidy intake and redetermination processes and when parents utilize child care resource and referral or QRIS agencies. Outreach and consumer education is an ongoing process and is expected to cover the entire age span covered by CCDF from birth through age 12.

The CCDBG Act of 2014 includes key purposes that address the role of parents as child care consumers who need information to make informed choices regarding the services that best suit their needs. A new purpose of CCDBG is to “promote involvement by parents and family members in the development of their children in child care settings.” States and Territories have the opportunity to consider how information can be provided to parents through the child care assistance system, partner agencies, and child care sites that will support their role as their children’s teacher and advocate. Key new provisions include:

1. The plan must certify that States and Territories will collect and disseminate consumer and provider education information to CCDF parents, providers, and the general public, including information about:

1. the availability of child care assistance,

2. the quality of child care providers (if available),

3. Other programs (specifically Temporary Assistance for Needy Families (TANF), Head Start and Early Head Start, Low-Income Home Energy Assistance Program (LIHEAP), Supplemental Nutrition Assistance Program (SNAP), Women, Infants and Children (WIC) program, Child and Adult Care Food Program (CACFP), Medicaid and State Children’s Health Insurance Program (SCHIP)) for which families may also qualify.

4. Individuals with Disabilities Education Act (IDEA) programs and services,

5. Research and best practices in child development, and

6. State/Territory policies regarding social- emotional/behavioral and early childhood mental health of young children, which may include positive behavioral intervention and support models, and policies on the expulsion of preschool-aged children (children from birth to five for purposes of this requirement) from early childhood programs receiving CCDF.

2. Information related to the health and safety of children in child care settings. The plan must certify that the State/Territory will make public certain information about the results of health and safety monitoring (described in section 5) using a website that is consumer-friendly and in an easily accessible format, including:

1. Provider-specific information: 1) results of monitoring and inspection reports, including those due to major substantiated complaints; 2) last date of inspection; and 3) information on corrective actions taken (if applicable).

2. Information about: 1) the annual number of deaths; 2) the annual number of serious injuries; and 3) annual number of incidences of substantiated child abuse in child care settings.

3. State/Territory processes for: 1) licensing child care providers; 2) conducting background checks and the offenses that would keep a provider from being allowed to care for children; and 3) conducting monitoring and inspections of child care providers.

1. Information about Child Care Financial Assistance Program Availability 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 assistance services. (658E(c)(2)(E)(i)(1))

1. Describe how the State/Territory informs families of availability of services.

1. How does the State/Territory identify populations and areas of potentially eligible families (e.g., using available federal, State/Territory and local needs assessments to identify potentially eligible families?)      

2. What partners help with outreach? For example, child care resource and referral agencies, home visitors, pediatricians, faith-based services, State/Territory or local agencies and organizations or other familiar and safe access points serving vulnerable or low-income populations.      

3. What outreach strategies does the Lead Agency use (e.g., media campaigns, State/Territory website, or other electronic outreach?      

1. How can parents apply for services? Check all that apply.

• Electronically via online application, mobile app or email. Provide link      

• In-person interview or orientation. Describe agencies where these may occur      

• Phone

• Mail

• At the child care site

• At a child care resource and referral agency

• Through kiosks or online portals at related State/Territory/local agency or organization serving low-income populations. Describe      

• Through a coordinated application process (e.g., application is linked to other benefits program to allow parents to apply for several programs at one time). Describe      

• Other strategies. Describe      

2. Consumer and Provider Education Information

The CCDBG Act of 2014 added a purpose of the child care program “to promote involvement by parents and family members in the development of their children in child care settings.” (658A(b)(3)) The consumer education requirements address multiple topics that parents and family members need in order to make informed choices and act as their most important teacher and advocate. Lead agencies must certify that they will collect and disseminate the following information through resource and referral agencies or other means. (658E(c)(2)(E))

1. The State/Territory certifies that it collects and disseminates the following information to parents, providers and the general public:

• Information about the availability of the full diversity of child care services that will promote informed child care choices,

• Availability of child care assistance,

• Quality of child care providers (if available),

• Other programs (specifically Temporary Assistance for Needy Families (TANF), Head Start and Early Head Start, Low-Income Home Energy Assistance Program (LIHEAP), Supplemental Nutrition Assistance Program (SNAP), Women, Infants and Children (WIC) program, Child and Adult Care Food Program (CACFP), Medicaid and State Children’s Health Insurance Program (SCHIP)) for which families may also qualify,

• Individuals with Disabilities Education Act (IDEA) programs and services,

• Research and best practices in child development, including all domains of early childhood development, including social and emotional development, cognitive, and physical health and development (particularly healthy eating and physical activity), and meaningful parent and family engagement,

• State/Territory policies regarding the social-emotional/behavioral and early childhood mental health of young children, which may include positive behavioral intervention and support models, and policies on expulsion of preschool-aged children (children from birth to five for purposes of this requirement)) in early childhood programs receiving CCDF.

• Yes. The State/Territory certifies as of March 1, 2016 that it collects and disseminates the above information to parents, providers and the general public. Describe using 2.2.2 through 2.2.7 below.

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Describe how the State/Territory makes information available about the full diversity of child care services that will promote informed child care choices, including consumer-friendly strategies such as materials that are culturally responsive and in multiple languages as needed that reflect the literacy levels of consumers, and are easy to access, including accessible to persons with disabilities.

1. Describe how the State/Territory makes information about the full diversity of child care services available to 1) parents of eligible children, 2) providers and 3) the general public      

2. Describe what you provide and how (i.e., methods such as written materials, direct communication, etc.)      

3. Describe who you partner with to make information about the full diversity of child care choices available      

1. Describe how the State/Territory makes information about the quality (such as through a quality rating and improvement system, if available, nationally-recognized accreditation, or other means) of child care services available to the public, including consumer-friendly strategies such as messages that are designed to engage intended audiences and are easy to understand

1. Describe how the State/Territory makes information about child care quality available to 1) parents of eligible children, 2) providers and 3) the general public      

2. Describe what you provide and how (i.e., methods such as written materials, direct communication, etc.)      

3. Describe who you partner with to make information about child care quality available      

1. Describe how the State/Territory shares information with eligible parents about other available human service programs. For example, does the State/Territory share information about these other programs through linkages from the online application, universal applications, through intake process/front line workers, providers, child care resource and referral agencies or other trusted advisors such as home visitors, pediatricians, faith-based services, etc.? At a minimum, include in your description how you provide information to eligible parents, what you provide and by what methods, and which partners you work with to provide information about other available service programs.

1. Temporary Assistance for Needy Families (TANF)      

2. Head Start and Early Head Start Programs      

3. Low Income Home Energy Assistance Program (LIHEAP)      

4. Supplemental Nutrition Assistance Programs (SNAP- formerly known as Food Stamps)      

5. Women, Infants, and Children Program (WIC)      

6. Child and Adult Care Food Program(CACFP)      

7. Medicaid      

8. Children's Health Insurance Program (CHIP)      

9. Individuals with Disabilities Education Act (IDEA)      

10. Other State/Federally Funded Child Care Programs (e.g., state pre-kindergarten)      

11. Other early childhood programs (e.g., Maternal, Infant, and Early Childhood Home Visiting program)      

1. Describe how the State/Territory shares information with providers (where applicable) to link families to these other available human service programs. For example, does the State/Territory provide information to providers through CCR&R outreach, as a condition of their contract or voucher agreement, through community-based hub agencies that partner with subsidy providers, county/local collaboration, through quality rating and improvements systems, etc.?

1. Temporary Assistance for Needy Families (TANF)      

2. Head Start and Early Head Start Programs      

3. Low Income Home Energy Assistance Program (LIHEAP)      

4. Supplemental Nutrition Assistance Programs (SNAP- formerly known as Food Stamps)      

5. Women, Infants, and Children Program (WIC)      

6. Child and Adult Care Food Program(CACFP)      

7. Medicaid      

8. Children's Health Insurance Program (CHIP)      

9. Individuals with Disabilities Education Act (IDEA)      

10. Other State/Federally Funded Child Care Programs (example-State Pre-K)      

11. Other early childhood programs (e.g., Maternal, Infant, and Early Childhood Home Visiting program)      

1. Describe how the State/Territory makes available information to parents of eligible children, the general public, and where applicable, providers (see also section 6) about research and best practices in child development, including all domains of early childhood development, including social and emotional development, cognitive, and physical health and development (particularly healthy eating and physical activity), and meaningful parent and family engagement. (658E(c)(2)(E)(VI))

1. Describe how the State/Territory makes information about research and best practices in child development available to 1) parents of eligible children, 2) providers and 3) the general public      

2. Describe what you provide and how (i.e., methods such as written materials, direct communication, etc.)      

3. Describe who you partner with to make information about research and best practices in child development available      

1. Describe how information on the State/Territory’s policies regarding the social-emotional/behavioral and early childhood mental health of young children, which may include positive behavioral intervention and support models, and policies on expulsion of preschool-aged children (from birth to five for purposes of this requirement), in early childhood programs receiving CCDF is collected and disseminated to 1) parents, 2) providers and 3) the general public. (658E(c)(2)(E)(i)(VII))

1. Describe how the State/Territory makes information regarding social-emotional/behavioral and early childhood mental health of young children, which may include positive behavioral intervention support models, available to parents of eligible children, providers and the general public. At minimum, describe what you provide (e.g., early childhood mental health consultation services to child care programs) and how (i.e., methods such as written materials, direct communication, etc.) for each group:

1. Parents     

2. Providers     

3. General public     

2. Describe any partners used to make information regarding social-emotional/behavioral and early childhood mental health of young children available      

3. Does the State have a written policy regarding preventing expulsion of:

• Preschool-aged children (from birth to five) in early childhood programs receiving child care assistance?

  • Yes. If yes, describe how the State/Territory makes information about that policy available to parents, providers and the general public (what you provide, how you provide and any partners used) and provide a link      

  • No.

• School-age children from programs receiving child care assistance?

  • Yes. If yes, describe how the State/Territory makes information about that policy available to 1) parents, 2) providers and 3) the general public (what you provide, how you provide and any partners used) and provide a link      

  • No.

8. Coordination with Other Partners to Increase Access to Developmental Screenings

The State/Territory must develop and describe procedures for providing information on and referring families to existing developmental screening resources and services. (658E(c)(2)E(ii)) At a minimum, the State/Territory must establish procedures to provide information to families and child care providers on: (1) Early and Periodic Screening, Diagnosis, and Treatment program under the Medicaid program carried out under Title XIX of the Social Security Act (42 U.S.C. 1396 et seq.) and developmental screening services available under section 619 and part C of the Individuals with Disabilities Education Act (20 U.S.C. 1419, 1431 et seq.); and (2) a description of how a family or child care provider receiving CCDF may utilize the resources and services to obtain developmental screenings for children receiving CCDF who may be at risk for cognitive or other developmental delays, which may include social, emotional, physical, or linguistic delays. Describe the status of the State/Territory’s procedures for providing information on and referring families to existing developmental screening services.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the Lead Agency policy citation(s)       and:

a) Describe procedures, including timelines for when infants, toddlers and preschoolers should be screened      

b) Describe how CCDF families or child care providers receiving CCDF may utilize the resources and services to obtain developmental screenings for CCDF children at risk for cognitive or other developmental delays      

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Describe how the State/Territory meets the requirement to maintain a record of substantiated parental complaints. (658E(c)(2)(C))

1. How does the State/Territory define substantiated parental complaint      

2. How does the State/Territory maintain a record of substantiated parental complaints about providers (e.g., how long are records maintained and in what format)      

3. How does the State/Territory make substantiated parental complaints available to the public on request      

4. Describe how the State/Territory defines and maintains complaints from others about providers      

10. How will the Lead Agency or partners provide outreach and services to eligible families for whom English is not their first language?

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

Bilingual outreach workers

Partnerships with community-based organizations

Other      

None

11. If the Lead Agency checked any option above related to providing information or services in other non-English languages, please list the primary languages offered (top 3) or specify that the State/Territory has the ability to have translation/interpretation in all primary and secondary languages      

12. Describe how the Lead Agency or partners provide outreach and services to eligible persons with disabilities      

1. Website for Consumer Education

The CCDBG Act of 2014 added a requirement that States and Territories have a website describing the State/Territory processes for licensing and monitoring child care providers, processes for conducting criminal background checks as required by law (see section 5.3), and offenses that prevent individuals from being child care providers, and aggregate information on the number of deaths, serious injuries and child abuse in child care settings.

