Attachment E: GenIC Example - Monitoring Activities - Regulation compliance

Example Generic Information Collection for Monitoring Activities

In the chart below, for each regulation listed in the Column A, please indicate in Column B how the State proposes to show evidence of its compliance with the regulation prior to the onsite visit (such as state/local regulations, policies, manuals, etc.) and indicate in Column C how the State proposes to demonstrate compliance during the onsite visit (such as staff interviews, system demonstrations, visits to field offices, guided case file reviews, etc.).

The State has flexibility to propose an approach that, from its perspective, makes sense in light of the State’s circumstances and processes.

PAPERWORK REDUCTION ACT OF 1995 (Pub. L. 104-13) STATEMENT OF PUBLIC BURDEN: Through this information collection, ACF is gathering information about states’ compliance with activities as required in the XX regulations. Public reporting burden for this collection of information is estimated to average 10 hours per grantee, including the time for reviewing instructions, gathering and maintaining the data needed, and reviewing the collection of information. This collection of information is required to retain a benefit, per XX authority. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information subject to the requirements of the Paperwork Reduction Act of 1995, unless it displays a currently valid OMB control number. The OMB # is 0970-0XXX and the expiration date is XX/XX/XXXX. If you have any comments on this collection of information, please contact [contact information].

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 1: Disaster Preparedness, Response, and Recovery
Regulation component 1 for topic 1 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 1 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 1 Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 2: Consumer Education: Dissemination of Information to Parents, Providers, and General Public
Regulation component 1 for topic 2 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 2 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 2 Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 3: Twelve-Month Eligibility
Regulation component 1 for topic 3 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 3 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 3 Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 4: Ratios and Group Sizes
Regulation component 1 for topic 4 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 4 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 4 Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 5: Health and Safety
Regulation component 1 for topic 5 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 5 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 5 Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 6: Pre-Service/Orientation and Ongoing Training for Providers
Regulation component 1 for topic 6 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 6 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 6 Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 7: Inspections for Licensed Providers
Regulation component 1 for topic 7 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 7 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 7 Specific criteria to meet to be in compliance with the regulation

Regulations

Proposed Approach To Demonstrating Compliance With This Requirement

(Column A)

(Column B)

(Column C)

Topic 8: Inspections for License-Exempt Providers

• Regulation component 1 for topic 8

• Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 3: Consumer Education: Dissemination of Information to Parents, Providers, and General Public
Regulation component 1 for topic 2 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 2 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 2 Specific criteria to meet to be in compliance with the regulation

Pre-Visit Information

Onsite

• Regulation component 2 for topic 8

• Specific criteria to meet to be in compliance with the regulation

• Regulation component 3 for topic 8

• Specific criteria to meet to be in compliance with the regulation

Regulations

Proposed Approach To Demonstrating Compliance With This Requirement

(Column A)

(Column B)

(Column C)

Topic 9: Program Integrity and Accountability

• Regulation component 1 for topic 9

• Specific criteria to meet to be in compliance with the regulation

Regulations	Proposed Approach To Demonstrating Compliance With This Requirement
(Column A)	(Column B)	(Column C)
Topic 3: Consumer Education: Dissemination of Information to Parents, Providers, and General Public
Regulation component 1 for topic 2 Specific criteria to meet to be in compliance with the regulation	Pre-Visit Information		Onsite
Regulation component 2 for topic 2 Specific criteria to meet to be in compliance with the regulation
Regulation component 3 for topic 2 Specific criteria to meet to be in compliance with the regulation

Pre-Visit Information

Onsite

• Regulation component 2 for topic 9

• Specific criteria to meet to be in compliance with the regulation

• Regulation component 3 for topic 9

• Specific criteria to meet to be in compliance with the regulation