Department of Health and Human Services 
OFFICE OF 
 
INSPECTOR GENERAL 
 
 
 
 
 
T R
  HE  ESPONSE TO 
 
S S
  UPERSTORM  ANDY 
 
H
  IGHLIGHTS THE 
 
I R
MPORTANCE OF  ECOVERY 
 
 
P C C
LANNING FOR  HILD  ARE 
N  
ATIONWIDE 
 
Suzanne Murrin  
Deputy Inspector General for 
Evaluation and Inspections 
 
December 2015 
OEI-04-14-00410   
EXECUTIVE SUMMARY:  THE RESPONSE TO SUPERSTORM SANDY 
HIGHLIGHTS THE IMPORTANCE OF RECOVERY PLANNING FOR CHILD CARE 
NATIONWIDE (OEI-04-14-00410) 
 
WHY WE DID THIS STUDY 
The availability of child care after an emergency or disaster is an important part of recovery 
efforts because it ensures that children are safe while parents make efforts to rebuild their lives 
and communities.  When Superstorm Sandy made landfall on October 29, 2012, it caused 
widespread flooding that substantially disrupted child care services in New Jersey and New 
York. Lessons learned from these States experiences in responding to and recovering from  
Superstorm Sandy could help the Administration for Children and Families (ACF) to improve 
nationwide emergency preparedness for child care.  In February 2011, ACF recommended that 
each State develop a statewide disaster plan for child care, and legislation enacted in November 
2014 requires each State to do so.  
 
HOW WE DID THIS STUDY  
We collected information from the lead agencies in New Jersey and New York that administer 
the Child Care and Development Fund (CCDF) program.  In fiscal year (FY) 2015, the CCDF 
program made $5.35 billion available to States to help low-income families obtain child care so 
that parent(s) could work or participate in training or education. Specifically, we collected 
information on each States emergency preparedness for, response to, and recovery from  
Superstorm Sandy as related to child care.  We also conducted telephone interviews with 
15 child care providers in these States to gain insight about their experiences during and after 
Superstorm Sandy.  Additionally, we collected information from ACF and reviewed all 
51 States CCDF plans for FYs 2014 and 2015 to determine the status of States emergency 
planning for child care since Superstorm Sandy.  
 
WHAT WE FOUND 
Before Superstorm Sandy, New Jersey and New Yorks emergency planning did not include the 
development of strategies for the restoring or rebuilding of child care facilities and infrastructure 
after a disaster as recommended by ACF.  After Superstorm Sandy, these States established 
post-disaster task forces that assisted child care providers with the recovery and rebuilding 
process. However, some child care providers in New Jersey and New York still reported 
challenges with rebuilding after Superstorm Sandy.  These challenges included paying for repairs 
out of pocket and a lengthy application process for disaster assistance.  Since Superstorm Sandy, 
ACF has taken steps to improve nationwide emergency preparedness, response, and recovery for 
child care. However, in their respective CCDF plans for FYs 2014 and 2015, less than half of all 
States reported including or planning to include the restoring or rebuilding of child care facilities 
and infrastructure after a disaster in their emergency preparedness and response plans.   
 
WHAT WE RECOMMEND 
Because of legislation enacted in November 2014, States are required to have statewide child 
care disaster plans.  However, the requirements do not explicitly specify that these plans must 
include planning for the restoring or rebuilding of child care facilities and infrastructure after a 
disaster. Therefore, we recommend that ACF require States to include planning for this area in 
their statewide child care disaster plans.  ACF concurred with this recommendation.   
 