The State/Territory also must make public certain information about the results of such monitoring as required by law for both licensed and unlicensed providers receiving CCDF (see section 5.2) on a website in a way that is consumer-friendly and in an easily accessible format. (658E(c)(2)(D)) In order for a website to be a useful tool for parents, it should be easy to navigate, with a minimum number of clicks, and in plain language. States and Territories must post the results of the monitoring and inspection reports on the website no later than November 19, 2017. All other components of the website must be completed no later than September 30, 2016.

1. Describe the status of State/Territory’s consumer education website.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. Provide the link to the website       and describe how the consumer education website meets the requirements to:

1. Share provider-specific information about health and safety, licensing or regulatory requirements met by the provider (including the last date of inspection, and any history of violations). Describe      

2. Include a description of health and safety requirements and licensing or regulatory requirements for child care providers. Describe      

3. Include a description of the processes for licensing, background checks, monitoring, and offenses that prevent individuals from being providers. Describe      

4. Provide information about the number of deaths, number of serious injuries as defined by the State/Territory and the number of incidences of substantiated child abuse in child care settings. Describe      

5. Describe how the website is consumer-friendly, for example, allowing multiple ways to search for providers, defining terms such as exempt care and corrective action plans, presents the results of monitoring inspections in plain language, providing frequently asked questions, is accessible in multiple languages upon request and to persons with disabilities through multiple formats, differentiating between violations based on risk to children, and easy to locate and navigate. Describe _____

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date. Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016 for all components of the website except posting the results of the monitoring on the website which is November 19, 2017)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, in progress, partially completed, substantially completed, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet Requirement(s) – Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

3. Provide Stable Child Care Financial Assistance to Families

The expanded purposes of CCDBG highlight the opportunities States and Territories have to “deliver high-quality, coordinated early childhood care and education services to maximize parents’ options and support parents trying to achieve independence from public assistance”; and “to improve child care and development of participating children.” (658A(b)) Young children learn in the context of their relationships with adults, including their child care teacher or provider. The unintentional consequence of child care assistance that is linked to adult work and school obligation is that child care arrangements – and the opportunity for children to form trusting relationships with teachers – are often interrupted and unstable. Child care financial assistance policies that make it easier to get and keep assistance support continuity of care and relationships between the child and child care provider and enable parents to stay employed or complete training/education. Child care support that extends until families are able to pay the full cost of care themselves promotes longer lasting economic stability for families. CCDF funds may support families until they reach 85% of State Median Income (SMI).

The CCDBG Act of 2014 included requirements to establish minimum 12-month eligibility and redetermination periods, requiring that States and Territories have a process to account for irregular fluctuations in earnings, a policy ensuring that families’ work schedules are not disrupted by program requirements, policies to provide for job search of not less than three (3) months, and to describe policies for graduated phase- out of assistance. The definition of an eligible child includes that a family’s assets may not exceed $1,000,000 (as certified by a member of such family). Procedures for enrollment of homeless children and children in foster care if served pending completion of documentation are also now required. There is nothing in statute to prohibit States from establishing policies that extend eligibility beyond 12 months or establish other similar policies to align program requirements that allow children enrolled in Head Start, Early Head Start, state or local pre-kindergarten and other collaborative programs to finish the program year and to promote continuity for families receiving services through multiple benefits programs.

1. Eligible Children and Families

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

1. Eligibility Criteria Based upon Child’s Age

a) The CCDF program serves children from       (weeks/months/years) to       years (through age 12).

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))

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))

Yes, and the upper age is       (may not equal or exceed age 19)

No.

2. How does the Lead Agency define the following eligibility terms?

1. residing with –      

2. in loco parentis –      

1. Eligibility Criteria Based on Reason for Care

1. How does the Lead Agency define “working, attending job training and education” for the purposes of eligibility at the point of determination? Provide a brief description below, including allowable activities and if a minimum number of hours is required by State/Territory (not a federal requirement).

• working      

• attending job training      

• attending education      

2. Does the Lead Agency allow parents to qualify for CCDF assistance on the basis of education and training participation alone (without additional minimum work requirements)?

Yes.

No. If no, describe additional requirements      

3. Does the Lead Agency provide child care to children in protective services?

Yes. If yes, how does the Lead Agency define “protective services” for the purposes of eligibility? Provide a brief description below.

1) Definition of protective services –      

2) Does the Lead Agency waive the co-payment and income eligibility requirements for cases in which children receive, or need to receive, protective services on a case-by-case basis? (658E(c)(5))

Yes.

No.

Note – If the Lead Agency elects to provide CCDF-funded child care to children in foster care whose foster care parents are not working, or who are not in education/training activities for purposes of CCDF these children are considered to be in protective services and should be included in the protective services definition above.

No

4. Eligibility Criteria Based on Family Income

a) How does the Lead Agency define “income” for the purposes of eligibility at the point of determination?

• Definition of income –      

b) 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 current SMI. Complete columns (e) and (f) with the maximum “exit” eligibility level if applicable and below the federal limit of 85% of current SMI. Note – If the income eligibility limits are not statewide, check here . Describe how many jurisdictions set their own income eligibility limits      . Fill in the chart based on the most populous area of the state.

Family Size	(a) 100% of State Median Income (SMI) ($/month)	(b) 85% of State Median Income (SMI) ($/month) [Multiply (a) by 0.85]	(c) (IF APPLICABLE) $/month Maximum “Entry” Income Level if lower than 85% Current SMI	(d) (IF APPLICABLE) % of SMI [Divide (c) by (a), multiply by 100] Income Level if lower than 85% Current SMI	(e) (IF APPLICABLE) $/month Maximum “Exit” Income Level if lower than 85% Current SMI	(f) (IF APPLICABLE) % of SMI [Divide (e) by (a), multiply by 100] Income Level if lower than 85% Current SMI
1
2
3
4
5

Reminder - Income limits must be provided in terms of current State Median Income (SMI) (or Territory Median Income) even if federal poverty level is used in implementing the program. Federal poverty guidelines are available at http://aspe.hhs.gov/poverty/index.cfm .

c) SMI Source and year      

d) These eligibility limits in column (c) became or will become effective on      

e) Provide the link to the income eligibility limits      

5. Graduated Phase-Out of Assistance

The CCDBG Act of 2014 added a provision that requires States and Territories to provide for a graduated phase-out of assistance for families whose income has increased at the time of re-determination, but remains below the federal threshold of 85% of State median income. Providing a graduated phase-out supports long-term family economic stability by allowing for wage growth and a tapered transition out of the child care subsidy program. (658E (c)(2)(N)(iv)) This might be achieved through policies such as establishing a second income eligibility threshold at redetermination (e.g., establishing a different eligibility threshold for families first applying for assistance and those already receiving assistance, sometimes called and “exit threshold”) or by granting a sustained period of continued assistance to the family before termination.

Describe the status of the State/Territory’s policy regarding graduated phase-out of assistance.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the Lead Agency’s policy citation(s) and describe the policies and procedures for graduated phase-out      

• Not implemented. The State must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste tables here. Your responses here will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

6. Fluctuation in Earnings

The CCDBG Act of 2014 added a requirement that the Plan shall demonstrate how the State/Territory’s (or designated local entity) processes for initial determination and redetermination take into account irregular fluctuations in earnings. (658E(c)(2)(N)(i)(II))

Note – this change requires that States and Territories have policies to account for the fact that some parents with seasonal or other types of work schedules may have irregular earnings over the course of a year, including changes that temporarily exceed 85% of SMI. States and Territories should have procedures to guide how eligibility and copayments are set in a manner to take such circumstances into account. For example, averaging family income over a period of time to broaden the scope of income verification to be more reflective of annual income rather than tied to a limited time frame that may have seasonal irregularities.

Describe the status of the State/Territory’s policy related to the fluctuation in earnings requirement.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the Lead Agency’s policy citation(s) and describe the circumstances that cover irregular fluctuations of earnings pursuant to this requirement      

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

  • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Describe how the Lead Agency documents, verifies and maintains applicant information. Check the information that the Lead Agency documents and include in the description what information is required and how often. There are no federal requirements for specific documentation or verification procedures.

• Applicant identity. Describe      

• Applicant’s relationship to the child. Describe      

• Child’s information for determining eligibility (e.g., identity, age, etc.). Describe      

• Work. Describe      

• Job training or Educational program. Describe      

• Family income. Describe      

• Household composition. Describe      

• Applicant residence. Describe      

• Other. Describe      

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 parentis, or other household members have not provided information regarding their immigration status. In addition, verification of child citizen status is not required when the child is served in a program meeting Early Head Start/Head Start standards, such as in Early Head Start – Child Care Partnerships, or public educational standards which may include pre-k settings (http://www.acf.hhs.gov/programs/occ/resource/pi-2008-01).

8. 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

9. Informing parents who receive TANF benefits about the exception to the individual penalties associated with the TANF work requirement

Per CCDF regulations, Lead Agencies are required to inform parents who receive TANF benefits about the exception to the individual penalties associated with the work requirement for any single custodial parent who has a demonstrated inability to obtain needed child care for a child under 6 years of age (98.16(9) and 98.33(b)). This requirement did not change under the reauthorization, however Lead Agencies may wish to re-examine those definitions in light of new purposes articulated in Reauthorization and to promote alignment across programs. 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/Territory 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.

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. Describe      

List the citation to this TANF policy      

10. The Lead Agency certifies that it will require a family member to certify that the family assets do not exceed $1,000,000. A check-off on the application is sufficient.

• Yes. The Lead Agency certifies that it will require families to certify that the family assets do not exceed $1,000,000 no later than September 30, 2016.

2. Increasing Access for Vulnerable Children and Families

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. This did not change under reauthorization. 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 co-payments for families with very low incomes (at or below the federal poverty level). (658E(c)(3)(B))

1. Describe how the Lead Agency will prioritize or target child care services for the following children and families (658E(c)(3)(B)), including definitions, any time limits, grace periods or priority rules in the description:

1. Provide definition of “Children with special needs”       and describe how services are prioritized      

2. Provide definition of “Families with very low incomes”       and describe how services are prioritized      

3. Describe how services 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 are prioritized (Section 418(b)(2) of the Social Security Act)      

2. Improving Access for Homeless Children and Families.

The CCDBG Act of 2014 places greater emphasis on serving homeless children and families. Stable access to high-quality child care provides tremendous benefits to all children, especially our most vulnerable children. Children and families who experience homelessness face many challenges. Improving access to child care can buffer children and families from the challenges and risks associated with homelessness by supporting children’s learning and development in safe, stable and nurturing environments. Under the new law, States and Territories are required to use CCDF funds to 1) allow homeless children to receive CCDF assistance after an initial eligibility determination but before providing required documentation (including documentation related to immunizations); 2) providing training and technical assistance to child care providers on identifying and serving homeless children and families (addressed in Section 6); and 3) conduct specific outreach to homeless families. (658E(c)(3))

States and Territories also must establish a grace period that allows homeless children and children in foster care (if served by the Lead Agency) to receive CCDF assistance while their families are taking the necessary actions to comply with immunization and other health and safety requirements as described in Section 5. This flexibility will make it significantly easier for these vulnerable families to access child care services. This language is consistent with current requirements established through CCDF regulations in 1998, which required a grace period in which children can receive services while families take the necessary actions to comply with the immunization requirements. (658E(c)(2)I)(i)(I)) ACF recommends States and Territories consult the definition of homeless in the McKinney-Vento Act (section 725 of subtitle VII-B) as you implement the requirements of this section as that definition is consistent with the required CCDF administrative data reporting requirements.

Describe the status of the State/Territory’s procedures to enroll and provide outreach to homeless families and establish a grace period for children in foster care, if served, for meeting immunization requirements

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. Describe the following:

1. Procedures to increase access to CCDF subsidies for homeless children and families, including the grace period to comply with immunization and health and safety requirements      

2. Procedures to conduct outreach to homeless families to improve access to child care services      

3. Procedures to provide a grace period to comply with immunization and other health and safety requirements to expedite enrollment for children who are in foster care if served by the Lead Agency to improve access to child care services      

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

• Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

  • Projected start date for each activity      

  • Projected end date for each activity      

  • Agency – Who is responsible for complete implementation of this activity      

  • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

3. Protection for Working Parents

   1. Twelve-Month Eligibility

The CCDBG Act of 2014 establishes a minimum 12-month eligibility and redetermination period for CCDF families. States and Territories are required to demonstrate in the Plan that no later than September 30, 2016 each child who receives assistance will be considered to meet all eligibility requirements for such assistance and will receive such assistance, for a minimum of 12 months before the State/Territory redetermines the eligibility of the child, regardless of changes in income (as long as income does not exceed the federal threshold of 85% of State median income) or temporary changes in participation in work, training, or education activities. (658E(c)(2)(N)(i) & (ii))

Note that this change means a State/Territory may not terminate CCDF assistance during the 12-month period if a family has an increase in income that exceeds the State’s income eligibility threshold, but not the federal threshold of 85% SMI.

