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Reason(s) for non-compliance: • The Lead Agency background check appeals process does not provide the affected child care staff member with a notice of the opportunity to appeal or instructions on how to complete the appeals process, does not attempt to verify the accuracy of the information challenged by the child care staff member, and does not complete the appeals process in a timely manner, respond with a written notice of the decision, or coordinate with other agencies in charge of background checks, as required by 98.43(e)(3) and 98.43(a)(1). (Plan Questions 5.7.11i, 5.7.11ii, 5.7.11iii, 5.7.11iv, 5.7.11v, and 5.7.11vi) • The Lead Agency does not ensure background checks are completed within 45 days of the request, as required by 98.43(e)(1). (Plan Question 5.7.13a) • The Lead Agency does not respond to other states’ requests for interstate criminal history, Sex Offender Registry, and Child Abuse and Neglect Registry background checks, as required by 98.43(a)(1)(iii). (Plan Question 5.7.14b) • The Lead Agency does not conduct background checks when a provider is separated from employment for more than 180 consecutive days, as required by 98.43(d)(3)(iii). (Plan Question 5.7.17) Overall Target Completion Date: 10/31/2026 Action Step Number Action Step Description Target Completion Date 1 Convene Department leads, including legislative service, procurement, IT, fiscal, provider network to review current and future state of CCDBG background checks compliance, outlining next steps for IT solutions and solutions requiring legislative change or interagency partnerships. 02/28/2025 2 Identify staffing plan to hire full time positions to oversee provider network support, including background checks, post positions, and hire staff. 03/31/2025 3 Review IT project plan and business requirements for vendor to build out the child care portion of the Department’s centralized background check portal, and procure vendor. Determine if there is an IT solution for vendor to build out the requests from other states to submit to the Department’s centralized background check portal, and add to procurement request. 06/30/2025 4 Fully onboard new staff to support background check portal and provider network support. Staff will also support other states’ requests for interstate criminal history, Sex Offender Registry, and Child Abuse and Neglect Registry background checks. 06/30/2025 5 Submit SFY26 Legislative proposal for changes needed to level one fingerprint clearance card, including any budgetary requests if applicable, to comply with CCDBG requirements and submit for approval 09/30/2025 6 Launch child care expansion in background check portal 07/31/2026 7 Pending legislative and interagency law enforcement approval, implement changes for level one fingerprint clearance card and NSOR background checks 10/31/2026 8 Submit State Plan amendment 10/31/2026
Reason(s) for non-compliance: • The Lead Agency does not require and conduct interstate criminal history background checks for all staff members (or prospective staff members) who resided in other state(s) in the past 5 years, as required by 98.43(b)(3)(i)(B), 98.42(b)(2)(i)(B), and 98.43(a). (Plan Questions 5.7.6a and 5.7.6b) • The Lead Agency does not require and conduct interstate criminal history background checks for all individuals age 18 or older who reside in a family child care home and resided in other state(s) in the past 5 years, as required by 98.43(b)(3)(i)(B), 98.42(b)(2)(i)(B), and 98.43(a). (Plan Question 5.7.6c) Overall Target Completion Date: 10/31/2026 Action Step Number Action Step Description Target Completion Date 1 Convene Department leads, including legislative service, procurement, IT, fiscal, provider network to review current and future state of CCDBG background checks compliance, outlining next steps for IT solutions and solutions requiring legislative change or interagency partnerships. 02/28/2025 2 Develop project plan, including staffing, technology, policy/provider registration agreement, and budget updates needed to implement interstate checks. 03/31/2025 3 Identify staffing plan to hire full time positions to oversee provider network support, including background checks, post positions, and hire staff. 04/30/2025 4 Submit SFY26 Legislative proposal for changes needed, including any rulemaking and budgetary requests if applicable, to comply with CCDBG requirements and submit for approval 09/30/2025 5 Pending approvals, implement changes 08/31/2026 6 Submit State Plan amendment 10/31/2026