TABLE OF CONTENTS 
 
Objectives ....................................................................................................1 

Background..................................................................................................2 

Methodology................................................................................................7 

Findings......................................................................................................10 

New Jersey and New Yorks emergency planning before Sandy 

did not include the rebuilding of child care facilities after a  

disaster ...........................................................................................10 

Post-disaster task forces in New Jersey and New York assisted 

child care providers with the recovery and rebuilding process 

after Sandy .....................................................................................11
  
Some child care providers in New Jersey and New York reported 
challenges with rebuilding after Sandy ..........................................12 

Since Sandy, ACF has taken steps to improve nationwide  

emergency preparedness, response, and recovery for child care ...15 

Less than half of all States emergency plans included the 

rebuilding of child care facilities after a disaster ...........................16 

Conclusion and Recommendation .............................................................18 

Agency Comments and Office of Inspector General Response .....20 

Appendixes ................................................................................................21 

A: ACF Information Memorandum:  Framework for 

Developing Emergency Preparedness and Response Plans for 

Child Care ......................................................................................21 

B: Disaster Assistance Available After Sandy ..............................25 

C: Detailed Methodology..............................................................26 

D: Agency Comments ...................................................................29 

Acknowledgments......................................................................................31 

   
   
OBJECTIVES 
1. 	  To determine the extent to which New Jersey and New York conducted 
emergency planning for child care before Superstorm Sandy. 
2. 	  To describe how New Jersey and New York assisted with the recovery 
and rebuilding process after Superstorm Sandy and how the storm  
impacted child care providers in New Jersey and New York. 
3. 	  To determine what actions the Administration for Children and 
Families (ACF) has taken since Superstorm Sandy to improve 
nationwide emergency preparedness, response, and recovery for child 
care.  
4. 	  To determine whether all States included or planned to include the five 
key areas from  ACFs recommended framework in their emergency 
preparedness and response plans for child care. 
RATIONALE 
Children and families have specific needssuch as family reunification 
and temporary child carethat must be considered before, during, and 
after an emergency or disaster.  The availability of child care can help 
expedite recovery efforts by ensuring that children are safe while parents 
visit damaged property, access public benefits, and make other efforts to 
rebuild their lives.1  
On October 29, 2012, Superstorm Sandy (hereinafter referred to as 
Sandy) made landfall in the northeastern United States, severely 
damaging coastal areas in excess of $50 billion.2   As a result of Sandy, 
697 child care providers in Connecticut, New Jersey, and New York closed 
and thousands more were impacted by the storm.3 Sandy substantially 
disrupted child care services, particularly in New York and New Jersey, 
____________________________________________________________ 
1 There are three phases of recovery after a  disaster:  short-term (days after disaster), 
intermediate (weeks to months after a disaster), and long-term (months to years after a 
disaster).   Federal Emergency  Management Agency  (FEMA),  National Disaster 
Recovery Framework:   Strengthening Disaster Recovery for the Nation, September 2011, 
p. 8.  Accessed at http://www.fema.gov/media-library-data/20130726-1820-25045-
5325/508_ndrf.pdf on June  23, 2015. 

2 National Oceanic and Atmospheric Administration,  Service Assessment:  

Hurricane/Post-Tropical  Cyclone  Sandy, October 2229, 2012, May 2013.  Accessed at 

http://www.nws.noaa.gov/os/assessments/pdfs/Sandy13.pdf on June  22, 2015. 
 
3 Institute of Medicine, Preparedness, Response and Recovery Considerations for 
Children and  Families, 2014, pp. 112 and 119.  Accessed  at 
http://www.nap.edu/catalog/18550/preparedness-response-and-recovery-considerations-
for-children-and-families-workshop  on October 28, 2014. 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   1 
   