In addition, this change means the State/Territory may not terminate assistance prior to the end of the 12-month period if family experiences a temporary job loss or temporary change in participation in a training or education activity. Examples of temporary changes include but are not limited to: absence from employment due to maternity or extended medical leave, changes in seasonal work schedule, or if a parent enrolled in training or educational program is temporarily not attending class between semesters.

Describe the status of the State/Territory’s establishment of 12-month eligibility and redetermination periods for CCDF families.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the Lead Agency’s policy citation(s) and describe circumstances considered temporary changes in work, education or training that are not subject to termination      

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date      

• Unmet requirement - Identify the requirement(s) to be implemented      

• Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

  • Projected start date for each activity      

  • Projected end date for each activity      

  • Agency – Who is responsible for complete implementation of this activity      

  • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

2. State and Territory option to terminate assistance prior to 12 months

The CCDBG Act of 2014 provides States and Territories the option – but does not require them – to terminate assistance prior to re-determination at 12 months if a parent loses employment or if he or she stops attending a job training or education program (i.e., if the parent experiences a non-temporary change in their status as working, or participating in a training or education program). However, prior to terminating the subsidy, the State/Territory must provide a period of continued child care assistance of at least 3 months to allow parents to engage in job search, resume work, or to attend an education or training program as soon as possible. (658E(c)(2)(N)(iii)) Nothing in the statute prohibits the State/Territory from starting a new 12-month eligibility and redetermination period if families are eligible at the end of their job search, training or education attendance period.

Note that unless the State allows a minimum 3-month job search period – the State/Territory may not exercise the option to terminate assistance based on a parent’s non-temporary job loss or cessation of attendance at a job training or educational program prior to the end of the minimum 12-month eligibility and re-determination period. The statute does not specify any documentation that States/Territories must require parents to submit regarding activities during periods of job search or finding training or education program requirements for this period.

Does the State/Territory terminate assistance prior to 12 months due to a parent’s non-temporary loss of work or cessation of attendance at a job training or education program?

• Yes, the State/Territory terminates assistance prior to 12 months due to parent’s loss of work or cessation of attendance at a job training or education program ONLY. List the Lead Agency’s policy citation(s) and describe the circumstances considered to be non-temporary job, education or training loss and provide the duration allowed for job search or resuming attendance in training or education programs      

• No, the State/Territory does not allow this option.

3. Prevent Disruption of Work

The CCDBG Act of 2014 added a requirement that States and Territories must describe in the Plan the procedures and policies in place to ensure that parents (especially parents in families receiving assistance under TANF) are not required to unduly disrupt their employment, education or job training activities in order to comply with the State/Territory’s or designated local entity’s requirements for redetermination of eligibility for assistance. (658E(c)(2)(N)(ii)) Examples include implementing re-determination strategies to verify income and employment electronically as opposed to more onerous practices such as asking parents and families to come to the subsidy office for an in-person visit, or aligning eligibility with other early care and education or public benefits programs to collect information centrally. The process by which States and Territories collect eligibility documentation represents a potential barrier to services, particularly when documentation can only be provided in-person during standard work hours. States and Territories can offer a variety of family-friendly mechanisms for submitting documentation for eligibility determinations and/or re-determination.

Describe the status of the State/Territory’s redetermination procedures and policies to ensure that parents (especially parents receiving TANF) do not have their employment, education or job training unduly disrupted in order to comply with the State/Territory’s or designated local entity’s requirements for redetermination of eligibility.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the Lead Agency’s policy citation(s) and describe the policies and procedures for not unduly disrupting employment      

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

• Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

  • Projected start date for each activity      

  • Projected end date for each activity      

  • Agency – Who is responsible for complete implementation of this activity      

  • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

4. Family Contribution to Payment

The statute requires 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 that is not a barrier to families receiving CCDF. (658E(c)(5) In addition to income and size of the family, the Lead Agency may use other factors when determining family contributions/co-payments. The sliding fee scale is subject to review by ACF as part of ongoing monitoring efforts to CCDBG compliance.

1. Provide the CCDF copayments in the chart below according to family size for one child in care. Note – If the sliding fee scale is not statewide, check here and describe how many jurisdictions set their own sliding fee scale      . Fill in the chart based on the most populous area of the State.

Family Size	(a) Lowest “Entry” Income Level Where Copayment First Applied	(b) What is the monthly copayment for a family of this size upon initial entry into CCDF?	(c) What is the percent of income for (b) ?	(d) Highest “Entry” Income Level Before No Longer Eligible	(e) What is the monthly copayment for a family of this size upon initial entry into CCDF?	(f) What is the percent of income for (e)?
1
2
3
4
5

1. What is the effective date of the sliding fee scale(s)?      

2. Provide the link to the sliding fee scale      

2. How will the family’s contribution be calculated and to whom will it be applied? Check all that apply.

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

Fee is per child up to a maximum per family

No additional percentage applied charged after certain number of children

Fee is per family

Contribution schedule varies because it is set locally/regionally (as indicated in 1.2.1). Describe      

Other. Describe      

3. Will the Lead Agency use other factors in addition to income and family size to determine each family's copayment? (658E(c)(3)(B))

Yes, and describe those additional factors using the checkboxes below.

Number of hours the child is in care

Lower copayments for higher quality of care as defined by the State/Territory

Other. Describe other factors      

No.

4. The Lead Agency may waive contributions/co-payments from families whose incomes are at or below the poverty level for a family of the same size (98.42(c)). Will the Lead Agency waive family contributions/co-payments for families whose incomes are at or below the poverty level?

Yes, the Lead Agency waives family contributions/co-payments for families with income at or below the poverty level for families of the same size. The poverty level used by the Lead Agency for a family size of 3 is $      .

No, the Lead Agency does not waive family contributions/co-payments.

5. How will the Lead Agency ensure the family contribution/co-payment, based on a sliding fee scale, is affordable and not a barrier to families receiving CCDF? Check all that apply.

Limits the maximum co-payment per family. Describe      

Limits combined amount of copayment for all children to a percentage of family income. List the percentage of the copayment limit and describe      

Minimizes the abrupt termination of assistance before a family can afford the full cost of care (“the cliff effect”) as part of the graduated phase-out of assistance discussed in 3.1.5. Describe      

Does not allow providers to charge families the difference between the maximum payment rate (addressed in section 4) and their private pay rate in addition to the copayment they are paying. Describe      

Covers all fees (such as registration, supplies, field trips) to minimize the additional fees charged to the families by the provider. Describe      

Other. Describe      

4. Ensure Equal Access to High Quality Child Care for Low-Income Children

The 2014 reauthorization of the CCDBG Act is designed to help States and Territories advance improvements to the quality of child care in order to promote the healthy social-emotional, cognitive and physical development of participating children. Ensuring that low-income and vulnerable children can access high-quality care (and remain enrolled to school entry and beyond) is an equally important purpose of CCDBG. Payment levels and policies have a major impact on access.

The CCDBG Act of 2014 revises the requirement for a market rate survey (MRS) so that: (1) it must be statistically valid and reliable; and (2) it must reflect variations in the cost of child care services by geographic area, type of provider, and age of child. Also, a State/Territory may develop and conduct an alternative methodology for setting payment rates, such as a cost estimation model, to take into account the cost of meeting quality requirements.

To provide stability of funding and encourage more child care providers to participate in the subsidy program, the State/Territory’s payment practices for CCDF child care providers must reflect generally accepted payment practices of non-CCDF child care providers in the State/Territory, such as paying for supplies, field trips, registration fees. In addition, to the extent practicable, the State/Territory must implement enrollment and eligibility policies that support the fixed costs of providing child care services by delinking provider payments from a child’s occasional absence due to holidays or unforeseen circumstances such as illness or closures due to emergency.

The CCDBG Act of 2014 added a provision that the State/Territory must also develop and implement strategies to increase the supply and improve the quality of child care services for: (1) children in underserved areas; (2) infants and toddlers; (3) children with disabilities (the CCDBG Act of 2014 added a new definition of child with disability (658(P)(3)); and (4) children who receive care during non-traditional hours. With respect to investments to increase access to programs providing high-quality child care and development services, the State/Territory must give priority to children of families in areas that have significant concentrations of poverty and unemployment and that do not have such programs. (658 E(c)(2)(M))

1. Parental Choice In Relation to Certificates, Grants or Contracts

The parent(s) of each eligible child who receive(s) or is offered financial assistance for child care services has the option of either 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)) This did not change under the CCDBG Act of 2014.

1. Describe how the parent of each eligible child is advised that the Lead Agency offers the option of selecting a provider that has a grant or contract or receiving a child care certificate (658E(c)(2)(A)(i), 658P(2))      

2. Describe how the parent is informed of the option to choose from a variety of child care categories – such as private, not-for-profit, faith-based providers (if using a certificate), centers, family child care homes, or in-home providers. (658E(c)(2)(A)(i), 658P(2), 658Q)) Check all that apply.

• Certificate form provides information about the choice of providers, including high quality providers

• Certificate is not linked to a specific provider so parents can choose provider of choice

• Consumer education materials on choosing child care

• Referral to child care resource and referral agencies

• Co-located resource and referral in eligibility offices

• Verbal communication at the time of application

• Community outreach, workshops or other in-person activities

• Other. Describe      

1. Child Care Services Available through Grants or Contracts

1. In addition to offering certificates, does the Lead Agency provide child care services through grants or contracts for child care slots? (658A(b)(1)))) Note: Do not check “yes” if every provider is simply required to sign an agreement 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 entities who receive contracts (e.g., shared services alliances, child care resource and referral agencies, family child care networks, community based agencies, child care providers, etc.)      

• the process for accessing grants or contracts      

• the range of providers available through grants or contracts      

• how rates for contracted slots are set through grants and contracts      

• how the State/Territory determines which entities to contract with for increasing supply and/or improving quality      

• if contracts are offered statewide and/or locally      

No. If no, skip to 4.1.4.

2. Will the Lead Agency use grants or contracts for child care services to achieve any of the following (check all that apply):

Increase the supply of specific types of care with grants or contracts for:

Programs to serve children with disabilities

Programs to serve infants and toddlers

Programs to serve school-age children

Programs to serve children needing non-traditional hour care

Programs to serve homeless children

Programs to serve children in underserved areas

Programs that serve children with diverse linguistic or cultural backgrounds

Programs that serve specific geographic areas

Urban

Rural

Other. Describe      

Improve the quality of child care programs with grants or contracts for:

Programs providing comprehensive services, such as integrated child care in Head Start, Early Head Start, summer or other programs

Programs meeting higher quality standards, such as higher rated QRIS programs, accreditation or state pre-k programs that meet higher quality standards

Programs that provide financial incentives to teaching staff linked to higher education and qualifications link increased education requirements to higher compensation

Programs to serve children with disabilities or special needs

Programs to serve infants and toddlers

Programs to serve school-age children

Programs to serve children needing non-traditional hour care

Programs to serve homeless children

Programs to serve children in underserved areas

Programs that serve children with diverse linguistic or cultural backgrounds

Programs that serve specific geographic areas

Urban

Rural

Other. Describe      

4. The Lead Agency certifies policies and procedures are in place that afford parents unlimited access to their children whenever their children are in the care of a provider who receives CCDF funds. (658E(c)(2)(B)) This requirement did not change under the CCDBG Act of 2014. Describe the policies and procedures for unlimited access      

5. The Lead Agency must allow for in-home care (i.e., care provided in the child’s own home) but may limit its use. Will the Lead Agency limit the use of in-home care in any way?

Yes. If checked, what limits will the Lead Agency set on the use of in-home care? Check all that apply.

Restricted based on minimum number of children in the care of the provider to meet minimum wage law or Fair Labor Standards Act. Describe      

Restricted based on provider meeting a minimum age requirement. Describe      

Restricted based on hours of care (certain number of hours, non-traditional work hours). Describe      

Restricted to care by relatives. Describe      

Restricted to care for children with special needs or medical condition. Describe      

Restricted to in-home providers that meet some basic health and safety requirements. Describe      

Other. Describe      

No

2. Assessing Market Rates and Child Care Costs

The new law revises the provisions for a market rate survey (MRS) so that: (1) it must be statistically valid and reliable; and (2) it must reflect variations in the price to parents of child care services by geographic area, type of provider, and age of child (658E(c)(4)(B)). A State/Territory has the option to develop and use a statistically valid and reliable alternative methodology for setting payment rates, such as a cost estimation model. Any payment rates established using an alternative methodology or market rate survey must be reviewed and approved by ACF as part of the CCDF Plan review process. Because the alternative methodology is a new basis for setting payment rates, we highly recommend any State or Territory considering an alternative methodology to submit a description of its proposed approach to the ACF Regional Office in advance of the Plan submittal in order to avoid delays with Plan approval (see http://www.acf.hhs.gov/programs/occ/resource/ccdf-reauthorization-faq ).

