**Child Care and Development Fund **\
**ACF-801 Case-Level Data Submission Guidelines**

***Technical Bulletin #5***\
***Revised: January 21, 1998***

**I. Introduction**

Before submitting their first ACF-801 report, States must inform ACF
whether they will (a) report data for all CCDF families (full population
reporting) or if they will (b) submit a systematic random sample
representing the State\'s monthly CCDF caseload (monthly sample
reporting). States reporting their full CCDF population must send a
**Letter of Intent** to ACF by February 28, 1998. States choosing to
submit monthly samples must submit an **Annual Sampling Plan** to ACF by
February 28, 1998. These documents are described in this Technical
Bulletin. Examples of each of these documents are also included in
Appendices I and II. A glossary of commonly used terms and a sampling
plan worksheet are included in Appendices III and IV.

States must also inform ACF whether or not they separate CCDF funds from
non-CCDF funds. States who pool CCDF funds with non-CCDF funds are
required to report families served by all child care funds. States using
a pooled method must also report the percentage of dollars that each
fund contributes to the total funds for child care. This is a
requirement of all States regardless of the type (population or sample)
of data they choose to submit. (Note: CCDF funds are the following State
and Federal funds\--discretionary, mandatory, State and Federal
matching, MOE, and transfers from TANF. Non-CCDF funds include funds
such as Title XX, State funds not used for match, and others.)

**II. Population Submissions**

States may choose to report their entire caseload of all families served
by the CCDF program each month, instead of a monthly sample.

States that choose to submit their entire monthly CCDF caseload, are
required to submit a **Letter of Intent** indicating their intent to
report data for their entire CCDF population. If States pool CCDF funds
with non-CCDF funds, they must report the percentage~~s~~ of dollars
that each fund contributed to the total used for child care.

The **Letter of Intent** must include the following information (See
Appendix I for an example):

· The State\'s intent to submit entire monthly CCDF caseloads;

· The proportional contribution of all non-CCDF funds to the entire CCDF
reporting pool, if a pooled child care fund is used.

· The interval between each monthly submission (one per month or three
monthly submissions per annual quarter); and

· The name, telephone number, and e-mail address (if available) of at
least one State contact person.

**III. Sample Submissions**

States that choose to submit monthly samples of approximately 200 cases,
instead of their entire CCDF caseload, must follow standard sampling
methodology to ensure the integrity of their samples.

1\. Sample Methodology-Overview

The sample methodology must conform to principles of probability
sampling. That is, each family in the CCDF caseload must have an equal
probability of being selected. A sample frame, which is an unduplicated
list of all families currently served by CCDF funds, must be constructed
for each month. The monthly sample may be submitted each month or three
monthly samples may be submitted together on a quarterly basis.
Approximately one-twelfth (n = 200) of the required minimum annual
sample size (n = 2,400) must be selected from each monthly sample frame.

2\. Systematic Random Sampling

Systematic random sampling is the preferred method for CCDF purposes.
This method provides a system for selection of an individual unit from a
file, list, or computer tape at equally spaced intervals (such as every
10th, 140th, 950th, etc., to obtain the desired sample size). The
starting point within the first interval is determined by random
selection. A starting point can be selected with a random numbers table
or automated procedure that can randomly select numbers. The sampling
interval is determined by dividing the estimated average monthly
caseload by the required average monthly sample size (n = 200). For
example, if your estimated average monthly caseload were 22,232, the
sampling interval (22,232 / 200) would be 111. Every 111^th^ case would
be drawn from the sample frame to obtain the monthly (approximately n =
200) sample. This number is approximate since as the monthly population
fluctuates, so too will the final outcome of the systematic random
sample. If you pull every 111^th^ case from a population that is a
little more or less than the average of 22,232, the actual monthly
sample size increases or decreases slightly.

A worksheet is attached in Appendix IV to assist States with the steps
and procedures for determining their average monthly caseload and
sampling interval.

3\. Sampling Frame

A sampling frame is an unduplicated list of families served by CCDF
funds. Each sampling frame must include families served by CDDF Federal
and State funding streams, including mandatory and discretionary funds
transferred from TANF, federal and State matching and State MOE funds.

4\. Annual Sample Size Requirement

The minimum required annual sample size for families receiving
assistance is 2,400. This minimum sample size will provide reasonably
precise estimates, with a precision of about plus or minus 2 percentage
points, for an attribute of .5 at a 95% confidence level. To assure
proportional representation for the whole fiscal year, States will have
to report approximately 200 cases (one-twelfth of the annual sample
size) each reporting month.