   
and resulted in lessons learned that could improve emergency 
preparedness for child care nationwide. 
BACKGROUND 
Child Care and Development Fund 
ACF administers the Child Care and Development Fund (CCDF), which 
supports low-income working families through subsidized child care 
services and promotes childrens learning by improving the quality of 
early care and afterschool programs.4, 5 In FY 2015, the CCDF program  
made $5.35 billion available to States, territories, and tribes (hereinafter 
collectively referred to as States) to help low-income families obtain 
child care so that parent(s) could work or participate in training or 
education.6  The CCDF program helps 1.4 million children receive child 
care each month.7  
Federal Guidance for State Development of Emergency  
Preparedness and Response Plans for Child Care 
In February 2011, ACF issued an information memorandum to States 
administering child care programs under the CCDBG Act of 1990, as 
amended.8  In this memorandum, ACF recommendedbut did not have 
statutory authority to requirethat each State develop a plan to address 
emergency preparedness, response, and recovery efforts specific to child 
care services and programs (hereinafter referred to as emergency 
preparedness and response plans).  ACF outlined a framework that States  
should consider when developing and updating emergency preparedness 
____________________________________________________________ 
4 ACF,  Fundamentals of CCDF Administration.  Accessed at http://www.acf.hhs.gov/ 
programs/occ/resource/fundamentals-of-ccdf-administration on  July 30, 2014. 
5 The CCDF program is authorized  by the Child Care and Development Block Grant 
(CCDBG) Act  of 1990, as amended (42 U.S.C.  9858, et seq.) and section  418  of the 
Social Security Act, as amended (42 U.S.C.  618).  The  enactment  of the CCDBG Act  
of 2014, P.L. No. 113-186 (Nov. 19, 2014), reauthorized  and amended the CCDF 
program.  For ease of reference, we will cite to the U.S. Code and not the CCDBG Act. 
6 Approximately $2.435  billion in discretionary funding  was appropriated in the 
Consolidated and Further  Continuing Appropriations Act, 2015, P.L. No. 113-235  
(Dec. 16, 2014), and $2.917 billion  in  mandatory child care funding  was extended  for 
FY 2015  by the Consolidated and Further Continuing  Appropriations Act, 2015,   
P.L. No. 113-235 (Dec. 16, 2014). 

7 ACF,  Child Care and Development Block  Grant Act (CCDBG) of 2014 Basic FAQs, 

November 2014.  Accessed at http://www.acf.hhs.gov/sites/default/files/occ/ 

ccdbg_reauthorization_basic_faqs.pdf on  January 21, 2015. 

8 ACF,  Guidance to  assist Child Care and Development  Fund (CCDF) Lead Agencies in 
 
developing, exercising, and maintaining written child care  emergency preparedness and 
response plans pursuant to submission of the CCDF Plan  (CCDF-ACF-IM-2011-01), 
February 17, 2011.  Accessed at http://www.acf.hhs.gov/sites/default/files/occ/ 
im2011_01.pdf on February 11, 2014.  
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   2 
   
   
and response plans. This framework consists of five key areas, shown in 
Table 1, that are further broken out into elements, shown in Appendix A.   
Table 1: Five Key Areas in Framework for States Emergency  
Preparedness and Response Plans for Child Care  
Key Area   Description 
Includes provisions for continuing core CCDF functions, continuing 
Planning for continuation of  payments to child care providers serving children receiving subsidies, 
1 
services to CCDF families   assistance to impacted families, communication plans, and data security  
and storage  
Includes coordination with State and local emergency management 
Coordination with other 
agencies, State agencies (e.g., child care licensing and regulatory  
2  State/territorial agencies 
agencies), volunteer/advocacy organizations, child care resource and 
and key partners 
referral (CCR&R) agencies, and contractors and businesses 
Includes coordination with child care licensing and regulatory agencies to 
Emergency preparedness 
ensure child care providers plan in advance for disasters and strategies to 
3  regulatory requirements for 
provide ongoing technical assistance and training to child care providers 
child care providers  
to help prepare for emergencies and disasters 
Includes coordination with emergency management agencies, voluntary 
Provision of temporary child  organizations, and CCR&R agencies; temporary operating standards or 
4  care services after a  provisions for temporarily waiving certain child care regulatory  
disaster   requirements; and identification and training of preapproved child care 
providers that can provide temporary child care after a disaster.  
Includes strategies for working with emergency  officials, licensing 
Restoring or rebuilding child 
agencies, and public health officials to conduct timely damage 
care facilities and 
5  assessments, education/training for child care providers to ensure 
infrastructure after a 
business continuity, and information to child care providers on available 
disaster  
financial assistance   
Note:  The wording of  certain key areas titles was slightly different between the information memorandum and the CCDF plan for FYs 2014 

and 2015.  To be consistent in this  report, we used  the wording from Section  1.6.2 in the CCDF plan. 