Reason(s) for non-compliance: • The Lead Agency does not require and conduct NCIC NSOR name-based background checks for all child care staff members (including prospective staff members), as required by 98.43(b)(2), 98.42(b)(2)(i)(B), and 98.43(a). (Plan Questions 5.7.3a and 5.7.3b) • The Lead Agency does not require and conduct NCIC NSOR name-based checks for all individuals age 18 or older who reside in a family child care home, as required by 98.43(b)(2), 98.42(b)(2)(i)(B), and 98.43(a). (Plan Question 5.7.3c) Overall Target Completion Date: 10/31/2026 Action Step Number Action Step Description Target Completion Date 1 Convene Department leads, including legislative service, procurement, IT, fiscal, provider network to review current and future state of CCDBG background checks compliance, outlining next steps for IT solutions and solutions requiring legislative change or interagency partnerships. 02/28/2025 2 Division to submit SFY26 Legislative proposal for changes needed to level one fingerprint clearance card, including any budgetary requests if applicable, to comply with CCDBG requirements and submit to the Governor’s Office for approval 09/30/2025 3 Pending legislative and interagency law enforcement approval, implement changes for NCIC/NSOR background checks 10/31/2026 4 Submit State Plan amendment 10/31/2026
Reason(s) for non-compliance: • The Lead Agency does not include aggregate data for the total number of children in care by provider category and licensing status when posting data on serious injuries, fatalities, and substantiated cases of child abuse in care, as required by 98.33(a)(5)(iv). (Plan Question 9.2.5aiv) Overall Target Completion Date: 02/28/2025 Action Step Number Action Step Description Target Completion Date 1 Approved CCDF State Plan amendment per 12/20/2023 OCC letter. OCC is updating this noncompliance. 02/28/2025
Reason(s) for non-compliance: • The Lead Agency does not coordinate with licensing agencies and other relevant State and local agencies to provide referrals and support families experiencing homelessness and families caring for children in foster care during a grace period to comply with immunization and other health and safety requirements, as required by 98.41(a)(1)(i)(C)(4). (Plan Question 2.3.3c) Overall Target Completion Date: 12/31/2025 Action Step Number Action Step Description Target Completion Date 1 Updated the existing contracts with the homeless shelters to support families in completing immunizations 06/30/2024 2 Determine communications/ resources currently available to families, including specific resources for children experiencing homelessness and foster children. 04/30/2025 3 Develop plan for alignment and coordination 09/30/2025 4 Complete communication and training with partners 10/31/2025 5 Identify collaborative partner to assess coordination/alignment implementation 11/30/2025 6 Submit State Plan Amendment 12/31/2025
Reason(s) for non-compliance: • The Lead Agency does not include the rationale for the policy to allow providers to charge families additional amounts above the required co-payment, including required data and a demonstration of how the policy promotes affordability and access for families, as required by 98.45(b)(5). (Plan Questions 3.1.2ei and 3.1.2eii) Overall Target Completion Date: 08/31/2026 Action Step Number Action Step Description Target Completion Date 1 Align policy with the enrollment and prospective based payment plan and implementation and rate adjustments to the 50th percentile of the 2024 Market Rate Survey. 09/30/2025 2 Submit agency request for State Fiscal Year 2027 Budget 09/30/2025 3 Conduct SFY 2027 State Budget Process 06/30/2026 4 Finalize policy and align new Provider Registration Agreement for all CCDF contracted child care providers, effective October 1, 2026 with revised policy 07/31/2026 5 Submit State Plan amendment 08/31/2026
Reason(s) for non-compliance: • The Lead Agency does not pay all provider types prospectively or alternatively does not demonstrate that it is not a generally-accepted practice for all provider types, as required by 98.45(m)(1). (Plan Question 4.4.1a). Please note the Lead Agency has an approved waiver for this requirement through August 1, 2026. • The Lead Agency does not pay based on enrollment or alternatively does not provide justification that this is impracticable or is not a generally-accepted practice, as required by 98.45(m)(2). (Plan Question 4.4.1b). Please note the Lead Agency has an approved waiver for this requirement through August 1, 2026. • The Lead Agency does not pay for reasonable mandatory registration fees that the provider charges to private-paying parents, as required by 98.45(m)(4). (Plan Question 4.4.2b) Overall Target Completion Date: 08/31/2026 Action Step Number Action Step Description Target Completion Date 1 Develop plan with timelines for implementation of enrollment and prospective based payment, addressing all equal access plans and implementation, to include technology implementation as well as fiscal, program, policy 06/30/2025 2 Conduct Stakeholder engagement, including internal partners, child care providers, family and community advocates, state agency partners 07/31/2025 3 Align with DES Financial Services Administration 09/30/2025 4 Submit agency request for State Fiscal Year 2027 Budget 09/30/2025 5 Conduct SFY 2027 State Budget Process 06/30/2026 6 Finalize implementation plan, including new Provider Registration Agreement for all CCDF contracted child care providers (effective October 2026) 07/31/2026 7 Submit State Plan amendment 08/31/2026