5\. Sampling Plan

Each State must submit for ACF approval to the Regional Administrator an
**Annual Sampling Plan** or any changes to the currently approved
sampling plan at least sixty (60) calendar days before the start of the
reporting period fiscal year (February 28, 1998 for FY98; August 1, 1998
for FY99). If the State\'s sampling plan is unchanged from the previous
year, the State is not required to resubmit a new one. The annual
sampling plan must include the following components (see Appendix II for
an example of a State Annual Sampling Plan):

a\. Documentation of methods for constructing and maintaining the sample
frame(s), including an assessment of frame completeness and any
potential problems associated with using the sample frame(s);

b\. Documentation of methods for selecting the sample cases from the
sample frame(s);

c\. The estimated average monthly caseload for the annual sample period
and the computed sample interval to the ACF Regional Administrator
thirty (30) calendar days before the beginning of the annual sample
period (March 2, 1998 for FY98, September 1, 1998 for FY99).

d\. States that use a pooled method to construct their sampling frame
(the pooled fund includes both CCDF funding streams and non-CCDF funding
streams) must report to ACF the percentage contribution of each funding
stream of the total CCDF for each reporting month.

e\. States that choose to submit records monthly rather than quarterly
must inform the Child Care Bureau about their intentions in the annual
sampling plan.

6\. Weighting Sample Data

Thirty days prior to the end of the annual reporting period (September
1, 1998 for FY98, and September 1, 1999 for FY 99) States must submit
the (actual) total number of families receiving assistance under the
State CCDF program for each month in the annual sample period. This
number should equal the total number of cases included in each monthly
sample frame. This data is required for weighting the sample results in
order to produce estimates for the entire caseload.

**IV. Summary of Due Dates**

+----------------+----------------+----------------+----------------+
| **D            | **Components** | **Due Date     | **Send to:**   |
| ocumentation** |                | FY98 and FY    |                |
|                |                | 99**           |                |
+----------------+----------------+----------------+----------------+
|                |                |                |                |
+----------------+----------------+----------------+----------------+
| Sampling Plan  | **· **         | -   Document   | ACF Regional   |
|                |                |     sampling   | Office         |
|                | -   Describe   |                |                |
|                |     sampling   |    methodology |                |
|                |     frame      |                |                |
|                |                | FY98: 2/28/98  |                |
|                | **· **         |                |                |
|                |                | FY99: 8/1/98   |                |
+----------------+----------------+----------------+----------------+
| Additional due | **· **         | -   Sample     | ACF Regional   |
| dates for      |                |     Interval   | Office         |
| States who     | -   Average    |                |                |
| submit         |     monthly    | FY98: 3/2/98   |                |
| sa             |     caseload   |                |                |
| mples\--*Prior |                | FY99: 9/1/98   |                |
| to first       | **· **         |                |                |
| report period* |                |                |                |
+----------------+----------------+----------------+----------------+
| Additional due | **· **         | -   Actual     | ACF Regional   |
| dates for      |                |     monthly    | Office         |
| States who     |                |     number of  |                |
| submit         |                |     families   |                |
| sam            |                |     receiving  |                |
| ples\--*Before |                |     CCDF funds |                |
| end of report  |                |                |                |
| period*        |                | FY98: 9/1/98   |                |
|                |                |                |                |
|                |                | FY99: 9/1/99   |                |
+----------------+----------------+----------------+----------------+
|                |                |                |                |
+----------------+----------------+----------------+----------------+
| Letter of      | **· **         | -   Describe   | ACF Regional   |
| Intent         |                |     sampling   | Office         |
|                |                |     frame      |                |
|                |                |                |                |
|                |                | FY98: 2/28/98  |                |
|                |                |                |                |
|                |                | FY99: 8/1/98   |                |
+----------------+----------------+----------------+----------------+
|                |                |                |                |
+----------------+----------------+----------------+----------------+

**APPENDIX I**

**Letter of Intent**

***Example***

February 28, 1998

Regional Administrator

ACF Regional Office

2222 Main Street Suite 600

City A, State A 99999

Dear:

The State of A will submit entire monthly populations, instead of sample
data, to fulfill the requirements of the CCDF federal child care
reporting guidelines. Our State uses a pooled universe comprised of both
CCDF and non-CCDF funds. Our pool consists of the following: CCDF funds
(80%), Title XX funds (9%), and JTPA funds (11%). We will submit the
monthly populations on a quarterly basis.

If you have any questions about the information contained in this
letter, please contact Elizabeth Joehawkawitz, Chief of the MIS and
Reporting Division at (599) 599-9999.