Source:  ACF, Guidance to assist Child Care and Development Fund (CCDF) Lead Agencies in  developing, exercising,  and maintaining 

written  child care emergency preparedness and response  plans pursuant to submission of the CCDF Plan (CCDF-ACF-IM-2011-01), 

February 17, 2011. 

 
For a State to be eligible to receive CCDF funds, the State must submit a 
CCDF plan for ACF review and approval.9 ACF asked each State to 
indicate in its CCDF plan for FYs 2014 and 2015 the status of its 
emergency planning efforts.  ACF also requested that each State indicate 
whether the five key areas were or would be included in its emergency 
planning efforts.  ACF used this information to identify States technical 
assistance needs.10    
Federal Requirements for Statewide Child Care Disaster Plans  
On November 19, 2014, the President signed into law the CCDBG Act of 
2014, which reauthorized the CCDF program and established the 
____________________________________________________________ 
9  42 U.S.C.  9858c(a).  The CCDBG Act of 2014, P.L. No. 113-186,   5(a) (Nov. 19, 
2014) requires that States submit a CCDF plan every 3 years.  42  U.S.C.  9858c(b).  
States previously submitted a CCDF plan every 2 years. 
10 ACF,  Technical Assistance. Accessed at http://www.acf.hhs.gov/programs/occ/ta on 
July 6, 2015.  Technical assistance topics  on emergency preparedness are listed at 
https://childcareta.acf.hhs.gov/topics/emergency-preparedness, accessed on July 6, 2015.   
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   3 
   
   
requirement for statewide child care disaster plans.11  In the statewide child 
care disaster plan, each State must demonstrate how it will address the 
needs of children in child care before, during, and after an emergency or 
disaster.12  Statewide child care disaster plans must include coordination of 
activities and collaboration among various State agenciesincluding 
those with jurisdiction over human services, State emergency planning, 
and licensing of child care providersand other organizations (e.g., child 
care resource and referral (CCR&R) agencies).13  The statute specifies that 
statewide child care disaster plans must include: 
 	  procedures for evacuation, relocation, sheltering in place, and 
lockdown; for communication and reunification with families, 
continuity of operations, and accommodation of infants and toddlers, 
children with disabilities, and children with chronic medical 
conditions; 
	   guidelines for the continuation of child care services in the period 
following the emergency or disaster, which may include the provision 
of emergency and temporary child care services, and temporary 
operating standards for child care providers during that period; and  
 	  procedures for staff and volunteer emergency preparedness training 
and practice drills.14  
The CCDBG Act of 2014 does not explicitly specify that statewide child  
care disaster plans must include planning for the restoring or rebuilding of 
child care facilities and infrastructure  after a disaster, which is the fifth key 
area in ACFs recommended framework for States emergency 
preparedness and response plans.  However, the statute requires a 
comprehensive statewide child care disaster plan that addresses the needs 
of children in child care through all the phases of recovery after a disaster, 
as described in the five key areas of ACFs framework. 
By March 1, 2016, in its CCDF plan for FYs 20162018, each State must 
certify that the statewide child care disaster plan is fully implemented and 
____________________________________________________________ 
11  The CCDBG Act of 2014, P.L. No. 113-186,  5(b)(2)(U) (Nov. 19, 2014) (42 U.S.C. 

 9858c(c)(2)(U).   See  5(b)(2)(U). 
 
12  42 U.S.C.  9858c(c)(2)(U)(i).  

13  42 U.S.C.  9858c(c)(2)(U)(ii). 