The MRS or alternative methodology must be developed and conducted no earlier than two years before the date of submission of the Plan (instead of two years before the effective date of the Plan, as previously required for the MRS).

The State must consult with the State Advisory Council (SAC) or other state- or state-designated cross-agency body if there is no SAC, local child care program administrators, local child care resource and referral agencies, and other appropriate entities prior to developing and conducting the MRS or alternative methodology.

The State/Territory must prepare a detailed report containing the results of the MRS or alternative methodology. The State must make the report with these results widely available no later than 30 days after completion of the report, including posting the results on the Internet in an easily interpretable and understandable form.

The State/Territory must set CCDF subsidy payment rates in accordance with the results of the current MRS or alternative methodology. When setting payment rates, the law requires States and Territories to take into consideration the cost of providing higher quality child care services than were provided prior to November 2014 (e.g., tiered reimbursement or other methods) and without, to the extent practicable, reducing the number of families receiving CCDF relative to the number served as of November 2014. In taking the cost of providing quality into consideration, it is important to consider such key factors as what it takes to support increased stability and reduced provider turnover when setting payment rates.

1. Developing and Conducting a Market Rate Survey (MRS) and/or an Alternative Methodology. Did the State/Territory conduct a statistically and valid and reliable MRS, alternative methodology or both between July 1, 2013 and March 1, 2016?

• MRS

• Alternative Methodology. Describe      

• Both. Describe      

• Other. Describe      

2. Describe how the State consulted with the State Advisory Council (SAC) or other state- or state-designated cross-agency body if there is no SAC, local child care program administrators, local child care resource and referral agencies, and other appropriate entities which could include worker organizations prior to developing and conducting the MRS or alternative methodology.      

3. Describe how the market rate survey or alternative methodology is statistically valid and reliable. To be considered valid and reliable, the MRS or alternative methodology must represent the child care market, provide complete and current data, use rigorous data collection procedures, reflect geographic variation, and analyze data in a manner that captures other relevant differences. For example, market rate surveys can use administrative data such as child care resource and referral data if they are representative of the market. If an alternative methodology such as cost modeling is used, demonstrate that the methodology used reliable models that estimated the cost of delivering services in center- and home-based settings at each level of quality defined by the State/Territory.      

4. Describe how the market rate survey reflects variations in the price of child care services by:

a) Geographic area (e.g., statewide or local markets)      

b) Type of provider      

c) Age of child      

d) Describe any other key variations examined by the market rate survey, such as quality level      

5. Describe the process used by the State/Territory to prepare a detailed report containing the results and make the report widely available to the public.

1. Date of completion of the market rate survey or alternative methodology (must be no earlier than July 1, 2013 and no later than March 1, 2016)      

2. Date report containing results was made widely available, no later than 30 days after the completion of the report      

3. How the report containing results was made widely available and provide the link where the report is posted if available      

1. Setting Payment Rates

   1. Provide the base payment rates and percentiles (based on current MRS or alternative methodology) for the following categories. The ages and types of care listed below are meant to provide a snapshot of categories on which rates may be based and are not intended to be comprehensive of all categories that may exist in your State/Territory or reflective of the terms that your State/Territory may use for particular ages. Please use the most populous geographic region (serving highest number of children). Note – If the payment rates are not set by the State/Territory, check here . Describe how many jurisdictions set their own payment rates     .

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

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

2. Infant (6 months), full-time licensed FCC care in most populous geographic region

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

3. Toddler (18 months), full-time licensed center care in most populous geographic region

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

4. Toddler (18 months), full-time licensed FCC care in most populous geographic region

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

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

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

6. Preschooler (4 years), full-time licensed FCC care in most populous geographic region

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

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

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

8. School-age child (6 years), full-time licensed FCC care in most populous geographic region

• Rate $      per       unit of time (e.g., hourly, daily, weekly, monthly, etc.)

• Percentile      

9. Describe the calculation/definition of full-time care      

10. Provide the effective date of the payment rates      

11. Provide the link to the payment rates      

2. States and Territories may choose to set base payment rates that differ because they take into consideration such factors as 1) geographic location, 2) age of child, 3) needs of children (special needs, protective services, etc.), 4) non-traditional hours of care, or 5) quality of care. In other words, base rates for infants may be set at a higher level than for school-age care because the cost of providing infant care tends to be higher than school-age care. In addition to these rates that differ tied to market variations in prices, States and Territories can choose to establish tiered rates or add-ons on top of these variable base rates as a way to increase payment rates for targeted needs (i.e., higher rate for special needs children as both an incentive for providers to serve children with special needs and as a way to cover the higher costs to the provider to provide care for special needs children).

Check which types of tiered payment or rate add-on, 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, amount or percentage of the tiered rate/add-on, and indicate if the rates were set based on the MRS or another process.

• Tiered rate/rate add-on for non-traditional hours. Describe      

• Tiered rate/rate add-on for children with special needs as defined by the State/Territory. Describe     

• Tiered rate/rate add-on for infants and toddlers (do not check if you have a different base rate for infants/toddlers with no separate bonus or add-on). Describe      

• Tiered rate/rate add-on for programs meeting higher quality as defined by the State/Territory. Describe      

• Tiered rate/rate add-on for programs serving homeless children. Describe      

• Other tiered rate/rate add-on beyond the base rate. Describe      

• None.

1. Describe how the State/Territory set payment rates for child care services in accordance with the results of the most recent market rate survey or alternative methodology      

2. In setting payment rates, how did the State/Territory take into consideration the cost of providing higher quality child care services than were provided prior to November 2014 (e.g., tiered payment or other methods) and without, to the extent practicable, reducing the number of families receiving CCDF relative to the number of families served as of November 2014. For example, providing tiered payment with a sufficient differential to support higher quality, considering the cost of quality using a cost estimation model or other method, or examining the participation rate of high-quality providers in the subsidy system (e.g., using indicators from a quality rating system, accreditation or other state-defined indicators of quality) and adjusting payment rates if necessary.      

1. Summary of Facts Used to Determine that Payments Rates Are Sufficient to Ensure Equal Access

The CCDF plan shall provide a summary of data and facts relied on by the State/Territory to certify that payment rates are sufficient to ensure equal access. (658E (c)(4)(A)) Equal access is not limited to a single percentile alone but is inclusive of various metrics or benchmarks that would offer children receiving CCDF access to the same services (type of care, quality of care) as children not receiving CCDF.

1. What data and facts did the State use to determine equal access (i.e., what is your metric or benchmark of equal access – such as percentile that rates cover or proportion of costs covered)? Check all that apply and describe.

• Payment rates are set at the 75th percentile or higher of the most recent survey. Describe      

• Using tiered rates/differential rates as described in 4.3.3 to increase access for targeted needs.

• Rates based on data on the cost to the provider of providing care meeting certain standards. Describe      

• Data on the size of the difference (in terms of dollars) between payment rates and the 75th percentile in the most recent survey, if rates are below the 75th percentile. Describe      

• Data on the proportion of children receiving subsidy being served by high-quality providers. Describe      

• Data on where children are being served showing access to the full range of providers. Describe      

• Data on how rates set below the 75^th percentile allow CCDF families access to the same quality of care as families not receiving CCDF. Describe      

• Feedback from parents, including parent survey or parent complaints. Describe      

• Other. Describe     

1. Does the State/Territory certify that payment rates are sufficient to ensure equal access either based on the current MRS or alternative methodology?

• Yes. The State/Territory certifies that payment rates are sufficient to ensure equal access by March 1, 2016. Provide the State/Territory definition of how its payment rates are sufficient to ensure equal access      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

5. Payment Practices and Timeliness of Payments

The CCDBG Act of 2014 added a provision that requires States and Territories to describe in the Plan how the State/Territory’s payment practices for CCDF child care providers reflect generally accepted payment practices of non-CCDF child care providers in the State/Territory —so as to provide stability of funding and encourage more child care providers to participate in the subsidy program. To the extent practicable, the State/Territory must implement enrollment and eligibility policies that support the fixed costs of providing child care services by delinking provider payments from a child’s occasional absences due to holidays or unforeseen circumstances such as illness. (658E(c)(2)(S))

1. Describe the status of State/Territory’s payment practices for CCDF child care providers that reflect generally accepted payment practices of non-CCDF child care providers in the State/Territory.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. Describe using 4.5.2 through 4.5.3 below.

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Describe how the payment practices to child care providers who serve CCDF-assisted children reflect generally accepted payment practices of other child care providers in the State/Territory to ensure stability of funding to encourage more child care providers to serve children who receive CCDF assistance. Check all that apply and describe. The Lead Agency …

• Pays prospectively prior to the delivery of services. Describe      

• Pays within no more than 21 days of billing for services. Describe      

• Supports fixed costs of providing child care services by delinking provider payments from a child’s occasional absences by paying based on enrollment instead of attendance. Describe including the State/Territory’s definition of occasional absences      

• Supports fixed costs of providing child care services by delinking provider payments from a child’s occasional absences by providing full payment if a child attends at least a certain percent of authorized time. Specify percent and describe      

• Supports fixed costs of providing child care services by delinking provider payments from a child’s occasional absences by providing full payment if a child is absent for a certain number of days in a month. Specify the number of absence days allowed and paid for and describe      

• Pays on a full-time or part-time basis (rather than smaller increments such as hourly)      

• Pays for standard and customary fees that the provider charges private-paying parents (e.g., registration fees, deposits, supplies, field trips, etc.)      

• Provides prompt notice to providers regarding any changes to the family’s eligibility status that may impact payment      

• Has a timely appeal and resolution process for payment inaccuracies and disputes. Describe      

• Other. Describe      

• For those options not checked above, explain why these options are not generally accepted payment practices in your State/Territory      

1. Check and describe the strategies the State/Territory will 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      

• Use of electronic tools (e.g., automated billing, direct deposit, etc.) Describe      

• Other. Describe     

6. Supply Building Strategies to Meet the Needs of Certain Populations

The CCDBG Act of 2014 added a provision that the State/Territory will develop and implement strategies to increase the supply and improve the quality of child care services for children in underserved areas, infants and toddlers, children with disabilities, and children who receive care during non-traditional hours. (658 E(c)(2)(M))

1. Has the State/Territory conducted data analysis of existing and growing supply needs?

• Yes. Describe data sources      

• No. If no, how does the State/Territory determine most critical supply needs?      

1. Describe what method(s) is used to increase supply and improve quality for:

1. Infants and toddlers (check all that apply)

• Grants and contracts (as discussed in 4.1.3)

• Family child care networks

• Start-up funding

• Technical assistance support

• Recruitment of providers

• Tiered payment rates (as discussed in 4.4.1)

• Other. Describe      

2. Children with disabilities (check all that apply)

• Grants and contracts (as discussed in 4.1.3)

• Family child care networks

• Start-up funding

• Technical assistance support

• Recruitment of providers

• Tiered payment rates (as discussed in 4.4.1)

• Other. Describe      

3. Children who receive care during non-traditional hours (check all that apply)

• Grants and contracts (as discussed in 4.1.3)

• Family child care networks

• Start-up funding

• Technical assistance support

• Recruitment of providers

• Tiered payment rates (as discussed in 4.4.1)

• Other. Describe      

4. Homeless children (check all that apply)

• Grants and contracts (as discussed in 4.1.3)

• Family child care networks

• Start-up funding

• Technical assistance support

• Recruitment of providers

• Tiered payment rates (as discussed in 4.4.1)

• Other. Describe      

1. The CCDBG Act of 2014 requires States to describe the procedures and process it uses, in terms of the investments made to increase access to programs providing high quality child care and development services, to give priority for those investments to children in families in areas that have significant concentrations of poverty and unemployment and that do not have such high-quality programs. (658E(c)(2)(Q)) Describe the status of State/Territory’s process and procedures to give priority for investments to children and families from areas with high concentrations of poverty and unemployment that do not have high-quality programs.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. Describe      

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

5. Establish Standards and Monitoring Processes to Ensure the Health and Safety of Child Care Settings

The CCDBG Act of 2014 makes child care safer by defining minimum health and safety requirements for child care providers. This includes both the standards that must be established and the pre-service/orientation and ongoing minimum training required. States and Territories must also explain why exemptions to any of the licensing standards do not endanger the health and safety of CCDF children in license-exempt care. States and Territories are required to have standards for CCDF providers regarding group size limits and appropriate child-to-provider ratios based on the age of children in child care.