Sincerely,

Child Care Administrator

**APPENDIX II**

**Annual Sampling Plan**

***Example***

In accordance with the federal subsidized child care reporting
requirements, the State of A (the State) has prepared a Sampling Plan
which describes 1) the methods used for constructing and maintaining the
State's sampling frames and 2) documentation of the methods used for
drawing monthly samples.

**1. Methods Used for Constructing and Maintaining the Sampling Frames**

**Scenario A**

The State currently does not maintain a single electronic file
consisting of all unduplicated families served by CCDF funds. Because
the State maintains 14 county-based systems, monthly ***sampling
frames**** *will be a compilation of the lists from all 14 systems.

The 14 Child Care systems do not use the same case identifiers. Six of
the county based systems use the primary caregiver's social security
number and 7 use an algorithm that assigns a unique number to each
family. One county-based system uses an algorithm that assigns a unique
number to each child in care. The name/date of birth sequence resulted
in many duplicate records because of variations in the way names are
spelled.

In order to minimize duplication, the State will use a single compiled
data file from the 14 systems and a SOUNDEX search procedure which
matches like sounding character fields/names. SOUNDEX is a Dbase
compatible search procedure. Each month the 14 systems will e-mail a
data file to the Child Care programs division. The files will be
compiled and the SOUNDEX procedure will automatically match like
sounding names, identical birth dates, and race categories within and
among the 14 files. A match on all three variables (name, birth date,
and race category) among at least two cases, will be an indication that
a duplicate case exists. The State's Child Care Program Director will
investigate and delete duplicate cases from the SOUNDEX list to create
the monthly sampling frames. This procedure will be repeated each month
so that a new (unduplicated) sampling frame is created for each monthly
sample.

## Scenario B

The monthly sampling frames (a list of all unduplicated families served
by CCDF funds) will be provided by the State's Department of Human
Resources, which maintains an unduplicated list of all of the families
served by CCDF funds in the State. Each month the Department of Human
Resources will send an electronic data file to the Child Care Programs
Division with the names of all families served by CCDF funds. This
unduplicated list will serve as the sampling frame.

**2. Documentation of the Methods for Drawing Monthly Samples**

**Scenario A**

# Sampling Methodology

The State will use a systematic random sampling methodology in which
every *kth* case/family is selected from the sampling frame (N = 22,230)
to draw the monthly samples (n = 200). An estimate of the monthly
caseload was made by averaging the sampling frame values for October
1997, November 1997 and December 1997 (Mean = 22,230 families). The
monthly caseload estimate was used to estimate the sampling interval
(22,230 200 = 111.15). An automated procedure, programmed in Access, was
created to select every *kth* case, depending on the sampling interval,
from the sampling frame to construct the monthly samples. Each month, a
random numbers table (Finlay and Agreski 1993) will be used to select a
random starting point for case selection.

The State will submit monthly total caseload values and three monthly
samples each annual quarter.

# Data Collection

The State does not maintain a system that includes CCIS data elements,
therefore, data collection/data mapping, will be performed manually by
reviewing case files and mapping the case file information to fields in
an Access (.mdb) database. All of the information required for federal
reporting is included in the case files.

#  Funds

The State pools CCDF funds with Title XX and private funds. The
proportionate contribution of funds from each funding stream is as
follows: CCDF funds (80%), Title XX funds (9%), and JTPA funds (11%).

**Scenario B**

# Sampling Methodology

The State will use a simple random sampling methodology to report
case-level information to the federal Child Care Bureau. This procedure
is equivalent to systematic sampling (i.e. each case/family record has
an equal probability of selection). In simple random sampling it is not
necessary to select a sampling interval or starting point, because the
records are drawn from the sampling frame randomly. Each month an
unduplicated list of cases will be created and a sample of the
appropriate size (n = 200) will be drawn. The estimated monthly
caseload, based on a three month average, is 22,230. Actual monthly
caseload values will be submitted along with the monthly submissions
each quarter.

# Data Collection

We will use an automated procedure to capture and map data elements that
are currently collected by the existing automated system. The Department
of Human Resources' system currently stores basic demographic
information about families served by CCDF funds. These include: race of
primary caregiver, gender, age of primary caregiver, ages of children in
the family, and type of child care (center-based/home-based). All other
CCIS data elements will be collected and mapped manually from case files
and entered into the same data file as the existing information.

We will submit monthly *total* caseload values and samples (n = 200)
each month to the federal Child Care Bureau.

# Funds

The State does not pool CCDF with non-CCDF funds.