Reason(s) for non-compliance: • The Lead Agency’s payment rates for preschoolers in center-based care and preschoolers in family child care homes are not sufficient to ensure equal access, as required by 98.45(a). (Plan Question 4.3.2a) Overall Target Completion Date: 08/31/2025 Action Step Number Action Step Description Target Completion Date 1 Lead Agency SFY 2026 budget request includes an increase to all child care provider reimbursement rates to at least the 50th percentile of the 2024 Market Rate Survey, and maintains enhanced quality rates at 50% increase above the base rate for providers demonstrating high quality 09/30/2024 2 Final SFY2026 State Budget package is signed 06/30/2025 3 Implement new rates, pending available funding 07/31/2025 4 Submit State Plan Amendment 08/31/2025
Reason(s) for non-compliance: • The Lead Agency does not provide grants or contracts for direct services for infants and toddlers, for children in underserved geographic areas, and for children with disabilities, as required by 98.30(b)(1). (Plan Questions 4.1.1c and 4.5.1i). Please note the Lead Agency has an approved waiver for this requirement through August 1, 2026. Overall Target Completion Date: 09/30/2026 Action Step Number Action Step Description Target Completion Date 1 Develop a plan with timelines for providing grants and contracts for direct services, to include technology implementation as well as fiscal, program, policy. 07/31/2025 2 Align with DES Financial Services Administration on cost implications and children served 09/30/2025 3 Conduct Stakeholder engagement, including internal partners, child care providers, family and community advocates, state agency partners 07/31/2025 4 Submit agency request for State Fiscal Year 2027 Budget 09/30/2025 5 Conduct SFY 2027 State Budget Process 06/30/2026 6 Implementation of contracts/grants 07/31/2026 7 Submit State Plan amendment 09/30/2026
Reason(s) for non-compliance: • The Lead Agency does not adequately describe strategies to improve the supply and quality of child care for children with disabilities or during non-traditional hours, as required by 98.16(y) and (aa). (Plan Questions 4.5.4c and 4.5.4d) Overall Target Completion Date: 09/30/2026 Action Step Number Action Step Description Target Completion Date 1 Review OCC Technical Assistance provided in 2024 related to non-traditional hours 03/31/2025 2 Develop a plan with timelines to include potential cross-impact on other equal access implementation plans 07/31/2025 3 Determine cost implications and fiscal impact, in partnership with Financial Services Administration 08/31/2025 4 Final decision making on inclusion of proposal in SFY2027 Division Budget package 09/30/2025 5 Conduct SFY 2027 State Budget Process 06/30/2026 6 Implement strategies, pending available funding capacity 07/30/2026 7 Submit State Plan Amendment 09/30/2026
Reason(s) for non-compliance: • The Lead Agency does not require pre-service or orientation training on child development for licensed centers, licensed family child care providers, license-exempt family child care providers, or license-exempt in-home providers, as required by 98.44(b)(1)(iii). (Plan Question 5.4.1l) • The Lead Agency does not require an annual unannounced inspection for licensed centers or licensed family child care providers, or an annual inspection for license- exempt family child care providers for compliance with pre-service or orientation training requirements related to child development, as required by 98.42(b)(2)(i)(B) and 98.42(b)(2)(ii). (Plan Questions 5.5.1aii, 5.5.1bii, and 5.5.2bi) Overall Target Completion Date: 07/31/2025 Action Step Number Action Step Description Target Completion Date 1 Communicate with the provider network on the requirements of the preservice health and safety training pathway 11/30/2024 2 Conducted training on updated pathway and new compliance monitoring tool with the Provider Network and Support Team 11/30/2024 3 Launch new pathway that is inclusive of child development and pediatric CPR/First Aid 01/31/2025 4 Launch new monitoring protocol for pre-service and ongoing training compliance conducted by DES 01/31/2025 5 Department of Health Services Child Care Licensing Rules completed, which include child development as a training topic (estimated completion date based on Rulemaking process) 06/30/2025 6 Submit State Plan amendment 07/31/2025