14  42 U.S.C.  9858c(c)(2)(U)(iii). 

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meets all requirements.15  If the State cannot certify compliance, it must 
provide justification and submit an implementation plan for achieving 
compliance by no later than September 30, 2016.16   
Disaster Assistance Available After Sandy 
On January 29, 2013, the President signed into law the Disaster Relief 
Appropriations Act, which provided approximately $50 billion to 
19 Federal agencies to help Sandy-impacted individuals and 
communities.17   This law provided the U.S. Department of Health and 
Human Services with approximately $800 million; however, automatic 
spending cutsknown as sequestrationreduced the funds received by 
the Department to $759.5 million.18  The law authorized $500 million of 
the unreduced amount to be transferred to the Social Services Block Grant 
(SSBG) program to be used for social, health, and mental health services 
for individuals and for the repair, renovation, and rebuilding of health 
care, child care, and other social services facilities.19 After sequestration, 
the total amount available for distribution to States was $474.5 million.20   
Of the funding transferred to the SSBG program, New Jersey and 
____________________________________________________________ 
15 ACF,  FFY 20162018 CCDF Plan Preprint Draft for Public Comment, Section 1.8.  
Accessed at https://www.acf.hhs.gov/sites/default/files/occ/ 
fy2016_2018_ccdf_plan_preprint_public_comment.pdf on July 6, 2015.  See also ACF, 
Guidance on  Extension and Submission Requirements for the FY 20162018 CCDF 
Plans for States and Territories (Program Instruction: CCDF-ACF-PI-2015-04), April 
10, 2015. Accessed at http://www.acf.hhs.gov/programs/  
occ/resource/guidance-on-extension-and-submission-requirements-for-the-fy-20162018-
ccdf-plans-for-states-and-territories on  June 3, 2015.  
16 ACF,  FFY 20162018 CCDF Plan Preprint Draft for Public Comment, Section 1.8.  
Accessed at https://www.acf.hhs.gov/sites/default/files/occ/ 
fy2016_2018_ccdf_plan_preprint_public_comment.pdf on July 6, 2015.   
17 The Disaster Relief Appropriations  Act, 2013, P.L. No. 113-2, Title X, Chapter 8  
(Jan. 29, 2013).  See also, the Recovery Accountability and Transparency Board  for 
Hurricane Sandy Funding,  About.  Accessed at http://www.recovery.gov/Sandy/about/  
Pages/default.aspx  on June 22, 2015.  
18 Sequestration  actions authorized  by the Budget Control Act of 2011, P.L. No. 112-25, 
and codified in pertinent  part  at 2 U.S.C.    901-901a, were designed to reduce the 
Federal deficit.  The Office of Management and Budget determined that Sandy  disaster  
relief funds were subject to sequestration.   See https://www.whitehouse.gov/sites/default/ 
files/omb/assets/legislative_reports/fy13ombjcsequestrationreport.pdf on  August 24, 
2015.  See also OIG, The Department  of Health and Human Services Designed Its 
Internal Controls Over Hurricane Sandy Disaster Relief Funds To Include Elements 
Specified by the Office of Management  and Budget, A-02-13-02010, July 2014, p. 4.  
19 The Disaster Relief Appropriations  Act, 2013, Title X, Chapter 8.  
20 ACF,  Hurricane Sandy SSBG Supplemental  Funds (Transmittal No. 01-2013), 
March 28, 2013.  Accessed at http://www.acf.hhs.gov/sites/default/files/ocs/ 
ssbg_im_hurricane_sandy_approved_3_27_signed_2_0.pdf  on August 24, 2015.  See 
also ACF, Hurricane Sandy Social  Services Block Grant (SSBG) Supplemental Funds. 
Accessed at http://www.acf.hhs.gov/programs/ocs/programs/ssbg/hurricane-sandy-
supplemental-funds on  May 28, 2015. 
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New York received $462 million.21   The Office of Inspector General (OIG) 
is conducting another study examining the use and oversight of Sandy 
SSBG supplemental funds in New Jersey and New York, as well as in 
other States that received this funding.22  
New Jerseys SSBG Supplemental Funding. New Jersey received 
approximately $227 million in SSBG supplemental funding.23  Of this 
amount, New Jersey allotted $2.5 million for child care-related programs 
to assist facilities, providers, and families impacted by Sandy.24 Of the 
$2.5 million: 
	   $1 million was allocated for building and renovation grants of up to 
$50,000 to nonprofit or for-profit child care programs;  
	   $1 million was allocated for grants of up to $3,000 for child care 
centers or up to $1,500 for registered family child care providers to 
replace supplies and materials damaged by the storm; and 
	   $500,000 was set aside for subsidies lasting up to 6 months for 
families whose child care was disrupted by Sandy.25  
New Yorks SSBG Supplemental Funding.   New York received 
approximately $235 million in SSBG supplemental funding.26   Of this 
amount, New York allotted about $65 million for unreimbursed costs of 
repairs, renovation, and rebuilding resulting from Sandy for certain health  
and human services facilities, including child day care centers and 
____________________________________________________________ 
21 ACF,  Hurricane Sandy SSBG Supplemental  Funds (Transmittal No. 01-2013), 
March 28, 2013.  (See footnote 20 for URL.)  Other States that received Sandy SSBG 
supplemental funding were Connecticut, Maryland, and Rhode Island.  
22 OIG,  Use and Oversight of  Superstorm Sandy Social  Services Block Grant  
Supplemental Funds, OEI-09-15-00200, forthcoming. 
 