**APPENDIX III**

***Glossary***

+---------------------+-----------------------------------------------+
| ### Terms/Phrases   | ## Definitions                                |
+---------------------+-----------------------------------------------+
|                     |                                               |
+---------------------+-----------------------------------------------+
| Letter of Intent    | A letter stating an agency's intent to submit |
|                     | full monthly populations. The letter of       |
|                     | intent should include the proportional        |
|                     | contribution of CCDF and non-CCDF resources   |
|                     | included in the total CCDF pool.              |
+---------------------+-----------------------------------------------+
| Pooled Method       | States that use the pooled method of funding  |
|                     | combine CCDF resources with other non-CCDF    |
| Of Funding          | resources. States that use the pooled         |
|                     |                                               |
|                     | method of funding are required to include the |
|                     | proportional                                  |
|                     |                                               |
|                     | contributions of each funding source to total |
|                     | CCDF funds, in their                          |
|                     |                                               |
|                     | Letter of Intent or Sampling Plan.            |
+---------------------+-----------------------------------------------+
| Population          | All families and children served by CCDF      |
|                     | funds.                                        |
+---------------------+-----------------------------------------------+
| Required Minimum    | Federal child care reporting guidelines       |
|                     | require that States submit at least 200 cases |
| Sample Size         | per month. When annualized, the 200 cases     |
|                     | will equal a sample of n = 2,400 cases. This  |
|                     | sample size has a confidence interval of +-2  |
|                     | percentage points.                            |
+---------------------+-----------------------------------------------+
| Probability Sample  | A statistically representative group of cases |
|                     | used to approximate                           |
|                     |                                               |
|                     | population parameters.                        |
+---------------------+-----------------------------------------------+
| Sampling Frame      | The (unduplicated) list of cases composing a  |
|                     | population.                                   |
+---------------------+-----------------------------------------------+
| Sampling Interval   | The standard distance between cases selected  |
|                     | from a population for a sample.               |
+---------------------+-----------------------------------------------+
| Sampling Plan       | A brief document that describes the methods   |
|                     | used for constructing and maintaining the     |
|                     | monthly sampling frames and documentation of  |
|                     | the methods for drawing monthly samples.      |
+---------------------+-----------------------------------------------+
|                     |                                               |
+---------------------+-----------------------------------------------+
| Systematic Sampling | A probability sample in which every *kth*     |
|                     | unit in a list is selected for inclusion in   |
|                     | the sample.                                   |
+---------------------+-----------------------------------------------+
|                     |                                               |
+---------------------+-----------------------------------------------+

**APPENDIX IV**

**Drawing Monthly Samples**

***Worksheet***

**Step 1: Estimate Average Monthly Caseload for FY 1998**

· *Hint: Add each month\'s estimated caseload together for a total and
divide by 12 months. See example worksheet below:*

[Total Estimated Caseload]{.underline} = [266784]{.underline} =
**22,232**

12 months 12

*EXAMPLE*

  -- -- ----------- ---------------------------------------
        **Month**   **FY 98 Estimated Monthly Caseloads**
                    
        October     21125
        November    21615
        December    23112
        January     23023
        February    21100
        March       21059
        April       21795
        May         21895
        June        23656
        July        24063
        August      22916
        September   21328
                    
        **Total**   
                    
  -- -- ----------- ---------------------------------------

*STATE*

· *Hint: Complete this table for your own State to assist in finding
your estimated average monthly caseload.*

STATE: [Total Estimated Caseload]{.underline} [ ]{.underline} =

12 months 12

*STATE WORKSHEET*

  -- ----------- ---------------------------------------
     **Month**   **FY 98 Estimated Monthly Caseloads**
                 
     October     
     November    
     December    
     January     
     February    
     March       
     April       
     May         
     June        
     July        
     August      
     September   
                 
     **Total**   
                 
  -- ----------- ---------------------------------------

**Step 2: Calculate Sample Interval**

EXAMPLE: [Average monthly caseload for 1998]{.underline}
[22,232]{.underline} = 111

Approx. average monthly sample 200

STATE: [Average monthly caseload for 1998]{.underline} [ ]{.underline}

Approximate average monthly sample 200

**Step 3: Randomly Select Starting Point**

· *Hint: Use SAS/SPSS or table of random numbers. You can ask SAS or
SPSS to randomly pick a case to start your sampling process. A random
number table is useful when these packages are not available (see next
page for instructions and a table). The \"randomness\" of selecting the
starting point is very important for the reliability of the data which
is supplied to CCB. Please contact Michael Dubinsky at the Child Care
Bureau (202) 401-3442 if you need assistance. *

**Step 4: Pull Cases Using the Sampling Interval**

· *Hint: Beginning with the starting point selected in Step 4, pick that
case and every *Kth* case following depending on your sampling interval
selected in Step 2. Be sure to select every *Kth* case of the population
without going back over the original starting point. You will have
selected approximately 200 cases.*