Reason(s) for non-compliance: • The Lead Agency standard for emergency preparedness and response planning does not include all the required elements for licensed centers and licensed family child care providers, as required by 98.41(a)(1)(vii). (Plan Question 5.3.7x) • The Lead Agency does not require an unannounced annual inspection for licensed centers or licensed family child care providers or an annual inspection for license- exempt family child care providers for compliance with a standard for emergency preparedness and response planning, as required by 98.42(b)(2)(i)(B) and 98.42(b)(2)(ii). (Plan Questions 5.5.1aii, 5.5.1bii, and 5.5.2bi) Overall Target Completion Date: 06/30/2025 Action Step Number Action Step Description Target Completion Date 1 Confirmed with Department of Health Services (DHS) Child Care Licensing Bureau that the required Emergency Response training includes accommodations for infants and toddlers 04/30/2024 2 Department of Health Services Child Care Licensing Rules completed which include accommodations for infants and toddlers in the emergency preparedness and response planning requirements (estimated completion date based on Rulemaking process). 06/30/2025 3 Coordinate with DHS to include emergency preparedness and response planning component in the DHS child care licensing monitoring tool 09/30/2025 4 The new Provider Registration Agreement effective 10/1/2026 for all contracted child care providers includes all required elements for the emergency preparedness and response planning. 10/01/2026 5 Submit State Plan amendment 10/30/2026
Reason(s) for non-compliance: • The Lead Agency does not have requirements for ongoing training on health and safety standards for license-exempt family child care providers and license-exempt in-home providers, as required by 98.44(b)(2)(i). (Plan Questions 5.6.1d and 5.6.1e) • The Lead Agency does not require an annual inspection for license-exempt family child care providers for compliance with ongoing training on health and safety requirements, as required by 98.42(b)(2)(ii). (Plan Question 5.5.2bi) Overall Target Completion Date: 11/30/2025 Action Step Number Action Step Description Target Completion Date 1 Update Draft language in Article 52 (6 A.A.C.5) to include requirements for ongoing training on health and safety standards for license-exempt family child care providers and license-exempt in- home providers 11/30/2024 2 Agency conducts rule making process; Article 52 approved (estimated completion date based on Rulemaking process) 06/30/2025 3 Conduct communication with certified family child care home and in-home providers notifying of changes 10/31/2025 4 Update monitoring tools for certified family child care home and in-home providers 10/31/2025 5 Submit State Plan amendment 11/30/2025
Reason(s) for non-compliance: • The Lead Agency has not established a standard for pediatric first aid for all staff for license-exempt family child care providers or license-exempt in-home providers, as required by 98.41(a)(1)(x). (Plan Questions 5.3.10av and 5.3.10avi) • The Lead Agency does not require pre-service or orientation training on pediatric first aid for license-exempt family child care providers or license-exempt in-home providers, as required by 98.44(b)(1)(i). (Plan Question 5.4.1j) • The Lead Agency does not require an annual inspection for license-exempt family child care providers for compliance with a standard for pediatric first aid and with related pre- service or orientation training requirements, as required by 98.42(b)(2)(ii). (Plan Question 5.5.2bi) Overall Target Completion Date: 11/30/2025 Action Step Number Action Step Description Target Completion Date 1 Update Draft language in Article 52 (6 A.A.C.5) to include requirements for pediatric first aid including training for license-exempt family child care providers and license-exempt in-home providers 11/30/2024 2 Agency conducts rule making process; Article 52 approved (estimated completion date based on Rulemaking process) 06/30/2025 3 Conduct communication with certified family child care home providers notifying of changes 10/31/2025 4 Implement requirement for pre-service or orientation training on pediatric first aid for certified family child care home providers. 10/31/2025 5 Update monitoring tools for certified family child care home and in-home providers 10/31/2025 6 Submit State Plan amendment 11/30/2025
Reason(s) for non-compliance: • The Lead Agency does not post full monitoring and inspection reports that include all areas of compliance and non-compliance for licensed centers, licensed family child care providers, license-exempt family child care providers, or license-exempt in-home providers, as required by 98.33(a)(4). (Plan Question 5.5.4aii). Please note the Lead Agency has an approved waiver for portions of this requirement through August 1, 2026. • The Lead Agency monitoring and inspection reports do not contain all the required elements, specifically corrective action taken by the State and child care provider, as required by 98.33(a)(4). (Plan Question 5.5.4b) • The Lead Agency does not certify that the monitoring and inspection reports are in plain language that is understandable to parents and other consumers, as required by 98.33(a)(4). (Plan Question 5.5.4d) Overall Target Completion Date: 10/31/2026 Action Step Number Action Step Description Target Completion Date 1 Develop a project plan in coordination with the Department of Health Services (DHS), the licensing agency for child care centers and certified group homes, reviewing prior TA from OCC 04/30/2025 2 Identify and address any technology barriers to posting the reports for the provider network 04/30/2026 3 Prepare for plain language implementation 06/30/2026 4 Full reports posted on website 09/30/2026 5 Submit state plan amendment 10/31/2026