Pre-licensure and annual unannounced inspections of licensed CCDF providers and annual inspections of license-exempt CCDF providers are now required. The CCDBG Act of 2014 requires States and Territories to establish qualifications and training for licensing inspectors and appropriate inspector-to-provider ratios. It also requires States and Territories to conduct criminal background checks for all child care staff members, including staff members who don’t care directly for children but have unsupervised access to children and lists specific disqualifying crimes. States and Territories must certify that all child care providers comply with child abuse reporting requirements of Child Abuse Prevention and Treatment Act (CAPTA), mandatory reporting of known and suspected instances of child abuse and neglect).

1. Licensing Requirements and Standards

Each State/Territory is required to certify it has in effect licensing requirements applicable to all child care services provided within the State/Territory (not restricted to providers receiving CCDF), and to provide a detailed description of such requirements and how such requirements are effectively enforced. (658E(c)(2)(F) Nothing in the statute prohibits the State/Territory from exempting child care providers from licensing requirements. But, if the State/Territory exempts any child care providers from State/Territory licensing requirements, the CCDBG Act of 2014 requires States and Territories to describe how such licensing exemptions do not endanger the health, safety, and development of children receiving CCDF who are cared for by the license-exempt providers. (658E(c)(2)(F)(ii))

1. The State/Territory certifies that it has licensing requirements applicable to all child care services provided within the State. (658(c)(2)(F)) This requirement did not change under the CCDBG Act of 2014. List the categories of care that your State/Territory licenses and provide your definition of each licensed category of care      

2. Does your State/Territory exempt any child care providers that can receive CCDF from its licensing requirements?

• Yes. Describe which types of providers that can receive CCDF are exempt from licensing and how such exemptions do not endanger children who receive CCDF services from license-exempt providers      

• No

1. Describe the status of the State/Territory’s development and implementation of child care standards for providers receiving CCDF that address appropriate ratios between the number of children and the number of providers and group size, in terms of the age of the children for each type of setting. (658E(c)(2)(H))

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. Describe using 5.1.4 and 5.1.5 below.

• Not implemented. If not implemented, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

4. Describe how the State/Territory child care standards for providers receiving CCDF address appropriate ratios between the number of children and the number of providers and group size, in terms of the age of the children for each type of setting. (658E(c)(2)(H))

a) Licensed Center-Based Care

1. Infant

• State/Territory age definition      

• Ratio      

• Group size      

2. Toddler

• State/Territory age definition      

• Ratio      

• Group size      

3. Preschool

• State/Territory age definition      

• Ratio      

• Group size      

4. School-Age

• State/Territory age definition      

• Ratio      

• Group size      

5. If any of the responses above are different for exempt child care centers, describe      

6. Describe, if applicable, ratios and group sizes for centers with mixed age groups      

b) Licensed Group Child Care Homes:

1. Infant

• State/Territory age definition      

• Ratio      

• Group size      

2. Toddler

• State/Territory age definition      

• Ratio      

• Group size      

3. Preschool

• State/Territory age definition      

• Ratio      

• Group size      

4. School-Age

• State/Territory age definition      

• Ratio      

• Group size      

5. Describe the maximum number of children that are allowed in the home at any one time, if the State/Territory requires related children to be included in the child-to-provider ratio or group size, or the limits on infants and toddlers or additional school-age children that are allowed for part of the day      

6. If any of the responses above are different for exempt group child care homes, describe      

N/A. State/Territory does not have group child care homes.

c) Licensed Family Child Care:

1. Describe the ratios     , group size     , the threshold for when licensing is required     , maximum number of children that are allowed in the home at any one time      , if the State/Territory requires related children to be included in the Child-to-Provider ratio or group size      , or the limits on infants and toddlers or additional school-age children that are allowed for part of the day      

2. If any of the responses above are different for exempt family child care home providers, describe      

d) Any other eligible CCDF provider categories:

Describe the ratios      , group size      , the threshold for when licensing is required      , maximum number of children that are allowed in the home at any one time      , if the State/Territory requires related children to be included in the child-to-provider ratio or group size      , or the limits on infants and toddlers or additional school-age children that are allowed for part of the day      

5. Describe how the State/Territory child care standards address required qualifications for providers appropriate to each type of setting, including the minimum age allowed, minimum education level, any specific content required related to the age of children. (658E(c)(2)(H))

a) Licensed Center-Based Care:

1. Infant lead teacher       and assistant teacher qualifications      

2. Toddler lead teacher       and assistant teacher qualifications      

3. Preschool lead teacher       and assistant teacher qualifications      

4. School-Age lead teacher       and assistant teacher qualifications      

5. Director qualifications      

b) Licensed Group Child Care Homes:

1. Infant lead teacher       and assistant qualifications      

2. Toddler lead teacher       and assistant qualifications      

3. Preschool lead teacher       and assistant qualifications      

4. School-Age lead teacher       and assistant qualifications      

N/A. State/Territory does not have group child care homes.

c) Licensed Family Child Care home provider qualifications      

d) Other eligible CCDF provider qualifications      

6. The CCDBG Act of 2014 added a new provision specifying that States and Territories must 1) establish health and safety requirements for providers serving children receiving CCDF assistance relating to matters included in the topics listed below, and 2) have pre-service or orientation training requirements, appropriate to the provider setting, that address these health and safety topics. (658E(c)(2)(I)(i)) This requirement is applicable to all child care providers receiving CCDF regardless of licensing status (licensed or license-exempt). The only exception to this requirement is for providers who are caring for their own relatives, as States have the option of exempting relatives from some or all CCDF health and safety requirements. When establishing these requirements, States are encouraged to consider the age of children and type of child care setting to ensure that they are appropriate to the health and safety needs of the children from birth through age 12 and the providers who care for them.

1. The State/Territory certifies that it has health and safety requirements for providers receiving CCDF in the following areas:

• Prevention and control of infectious diseases (including immunization)

• Prevention of sudden infant death syndrome and use of safe sleeping practices

• Administration of medication, consistent with standards for parental consent

• Prevention of and response to emergencies due to food and allergic reactions

• Building and physical premises safety, including identification of and protection from hazards that can cause bodily injury such as electrical hazards, bodies of water, and vehicular traffic

• Prevention of shaken baby syndrome and abusive head trauma

• Emergency preparedness and response planning for emergencies resulting from a natural disaster, or a man-caused event (such as violence at a child care facility), within the meaning of those terms under section 602(a) (1) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195a(a)(1))

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

• Precautions in transporting children (if applicable)

• First aid and cardiopulmonary resuscitation (CPR) certification

• Yes. The State/Territory certifies that it has health and safety requirements for CCDF providers in these areas as of March 1, 2016. Provide a citation and a link if available      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

2. The State/Territory certifies that it has pre-service (prior to initial service) or orientation (period from when service started) and ongoing training requirements, appropriate to the provider setting that address each of the requirements relating to the topic areas listed above. ACF expects these trainings will be part of a broader systematic approach and progression of professional development (as described in Section 6) within a State/Territory that will result in opportunities for child care providers to accumulate knowledge, competencies and credits toward eventual completion of a professional certification or higher education. The law does not specify a specific number of training or education hours but States and Territories are encouraged to consult with Caring for our Children Basics for best practices and recommended time needed to address these training requirements.

• Yes. The State/Territory certifies that it has pre-service or orientation and ongoing training requirements appropriate to the provider setting that address each of the requirements relating to the topics listed above as of March 1, 2016. Describe, including at a minimum 1) how the state/territory defines preservice or orientation period, 2) the minimum number of annual preservice or orientation hours required to meet these health, and safety requirements, and 3) ongoing training or education hours required to meet these health and safety requirements      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) partially or substantially implemented      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Does the State/Territory have health and safety requirements for any of the following optional areas?

• Nutrition (including age appropriate feeding). Describe      

• Access to physical activity. Describe      

• Screen time. Describe      

• Caring for children with special needs. Describe      

• Recognition and reporting of child abuse and neglect. Describe      

• Other subject areas determined by the State/Territory to be necessary to promote child development or to protect children’s health and safety. Describe      

1. States and Territories have the option to exempt relatives (as defined in CCDF regulations as grandparents, great-grandparents, siblings if living in a separate residence, aunts, and uncles, (98.41(A)(ii)(A)) from CCDF health and safety training requirements. Does the State/Territory exempt relatives from the requirement to receive pre-service or orientation health and safety training on any or all of the listed topics? Note this exception applies if the individual cares ONLY for relative children.

• Yes, all relatives are exempt from all health and safety training requirements. If the State/Territory exempts all relatives from the CCDF health and safety training requirements, describe how the State ensures the health and safety of children in relative care.      

• Yes, some relatives are exempt from health and safety training requirements. If the State/Territory exempts some relatives from the CCDF health and safety training requirements, describe which relatives are exempt from which requirements (all or some) and include how the State/Territory ensures the health and safety of children in relative care.      

• No, relatives are not exempt from CCDF health and safety training requirements.

1. Monitoring and Enforcement Policies and Practices

   1. The State/Territory certifies that the State/Territory has in effect policies and practices to ensure that providers for children receiving assistance and their facilities comply with applicable State or local licensing and health and safety requirements. (658E(c)(2)(J))

• Yes. The State/Territory certifies that it has policies and practices to ensure compliance with applicable licensing and health and safety requirements for providers receiving CCDF and their facilities as of March 1, 2016. List the policy citation      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. The CCDBG Act of 2014 added the following provisions for enforcement of licensing which must be in effect no later than November 19, 2016 for all providers who serve children receiving CCDF (with the option to exempt relatives). While the law does not specify strategies to meet these requirements, States and Territories could consider implementing a differential monitoring approach as long as the full complement of licensing and CCDF health and safety standards was representative and the frequency was at least annually.

1. Licensing Inspectors - It will have policies and practices that ensure that individuals who are hired as licensing inspectors in the State/Territory are qualified to inspect those child care providers and facilities and have received training in related health and safety requirements, and are trained in all aspects of the State’s licensure requirements. (658E(c)(2)(K)(i)(I))

• Yes. The State/Territory certifies that as of March 1, 2016 it has policies and practices that ensure that individuals who are hired as licensing inspectors in the State/Territory are qualified to inspect those child care providers and facilities and have received training in related health and safety requirements, and are trained in all aspects of the State’s licensure requirements. List the policy citation and describe the qualifications, including at a minimum how inspector qualifications address training related to the language and cultural diversity of the providers, and how qualifications address being appropriate to the age of children in care and type of provider setting:      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than November 19, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than November 19, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

  • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Inspections for Licensed CCDF Providers - It will require licensing inspectors to perform inspections, with not less than one prelicensure inspection, for compliance with health, safety, and fire standards, of each such child care provider and facility in the State/Territory. It will require licensing inspectors to perform not less than annually, one unannounced inspection of licensed CCDF providers for compliance with all child care licensing standards, which shall include an inspection for compliance with health, safety, and fire standards (inspectors may inspect for compliance with all 3 standards at the same time. (658E(c)(2)(K)(i)(II))

• Yes. The State/Territory certifies that as of March 1, 2016 it has policies and practices regarding inspections for licensed CCDF providers. List the policy citation and describe the inspection requirements including the frequency of announced and unannounced visits      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than November 19, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than November 19, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

  • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

c) Inspections for License-Exempt CCDF Providers (except those serving relatives) – It will have policies and practices that require licensing inspectors (or qualified monitors designated by the lead agency) of child care providers and facilities to perform an annual monitoring visit of each license-exempt CCDF provider (unless the provider is described in section (658P(6)(B)). (658E(c)(2)(K)(ii)(IV))

• Yes. The State/Territory certifies that as of March 1, 2016 it has policies and practices regarding inspections for license-exempt CCDF providers. List the policy citation and describe the annual monitoring visit requirements:      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than November 19, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than November 19, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

  • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

4. Ratio of Licensing Inspectors – It will have policies and practices that require the ratio of licensing inspectors to such child care providers and facilities in the State/Territory to be maintained at a level sufficient to enable the State to conduct inspections of such child care providers and facilities on a timely basis in accordance with Federal, State, and local law. (658E(c)(2)(K)(i)(III))

• Yes. The State/Territory certifies that as of March 1, 2016 it has policies and practices regarding the ratio of licensing inspectors to such child care providers and facilities in the State/Territory. List the policy citation and list the State/Territory ratio of licensing inspectors:      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than November 19, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than November 19, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

• Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

• Unmet requirement - Identify the requirement(s) to be implemented      

  • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

e) Child Abuse and Neglect Reporting – That child abuse reporting requirements are in place and comply with section of the Child Abuse Prevention and Treatment Act (42 U.S.C. 5106a(b)(2)(B)(i)) (658E(c)(2)(L))

• Yes. Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the Lead Agency’s policy citation(s)      

• No. If no, the State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than November 19, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than November 19, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

• Projected start date for each activity      

• Projected end date for each activity      

• Agency – Who is responsible for complete implementation of this activity      

• Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. States and Territories have the option to exempt relatives (as defined in CCDF regulations as grandparents, great-grandparents, siblings if living in a separate residence, aunts, and uncles, (98.41(A)(ii)(A)) from inspection requirements. Note this exception only applies if the individual cares ONLY for relative children. Does the State/Territory exempt relatives from inspection requirements listed in 5.2.2?