Reason(s) for non-compliance: • The Lead Agency has not established a standard for the prevention of shaken baby syndrome and abusive head trauma for licensed centers or licensed family child care providers, as required by 98.41(a)(1)(vi). (Plan Questions 5.3.6ai and 5.3.6aii) • The Lead Agency does not require an unannounced annual inspection for licensed centers or licensed family child care providers for compliance with a standard for prevention of shaken baby syndrome and abusive head trauma, as required by 98.42(b)(2)(i)(B). (Plan Questions 5.5.1aii and 5.5.1bii) Overall Target Completion Date: 11/30/2025 Action Step Number Action Step Description Target Completion Date 1 Update Article 52, Certification and Supervision of Family Child Care Home Providers (6 A.A.C. 5) and Department of Health Services )(DHS) Care Licensing Rules (9 A.A.C. 5) 11/30/2024 2 Article 52 approved (estimated completion date based on Rulemaking process) 06/30/2025 3 DHS child care licensing rules approved (estimated completion date based on Rulemaking process) 06/30/2025 4 Conduct communication with child care providers notifying of changes 10/31/2025 5 Update monitoring tools for child care providers 10/31/2025 6 Submit state plan amendment 11/30/2025
Reason(s) for non-compliance: • The Lead Agency does not require an annual unannounced inspection for licensed centers or licensed family child care providers for compliance with standards for ratio and group size, as required by 98.42(b)(2)(i)(B). (Plan Questions 5.5.1aii and 5.5.1bii) Overall Target Completion Date: 09/25/2025 Action Step Number Action Step Description Target Completion Date 1 Conduct a crosswalk review of the Department of Health Services (DHS) licensing inspection tool with CCDBG requirements and identify gaps 03/31/2025 2 Coordinate with DHS to update the licensing monitoring tool 04/30/2025 3 Establish amendment to DHS contract that includes updated requirements, as needed 05/31/2025 4 DHS implements new licensing monitoring tool/procedures 07/31/2025 5 Submit state plan amendment 09/30/2025
Reason(s) for non-compliance: • The Lead Agency does not limit exemptions of health and safety requirements to allowable relatives, as required by 98.42(c) and 98.43(a)(2). (Plan Question 5.8.1) Overall Target Completion Date: 09/30/2026 Action Step Number Action Step Description Target Completion Date 1 Submit legislative proposal to revise statutory reference to great aunts and great uncles, effective 2026 Legislative Session 09/30/2025 2 Incorporate changes in draft Article 49 (R6-5- 4901) 09/30/2025 3 Pending legislative and rulemaking approval, align internal policy definitions and update Non- Certified Relative Provider Registration Agreement 07/31/2026 4 Submit State Plan amendment 09/30/2026 COMPREHENSIVE BACKGROUND CHECK:5 YEAR RENEWAL Reason(s) for non-compliance: • The Lead Agency does not conduct all background checks every 5 years, as required by 98.43(d)(2)(ii). (Plan Question 5.7.17 Overall Target Completion Date: 10/31/2026 Action Step Number Action Step Description Target Completion Date 1 Convene Department leads, including legislative service, procurement, IT, fiscal, provider network to review current and future state of CCDBG background checks compliance, outlining next steps for IT solutions and solutions requiring legislative change or interagency partnerships. 02/28/2025 2 Submit SFY26 Legislative proposal for changes needed to level one fingerprint clearance card, including any budgetary requests if applicable, to comply with CCDBG requirements and submit for approval 09/30/2025 3 Pending legislative and interagency law enforcement approval, implement changes for level one fingerprint clearance card. 10/31/2026 4 Submit State Plan amendment 10/31/2026
Reason(s) for non-compliance: • The Lead Agency’s Statewide Disaster Plan does not include all required elements, as required by 98.16(dd)(2)(iii)(A). (Plan Question 8.5.1bv) Overall Target Completion Date: 09/30/2025 Action Step Number Action Step Description Target Completion Date 1 Crosswalk the Provider Registration Agreement and Division of Child Care Emergency Preparedness and Response Plan (Lead Agency Statewide Disaster Plan) with the CCDBG requirements 04/30/2025 2 Address any identified gaps, align with new Division plan, and update the Emergency Preparedness and Response Plan (Lead Agency Statewide Disaster Plan) 07/31/2025 3 Submit State Plan amendment 09/30/2025