• Yes, all relatives are exempt from all inspection requirements. If the State/Territory exempts all relatives from the inspection requirements, describe how the State ensures the health and safety of children in relative care.      

• Yes, some relatives are exempt from inspection requirements. If the State/Territory exempts some relatives from the inspection requirements, describe which relatives are exempt from which requirements (all or some) and include how the State/Territory ensures the health and safety of children in relative care.      

• No, relatives are not exempt from inspection requirements.

3. Criminal Background Checks

The CCDBG Act of 2014 added new requirements for States and Territories receiving CCDF funds to conduct criminal background checks on child care staff members and prospective staff members of child care providers. States and Territories must have requirements, policies, and procedures in place to conduct criminal background checks for staff members of child care providers (other than relatives) that are licensed, regulated or registered under State/Territory law or receive CCDF funds. Background check requirements apply to any staff member who is employed by a child care provider for compensation or whose activities involve the care or supervision of children or unsupervised access to children. For family child care homes, this includes the caregiver requesting a check of him/herself, as well as other adults in the household that may have unsupervised access to children. These provisions must be in place no later than September 30, 2017.

The CCDBG Act of 2014 specifies what a comprehensive criminal background check includes and a child care provider must submit a request to the appropriate State/Territory agency for a criminal background check for each child care staff member, including prospective child care staff members at least once every 5 years. A criminal background check must include a search of: State criminal and sex offender registry in the State where the staff member resides and each State where the staff member has resided over the past 5 years; State child abuse and neglect registry in the State where the staff member resides and each State where the staff member has resided over the past 5 years, National Crime Information Center (run by the FBI); FBI fingerprint check using Next Generation Identification ; and National Sex Offender Registry.

Child care staff members cannot be employed by a provider receiving CCDF if they refuse a background check; make materially false statements in connection with the background check; are registered or required to be registered on the State or National Sex Offender Registry; have been convicted of a felony consisting of: murder, child abuse or neglect, crimes against children, spousal abuse, crime involving rape or sexual assault, kidnapping, arson, physical assault or battery, or subject to an individual review, at the State’s option, a drug-related offense committed during the preceding 5 years; or have been convicted of a violent misdemeanor committed as an adult against a child.

Timeliness of background checks - The State/Territory must conduct the background checks as quickly as possible and shall not exceed 45 days after the child care provider submitted the request. The State/Territory shall provide the results of the background check in a statement that indicates whether the staff member is eligible or ineligible, without revealing specific disqualifying information. If the staff member is ineligible, the State/Territory will provide information about each disqualifying crime to the staff member.

Fees for background checks – Fees that a State/Territory may charge for the costs of processing applications and administering a criminal background check may not exceed actual costs to the State/Territory for processing and administration.

Transparency – The State/Territory must ensure that policies and procedures for conducting criminal background checks are published on the State/Territory’s consumer education website (also see section 2.3) or other publicly available venue.

Appeals process – The State/Territory shall have a process for a child care staff member to appeal the results of their background check to challenge the accuracy and completeness.

Privacy considerations - Lead Agency may not publicly release the results of individual background checks. They may release aggregated data by crime as long as the data does not include personally identifiable information.

1. Describe the status of the State/Territory’s requirements, policies, and procedures for criminal background checks for child care staff members and child care providers.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. List the policy citation within the Lead Agency’s rules       and describe the policies and procedures for criminal background checks using 5.3.2 through 5.3.9 below.

• Not implemented. The State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2017). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2017)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Describe the process and procedures for conducting background checks in a timely manner, including which agency/entity is responsible and how the Lead Agency ensures that background checks performed by a 3^rd party meet the requirements, protecting the privacy of child care staff members, and providing opportunities for applicants to appeal the results of background checks.      

2. Describe how the State/Territory is assisting other States process background checks, including any agencies/entities responsible for responding to requests from other states      

3. Does the State/Territory have a review process for individuals disqualified due to a felony drug offense to determine if that individual is still eligible for employment?

• Yes. Describe      

• No

1. Does the State/Territory disqualify child care staff members based on their conviction for other crimes not specifically listed in 5.3?

• Yes. Describe      

• No

1. States and Territories have the option to exempt relatives (as defined in CCDF regulations as grandparents, great-grandparents, siblings if living in a separate residence, aunts, and uncles, (98.41(A)(ii)(A)) from background check requirements. Note this exception only applies if the individual cares ONLY for relative children. Does your State State/Territory exempt relatives from background checks?

• Yes, all relatives are exempt from all background check requirements.

• Yes, some relatives are exempt from the background check requirements. If the State/Territory exempts some relatives from background check requirements, describe which relatives are exempt from which requirements (some or all).     

• No, relatives are not exempt from background checks.

1. Describe how the State/Territory ensures that fees charged for completing the background checks do not exceed the actual cost of processing and administration, regardless of whether conducted by the State/Territory or a 3^rd party vendor or contractor. Lead Agencies can report that no fees are charged if applicable.      

2. Describe how background check policies and procedures are published on the State/Territory consumer education website or made publicly available on another venue      

3. Does the Lead Agency release aggregated data by crime?

• Yes. List types of crime included in the aggregated data      

• No

6. Recruit and Retain a Qualified and Effective Child Care Workforce

Teacher-child interactions and relationships, intentional strategies to engage children and their parents, and use of curriculum and assessment to inform practices with children are key components of high quality child care. These require a competent, skilled, and stable workforce. Research has shown that specialized training and education, positive and well-organized work environments and adequate compensation promote teacher recruitment, stability, diversity of the early childhood workforce, and effectiveness with young children in child care. In addition, professional development strategies that emphasize on-site mentoring and coaching of teachers have emerged as promising to change practices with children and families. Professional development, whether training, on-site coaching and mentoring, registered apprenticeship, or higher education coursework, should reflect the research and best practices of child development in all domains and cultural competence.

The CCDBG Act of 2014 requires States and Territories to establish professional development and training requirements in key areas such as health and safety, early learning guidelines, responding to challenging behavior and engaging families. States and Territories are required to offer ongoing annual training and to establish a progression of professional development opportunities to improve knowledge and skills of CCDF providers. (658E(c)(2)(G)) An example of how a State/Territory might address this is to establish a system or framework of professional development that includes professional standards, a “career ladder” that allows an individual to build knowledge and skills in a cumulative manner from introductory training to advance level education, including obtaining credentials and post-secondary degrees. Professional development should be designed in a manner that aligns to competencies and qualifications that reflect working with children of different ages, English language learners, children with disabilities and the differentiated roles in all settings, such as teachers, teacher assistants, and directors. Training and education supporting professional development is also one of the options States and Territories have for investing their CCDF quality funds. (658G(b)(1)) ACF encourages States and Territories to collaborate and coordinate with other early childhood educator professional development resources, such as Race to the Top Early Learning Challenge grants, quality funds available through the Preschool Development grants, and funds available through Head Start and Early Head Start, to the extent practicable. Responsive, well-qualified adult caregivers are one of the most important factors in children’s development and learning in child care settings. ACF strongly encourages States and Territories to link CCDF health and safety trainings (see Section 5) and child development trainings and education to this broader professional development framework as the foundation for building a knowledgeable early childhood education workforce. Questions related to requirements for recruiting and retaining a qualified and effective child care workforce have been consolidated into Section 6.

1. Training and Professional Development Requirements

The CCDBG Act of 2014 added a requirement that the State/Territory develop training and professional development requirements designed to enable child care providers to promote the social, emotional, physical and cognitive development of children and to improve the knowledge and skills of the child care workforce. Such requirements shall be applicable to child care providers caring for children receiving CCDF across the entire age span from birth through age 12. (658E(c)(2)(G)) Training and professional development should be accessible and appropriate across settings and types of providers, including family child care home providers and child care center staff.

The State/Territory also must develop and implement strategies to strengthen the business practices of child care providers to expand the supply and improve the quality of child care services. (658E(c)(2)(V))

For purposes of this section, the term professional development is inclusive of credit bearing coursework, postsecondary degree programs, and technical assistance (targeted assistance such as mentoring, coaching or consultation) activities. Health and safety topics that require renewal of a credential or certification should be considered continuing education unit trainings.

1. Describe the status of the State/Territory’s professional development system or framework, including training and professional development requirements to enable child care providers to promote the social, emotional, physical, and cognitive development of children and to improve the knowledge and skills of the child care workforce.

The Lead Agency assures that the State/Territory’s training and professional development requirements:

1. Provide ongoing training and professional development that is accessible for the diversity of providers in the State/Territory; provide for a progression of professional development reflecting research and best practice to meet the developmental needs of participating infants, toddlers, preschool, and school-age children and that is aligned to foundational and specialized competencies (including different ages of children, English language learners, and children with disabilities); and improve the quality and stability of the child care workforce (such as supports an individual to build on entry- and mid-level training and education (which may include higher education) to attain a higher level credential or professional certification and retention in the child care program).

2. Are developed in consultation with the State Advisory Council (SAC) on Early Childhood Education and Care or other state or state-designated cross-agency body if there is no SAC that addresses training, professional development and education of child care providers and staff.

3. Incorporate knowledge and application of the State/Territory’s early learning and developmental guidelines (where applicable), the State/Territory’s health and safety standards (as described in section 5), and incorporate social-emotional/behavioral and early childhood mental health intervention models, which may include positive behavior intervention and support models (as described in Section 2)

4. Are accessible to providers supported through Indian tribes or tribal organizations receiving CCDF

5. Appropriate, to the extent practicable, for child care providers caring for children receiving child care subsidies, including children of different age groups, English language learners, children with disabilities, and Native Americans, including Indians and Native Hawaiians.

• Fully implemented and meeting all Federal requirements outlined above by March 1, 2016. Describe using 6.1.2 through 6.1.6 below.

• Not implemented. The State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

1. Describe how the State/Territory provides ongoing training and professional development that is accessible for the diversity of providers in the State/Territory, provides for a progression of professional development reflecting research and best practice to meet the developmental needs of participating infants, toddlers, preschool and school-age children and that is aligned to foundational and specialized competencies (including different ages of children, English language learners, and children with disabilities) and improves the quality and stability of the child care workforce. Use the checkboxes below to identify and describe the elements of the progression of professional development. Check all that apply.

• State/Territory professional standards and competencies. Describe      

• Career ladder or lattice. Describe      

• Articulation agreements between two- and four-year postsecondary early childhood education or degree programs. Describe      

• Community-based training approved by a state regulatory body to meet licensing or regulatory requirements. Describe      

• Workforce data, including recruitment, retention, registries or other documentation, and compensation information. Describe      

• Advisory structure that provides recommendations for the development, revision, and implementation of the professional development system or framework. Describe      

• Continuing education unit trainings and credit-bearing professional development. Describe      

• State-approved trainings. Describe      

• Inclusion in state and/or regional workforce and economic development plans. Describe      

• Other. Describe      

1. Describe how the State/Territory developed its training and professional development requirements in consultation with the State Advisory Council (SAC) on Early Childhood Education and Care (if applicable) or other state or state-designated cross-agency body if there is no SAC      

2. Describe how the State/Territory incorporates knowledge and application of the State’s early learning and developmental guidelines (where applicable), the State/Territory’s health and safety standards (as described in section 5), and incorporates social-emotional/behavioral and early childhood mental health intervention models, which may include positive behavior intervention and support models (as described in Section 2) into its training and professional development requirements (see Information Memorandum on Children’s Social Emotional and Behavioral Health http://www.acf.hhs.gov/programs/occ/resource/im-2015-01 )      

3. Describe how the State’s training and professional development requirements are accessible to providers supported through Indian tribes or tribal organizations receiving CCDF (as applicable)      

4. Describe how the State/Territory’s training and professional development requirements are appropriate, to the extent practicable, for child care providers caring for children receiving child care subsidies, including children of different age groups (such as specialized credentials for providers who care for infants and/or school-age children), English language learners, children with disabilities, and Native Americans, including Indians and Native Hawaiians      

5. Describe the strategies the State/Territory uses to recruit and retain providers who will serve eligible children. Check all that apply and describe.

• Financial assistance for attaining credentials and post-secondary degrees. Describe      

• Financial incentives linked to education attainment and retention. Describe      

• Registered apprenticeship programs. Describe      

• Outreach to high school (including career and technical) students. Describe      

• Policies for paid sick leave. Describe      

• Policies for paid annual leave. Describe      

• Policies for health care benefits. Describe      

• Policies for retirement benefits. Describe      

• Support for providers’ mental health (such as training in reflective practices and stress reduction techniques, health and mental health consultation services). Describe      

• Other. Describe      

8. Describe how the State/Territory will recruit providers for whom English is not their first language, or who will serve and be available for families for whom English is not their first language      

9. How will the Lead Agency overcome language barriers to serve providers for whom English is not their first language? 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

Collect information to evaluate on-going need, recruit, or train a culturally or linguistically diverse workforce

Other      

None

If the Lead Agency checked any option above related to providing information or services in other non-English languages, please list the primary languages offered (top 3) or specify that the State has the ability to have translation/interpretation in all primary and secondary languages      

10. The State/Territory must use CCDF for activities to improve the quality or availability of child care, including training and technical assistance to providers on identifying and serving homeless children and families. (658E(c)(3)(B)(i) Describe the status of the State/Territory’s training and technical assistance to providers on identifying and serving homeless children and their families (connects to Section 3.2.2).

• Yes. The State certifies that no later than March 1, 2016 it will provide training and technical assistance to providers on identifying and serving homeless children and their families. Describe that training and technical assistance for providers      

• No. The State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

2. Supporting Training and Professional Development of the Child Care Workforce with CCDF Quality Funds

States and Territories may use the quality set-aside discussed in detail in section 7 to support the training and professional development of the child care workforce.

1. Does the State/Territory fund the training and professional development of the child care workforce?

• Yes. If yes,

1. Describe the measures relevant to this use of funds that the State/Territory will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory.      

2. Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe      

• Other funds. Describe      

1. Check which content is included in training and professional development activities. Check all that apply.

• Promoting the social, emotional, physical, and cognitive development of children, including those related to nutrition and physical activity, using scientifically-based, developmentally-appropriate and age-appropriate strategies as required in 6.1.1c. Describe      

• Implementing behavior management strategies, including positive behavior interventions and support models that promote positive social -emotional development and early childhood mental health and reduce challenging behaviors, including reducing expulsions of preschool-aged children from birth to five for such behaviors (see also Section 2). Describe      

• Engaging parents and families in culturally and linguistically appropriate ways to expand their knowledge, skills, and capacity to become meaningful partners in supporting their children’s positive development. Describe      

• Developmentally appropriate, culturally and linguistically responsive instruction and evidence-based curricula, and learning environments that are aligned with the State/Territory Early Learning and Development Standards. Describe      

• On-site or accessible comprehensive services for children and community partnerships that promote families’ access to services that support their children’s learning and development. Describe      

• Using data to guide program evaluation to ensure continuous improvement. Describe      

• Caring for children of families in geographic areas with significant concentrations of poverty and unemployment. Describe      

• Caring for and supporting the development of children with disabilities and developmental delays. Describe      

• Supporting positive development of school-age children. Describe      

• Other. Describe      

1. Check how the State/Territory connects child care providers with available Federal and State/Territory financial aid, or other resources for pursuing postsecondary education relevant for the early childhood and school-age workforce. Check all that apply.

• Coaches, mentors, consultants, or other specialists available to support access to postsecondary training including financial aid and academic counseling

• State/Territory-wide, coordinated, and easily accessible clearinghouse (i.e. online calendar or listing of opportunities) of relevant postsecondary education opportunities

• Financial awards (such as scholarships, grants, loans, reimbursement for expenses) from State/Territory for completion of postsecondary education

• Other. Describe      

• No

1. Does the State/Territory require a specific number of annual training hours for child care providers caring for children receiving CCDF subsidies and in particular content areas? States and Territories are encouraged to consult with Caring for our Children for best practices and recommended time needed to address training hour requirements.

• Yes. If yes, describe:

1. Licensed Center-Based Care

   1. Number of pre-service or orientation hours and any required areas/content      

   2. Number of on-going hours and any required areas/content      

2. Licensed Group Child Care Homes

   1. Number of pre-service or orientation hours and any required areas/content      

   2. Number of on-going hours and any required areas/content      

3. Licensed Family Child Care Provider

   1. Number of pre-service or orientation hours and any required areas/content      

   2. Number of on-going hours and any required areas/content      

d) Any other eligible CCDF provider

1. Number of pre-service or orientation hours and any required areas/content      

2. Number of on-going hours and any required areas/content      

• No

1. Describe the status of the State/Territory’s policies and practices to strengthen provider’s business practices.

• Fully implemented as of March 1, 2016. Describe the State strategies including training, education, and technical assistance to strengthen provider’s business practices. This may include, but is not limited to, such practices related to fiscal management, budgeting, record-keeping, hiring, developing, and retaining qualified staff, risk management, community relationships, marketing and public relations, and parent-provider communications, including who delivers the training, education and/or technical assistance      

• Not implemented. The State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implementation of this activity      

3. Early Learning and Developmental Guidelines

The CCDBG Act of 2014 added a requirement that the State/Territory will develop, maintain, or implement early learning and developmental guidelines that are appropriate for children in a forward progression from birth to kindergarten entry (i.e., birth-to-three, three-to-five, or birth-to-five), describing what such children should know and be able to do, and covering the essential domains of early childhood development for use State/Territory wide by child care providers. (658E(c)(2)(T)) At the option of the State/Territory, early learning and development guidelines for out-of-school time may be developed. States and Territories may use the quality set-aside as discussed in section 7 to improve on the development or implementation of early learning and development guidelines.

1. Describe the status of the State/Territory’s early learning and development guidelines appropriate for children from birth to kindergarten entry.

The State/Territory assures that the early learning and development guidelines are:

• Research-based, developmentally appropriate, culturally and linguistically appropriate, and aligned with entry to kindergarten

• Implemented in consultation with the State educational agency and the State Advisory Council (SAC) or other state or state-designated cross-agency body if there is no SAC

• Updated as determined by the State. List the date or frequency      

• Fully implemented and meeting all Federal requirements outlined above as of March 1, 2016. List the Lead Agency’s policy citation(s) and describe using 6.3.2 through 6.3.4 below

• Not implemented. The State/Territory must provide a State/Territory-specific implementation plan for achieving compliance with this requirement, including planned activities, necessary legislative or regulatory steps to complete, and target completion date (no later than September 30, 2016). Please provide brief text responses and descriptions only. Do not cut and paste charts or tables here. Your responses will be consolidated electronically into an Implementation Plan summary report.

• Overall Target Completion Date (no later than September 30, 2016)      

• Overall Status – Describe the State/Territory’s overall status toward complete implementation for this requirement(s) (not yet started, partially implemented, substantially implemented, other)      

  • Implemented requirement(s) – Identify any requirement(s) implemented to date if applicable      

  • Unmet requirement - Identify the requirement(s) to be implemented      

    • Tasks/Activities – What specific steps will you take to implement the unmet requirement (e.g., legislative or rule changes, modify agreements with coordinating agencies, etc.)      

      • Projected start date for each activity      

      • Projected end date for each activity      

      • Agency – Who is responsible for complete implementation of this activity      

      • Partners – Who is the responsible agency partnering with to complete implement this activity      

2. Check for which age group(s) the State/Territory has established early learning and development guidelines:

Birth-to-three. Provide a link      

Three-to-Five. Provide a link      

Birth-to-Five. Provide a link      

Five and older (check if State/Territory has standards for five and older that complement academic but cover child development areas not covered by k-12 academic standards). Describe and provide a link      

Other. Describe      

3. Does the State/Territory use CCDF quality funds to improve on the development or implementation of early learning and development guidelines by providing technical assistance to child care providers to enhance children’s cognitive, physical, social and emotional development and support children’s overall well-being?

• Yes, the State/Territory has a system of technical assistance operating State/Territory-wide

• Yes, the State/Territory has a system of technical assistance operating as a pilot or in a few localities but not State/Territory-wide

• No, but the State/Territory is in the development phase

• No, the State/Territory has no plans for development

1. If yes, check all that apply to the technical assistance and describe.

• Child care providers are supported in developing and implementing curriculum/learning activities based on the State’s/Territory’s early learning and development guidelines. Describe      

• The technical assistance is linked to the State’s/Territory’s quality rating and improvement system. Describe      

• Child care providers working with infants and/or toddlers have access to the technical assistance for implementing early learning and development guidelines. Describe      

• Child care providers working with preschool-age children have access to the technical assistance for implementing early learning and development guidelines. Describe      

• Child care providers working with school-age children have access to the technical assistance for implementing early learning and development guidelines. Describe      

2. Indicate which funds are used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

1. Check here to demonstrate that State/Territory assures that CCDF funds will not be used to develop or implement an assessment for children that: (658E(c)(2)(T)(ii)(I))

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

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

• Will be used as the primary or sole method for assessing effectiveness of child care programs

• Will be used to deny children eligibility to participate in the CCDF program

7. Support Continuous Quality Improvement

Lead Agencies are required to reserve and use a portion of their Child Care and Development Block Grant funds for activities designed to improve the quality of child care services and increase parental options for, and access to, high-quality child care. Support for continuous quality improvement is expected to cover the entire age span of children supported by CCDF, from birth through age 12. States/Territories may provide these quality improvement activities directly, or through grants or contracts with local child care resource and referral organizations or other appropriate entities. The activities should be in alignment with a State/Territory-wide assessment of the State’s/Territory’s needs to carry out such services and care. These quality investments can align with, support and help sustain additional quality efforts developed under Race to the Top Early Learning Challenge grants, Early Head Start/Head Start partnerships and other funding efforts.

States and Territories will report on these quality improvement investments through CCDF in three ways: 1) ACF will collect annual data on how much CCDF funding is spent on quality activities using the expenditure report (ACF-696); 2) In the Plan, States and Territories will describe the types of activities supported by quality investments over the three-year period; and 3) For each three-year Plan period, States and Territories will submit a separate annual report that will show the measures used by the State/Territory to evaluate its progress in improving the quality of child care programs and services in the State/Territory.

The CCDBG Act of 2014 requires States and Territories to use the quality set-aside to fund at least one of the following 10 activities:

1. Supporting the training and professional development of the child care workforce (as described in Section 6)

2. Improving on the development or implementation of early learning and development guidelines (as described in Section 6)

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

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

5. Establishing or expanding a Statewide system of child care resource and referral services (as described Section 1)

6. Supporting compliance with State/Territory requirements for licensing, inspection, monitoring, training, and health and safety (as described in Section 5)

7. Evaluating the quality of child care programs in the State/Territory, including evaluating how programs positively impact children

8. Supporting providers in the voluntary pursuit of accreditation

9. Supporting the development or adoption of high-quality program standards related to health, mental health, nutrition, physical activity, and physical development

10. Other activities to improve the quality of child care services as long as outcome measures relating to improved provider preparedness, child safety, child well-being, or kindergarten-entry are possible.

Throughout this Plan, States and Territories will describe the types of quality improvement activities where CCDF investments are being made, including but not limited to, the quality set-aside funds. We recognize that for some areas, States and Territories may leverage other funds to support the quality improvement goals, which we encourage and support. For example, activities related to early learning and development guidelines may be supported by a combination of CCDF and education funding. States and Territories continue to have such flexibility.

1. Activities to Improve the Quality of Child Care Services

   1. What are your overarching goals for quality improvement? Please describe how the State/Territory selected these goals, including any data or the State/Territory-wide assessment of needs that identified the needs for quality improvement services      

   2. Check and describe which of the following specified quality improvement activities the State/Territory is investing in:

• Developing, implementing or enhancing a tiered quality rating system. If checked, respond to 7.2.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Improving the supply and quality of child care services for infants and toddlers. If checked, respond to 7.3.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside,, including whether designated infant- and toddler set aside, etc.)funds are being used along with other CCDF funds      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Establishing or expanding a statewide system of CCR&R services as discussed in 1.7. If checked, respond to 7.4.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Facilitating compliance with State/Territory requirements for inspection, monitoring, training, and health and safety standards (as described in Section 5). If checked, respond to 7.5.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Evaluating and assessing the quality and effectiveness of child care services within the State/Territory. If checked, respond to 7.6.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Supporting accreditation. If checked, respond to 7.7.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Supporting State/Territory or local efforts to develop high-quality program standards relating to health, mental health, nutrition, physical activity, and physical development. If checked, respond to 7.8.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

• Other activities determined by the State/Territory to improve the quality of child care services, and for which measurement of outcomes related to improved provider preparedness, child safety, child well-being, or entry into kindergarten is possible. If checked, respond to 7.9.

• Indicate which funds will be used for this activity (check all that apply)

• CCDF funds. Describe CCDF funds (e.g., quality set-aside, infant-toddler set aside, etc.)      

• Other funds. Describe other funding sources (e.g., Race to the Top Early Learning Challenge, state or local funds, etc.)      

1. Quality Rating and Improvement System

   1. Does your State/Territory have a quality rating and improvement system (QRIS)?

• Yes, the State/Territory has a QRIS operating State/Territory-wide. Describe how the QRIS is administered (e.g., state or locally administered such as through CCR&Rs) and provide a link, if available      

• Yes, the State/Territory has a QRIS operating as a pilot, in a few localities, or only a few levels but not fully operating State/Territory-wide. Provide a link, if available      

• No, but the State/Territory is in the development phase

• No, the State/Territory has no plans for development

a) If yes, check all that apply to your QRIS.

• Participation is voluntary

• Participation is mandatory for providers serving children receiving subsidy. If checked, describe the relationship between QRIS participation and subsidy (minimum rating required, participation at any level, etc.)      

• Participation is required for all providers

• Includes nationally-recognized accreditation as a way to meet/achieve QRIS rating levels

• Supports and assesses the quality of child care providers in the State/Territory

• Builds on State/Territory licensing standards and other State/Territory regulatory standards for such providers

• Embeds licensing into the QRIS. Describe      

• Designed to improve the quality of different types of child care providers and services

• Describes the safety of child care facilities

• Addresses the business practices of programs

• Builds the capacity of State/Territory early childhood programs and communities to promote parents’ and families’ understanding of the State/Territory’s early childhood system and the ratings of the programs in which the child is enrolled

• Provides, to the maximum extent practicable, financial incentives and other supports designed to expand the full diversity of child care options and help child care providers improve the quality of services. If checked, please describe how these financial options link to responses in Section 4.3 related to higher payment rates tied to quality      

• Can be used to track trends in whether children receiving subsidy are utilizing rated care settings and level of rating

b) If yes, which types of settings or distinctive approaches to early childhood education and care participate in the State’s/Territory’s QRIS? Check all that apply.

• Licensed child care centers

• Licensed family child care homes

• License-exempt providers

• Early Head Start programs

• Head Start programs

• State pre-kindergarten or preschool program

• Local district supported pre-kindergarten programs

• Programs serving infants and toddlers

• Programs serving school-age children

• Faith-based settings

• Other. Describe.      

1. Describe the measures relevant to this activity that the State/Territory will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory.      

1. Improving the Supply and Quality of Child Care Programs and Services for Infants and Toddlers

The CCDBG Act of 2014 included changes targeted at improving the supply and quality of infant-toddler care. Lead Agencies are encouraged to systematically assess and improve the overall quality of care infants and toddlers receive, the systems in place or needed to support and enhance the quality of infant and toddler providers and the capacity of the infant and toddler workforce to meet the unique needs of very young children, and the methods in place to increase the proportion of infants and toddlers in higher quality care.

1. What activities are being implemented by the State/Territory to improve the supply (see also section 4) and quality of child care programs and services for infants and toddlers? Check all that apply and describe.

• Establishing or expanding high-quality community or neighborhood-based family and child development centers, which may serve as resources to child care providers in order to improve the quality of early childhood services provided to infants and toddlers from low-income families and to help eligible child care providers improve their capacity to offer high-quality, age-appropriate care to infants and toddlers from low-income families. Describe      

• Establishing or expanding the operation of community or neighborhood-based family child care networks. Describe      

• Providing training and professional development to promote and expand child care providers’ ability to provide developmentally appropriate services for infants and toddlers. Describe      

• Providing financial incentives (including the use of grants and contracts as discussed in section 4) to increase the supply and quality of infant-toddler care. Describe      

• Providing coaching and/or technical assistance on this age group’s unique needs from Statewide networks of qualified infant-toddler specialists. Describe      

• Coordinating with early intervention specialists who provide services for infants and toddlers with disabilities under part C of the Individuals with Disabilities Education Act (20 U.S.C. 1431 et seq.) Describe      

• Developing infant and toddler components within the State’s/Territory’s QRIS. Describe      

• Developing infant and toddler components within the State/Territory’s child care licensing regulations. Describe      

• Developing infant and toddler components within the early learning and development guidelines. Describe      

• Improving the ability of parents to access transparent and easy to understand consumer information about high-quality infant and toddler care. Describe      

• Carrying out other activities determined by the State/Territory to improve the quality of infant and toddler care provided in the State/Territory, and for which there is evidence that the activities will lead to improved infant and toddler health and safety, infant and toddler cognitive and physical development, or infant and toddler well-being. Describe      

• Other. Describe      

1. Describe the measures relevant to this activity that the State/Territory will use to evaluate the State’s progress in improving the quality of child care programs and services in the State/Territory      

1. Child Care Resource & Referral

   1. Describe the status of the child care resource and referral system (as discussed in Section 1.7)

• State/Territory has a CCR&R system operating State/Territory-wide. Describe how the CCR&R system is operated, including how many agencies and if there is a statewide network and how the system is coordinated and if it is voluntary      

• State/Territory has a CCR&R system operating in a few localities but not fully operating State/Territory-wide. Describe      

• State/Territory is in the development phase

1. Describe the measures relevant to this activity that the State/Territory will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory      

1. Facilitating Compliance with State Standards

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

   2. Describe the measures relevant to this activity that the State will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory      

2. Evaluating and Assessing the Quality and Effectiveness of Child Care Programs and Services

   1. One of the purposes of the CCDBG Act of 2014 is to increase the number and percentage of low-income children in high-quality child care settings. Describe how the State/Territory measures the quality and effectiveness of child care programs and services offered in the State/Territory, including any tools used to measure child, family, teacher, classroom, or provider improvements, and how the State/Territory evaluates that such programs positively impact children      

   2. Describe the measures relevant to this activity that the State/Territory will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory      

3. Accreditation Support

   1. Does the State/Territory support child care providers in the voluntary pursuit of accreditation by a national accrediting body with demonstrated, valid, and reliable program standards of high quality?

• Yes, the State/Territory has supports operating State/Territory-wide. Describe the supports for all types of accreditation the State/Territory provides to child care centers and family child care homes to achieve accreditation      

• Yes, the State/Territory has supports operating as a pilot or in a few localities but not State/Territory-wide. Describe      

• No, but the State/Territory is in the development phase

• No, the State/Territory has no plans for development

1. Describe the measures relevant to this activity that the State/Territory will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory      

1. Program Standards

   1. What other State/Territory or local efforts, if any, is the State/Territory supporting to develop or adopt high-quality program standards relating to health, mental health, nutrition, physical activity, and physical development? Please describe      

   2. Describe the measures relevant to this activity that the State/Territory will use to evaluate the State/Territory’s progress in improving the quality of child care programs and services in the State/Territory      

2. Other Quality Improvement Activities

   1. List and describe any other activities the State/Territory provides to improve the quality of child care services and describe the measures relevant to this activity that the State/Territory will use to evaluate the State/Territory’s progress in improving provider preparedness, child safety, child well-being, or entry into kindergarten.      

1. Ensure Grantee Program Integrity and Accountability

Under CCDF, program integrity and accountability activities are grounded in the State/Territory’s policies for implementing the CCDF program. For error rate activities, reviews are based on the State/Territory’s own CCDF policies. The CCDBG Act of 2014 made sweeping changes to the program requirements. With these changes, the State/Territory has an opportunity to change their own policies to reduce the burden for participants and staff as they build in safeguards to maintain program integrity. For example, the new law focuses on eligibility requirements at the time of eligibility determination and allows for a minimum 12-month period of eligibility before redetermination, which lessens the need for participants to continually provide documentation. This, in turn, relieves the State/Territory from the burden of constantly “checking” on participants which can open the door for miscalculations, lost paperwork, and other errors.

Lead Agencies are required to have accountability measures in place to ensure integrity and to identify fraud or other program violations. These accountability measures should address administrative error, including unintentional agency error, as well as program violations, both unintentional and intentional. Violations may or may not result in further action by the Lead Agency, including those cases suspected of and/or prosecuted for fraud.

1. Program Integrity

   1. Describe how the State/Territory ensures that their definitions for violations have been modified, and program integrity procedures revised to reflect new requirements.      

   2. Describe how the State/Territory ensures that all staff are informed and trained regarding changes made to its policies and procedures to reflect new CCDF requirements. Check all that apply.

• Issue policy change notices

• Issue new policy manual

• Staff training

• Orientations

• Onsite training

• Online training

• Regular check-ins to monitor implementation of the new policies. Describe      

• Other. Describe      

3. Describe the processes the Lead Agency will use to monitor all sub-recipients, including those described in Section 1, such as licensing agencies, child care resource and referral agencies, and others with a role in administering CCDF. The Lead Agency is responsible for ensuring effective internal controls over the administration of CCDF funds. Lead Agencies that use other governmental or non-governmental sub-recipients to administer the program must have written agreements in place outlining roles and responsibilities for meeting CCDF requirements.      

Definition: “Subrecipient means a non-Federal entity that receives a subaward from a pass-through entity to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency (2 CFR 200.93).Two CFR Part 200, Subpart A provides additional information on contractors (which may be referred to as “vendors”).The description of monitoring must include, but is not limited to, a description of the written agreements used, a schedule for completing the tasks, a budget which itemizes categorical expenditures consistent with CCDF requirements and indicators or measures to assess performance. Additional items for discussion may include: fiscal management, review of policies and procedures to ensure compliance with CCDF regulations, and monitoring/auditing contractors or grantees to ensure that eligible children are served and eligibility documentation is verified.”

4. Describe the activities the Lead Agency has in place to identify program violations and administrative error to ensure program integrity using the series of questions 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. Lead Agencies are required to have processes in place to identify fraud or other program violations.

1. Check which activities the Lead Agency has chosen to conduct to identify unintentional or intentional program violations.

• Share/match data from other programs (e.g., TANF, Child and Adult Care Food Program (CACFP), Food and Nutrition Service (FNS), Medicaid) or other databases (e.g., State Directory of New Hires, Social Security Administration, Public Assistance Reporting Information System (PARIS))

• Run system reports that flag errors (include types). Describe      

• Review of enrollment documents, attendance or billing records

• Conduct supervisory staff reviews or quality assurance reviews

• Audit provider records

• Train staff on policy and/or audits

• Other. Describe      

• None. Describe what measures the Lead Agency plans to put in place to address program integrity along with action steps and completion timelines      

b) Check which activities the Lead Agency has chosen to conduct to identify administrative error.

• Share/match data from other programs (e.g. TANF, Child and Adult Care Food Program (CACFP), Food and Nutrition Service (FNS), Medicaid) or other databases (e.g., State Directory of New Hires, Social Security Administration, Public Assistance Reporting Information System (PARIS))

• Run system reports that flag errors (include types). Describe      

• Review of enrollment documents, attendance or billing records

• Conduct supervisory staff reviews or quality assurance reviews

• Audit provider records

• Train staff on policy and/or audits

• Other. Describe     

• None. Describe what measures the Lead Agency plans to put in place to address program integrity along with action steps and completion timelines      

1. Which activities (or describe under “Other”) the Lead Agency will use to investigate and collect improper payments due to program violations or 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.

1. Check which activities (or describe under “Other”) the Lead Agency will use for unintentional program violations?

• 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)

• Recover through repayment plans

• Reduce payments in subsequent months

• Recover through State/Territory tax intercepts

• Recover through other means

• Establish a unit to investigate and collect improper payments. Describe      

• Other. Describe     

• None. Describe what measures the Lead Agency plans to put in place to address the investigation and recovery of misspent funds due to unintentional program violations, including action steps and completion timelines      

2. Check which activities the Lead Agency will use for intentional program violations or fraud?

• 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)

• Recover through repayment plans

• Reduce payments in subsequent months

• Recover through State/Territory tax intercepts

• Recover through other means

• Establish a unit to investigate and collect improper payments. Describe composition of unit below

• Other. Describe     

• None. Describe what measures the Lead Agency plans to put in place to address the investigation and recovery of misspent funds due to fraud, including action steps and completion timelines      

3. Check which activities the Lead Agency will use for 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)

• Recover through repayment plans

• Reduce payments in subsequent months

• Recover through State/Territory tax intercepts

• Recover through other means

• Establish a unit to investigate and collect improper payments. Describe composition of unit below

• Other. Describe     

• None. Describe what measures the Lead Agency plans to put in place to address the investigation and recovery of misspent funds due to administrative error, including action steps and completion timelines      

1. What type of sanction will the Lead Agency place on clients and providers to help reduce improper payments due to program violations? The Lead Agency is required to impose sanctions on clients and providers in response to fraud.

• 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