23 ACF,  Hurricane Sandy Social Services Block Grant (SSBG) Supplemental Funds. (See 

footnote 20 for URL information.) 

24 New Jersey Department of Human Services,  Christie Administration Launches Child 

Care-Related Programs For Centers and Families Impacted By Sandy, 2013.  Accessed 

at http://www.state.nj.us/humanservices/news/press/2013/approved/20131122.html on 

June 4, 2015. 

25 Ibid. 

26 ACF,  Hurricane Sandy Social Services Block Grant (SSBG) Supplemental Funds. (See 

footnote 20 for URL information.)  Of the $235 million in  SSBG supplemental funding,  

New York allotted $200 million to  provide to a broad array of eligible health and  human 
 
services projects and $35 million for State priority projects.  State of New York, Social 
 
Services Block Grant Superstorm Sandy Supplemental State Plan, June 30, 2013.  

Accessed at https://www.acf.hhs.gov/sites/default/files/ocs/ 
 
new_york_state_sandy_ssbg_intended_use_plan_6_30_2013.pdf  on May 28, 2015. 

The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   6 
   
   
homes.27  Child care providers that were impacted by the storm could 
apply for funding to receive reimbursement for repairs, renovations, and 
rebuilding needed as a result of Sandy.28  
Additionally, FEMA and the Small Business Administration (SBA) 
provide disaster assistance after presidentially declared disasters.  Eligible 
child care providers in New Jersey and New York may have applied for 
and accessed disaster assistance from these agencies after Sandy.  See 
Appendix B for more information on FEMA and SBA disaster assistance 
available to child care providers after Sandy. 
METHODOLOGY 
We used multiple data collection activities and sources for this report.  
First, we sent an electronic questionnaire to the lead agencies in 
New Jersey and New York that administer the CCDF program.  These lead 
agencies are the New Jersey Department of Human Services Division of 
Family Development and the New York State Office of Children and 
Family Services Division of Child Care Services.   The electronic 
questionnaire collected information on each States emergency 
preparedness for, response to, and recovery from Sandy as it related to 
child care. 
Next, we contacted 20 child care providers in New Jersey and New York 
that were impacted by Sandy to gain insight about their experience during 
and after the storm. Eleven of these child care providers were 
center-based and nine were home-based.29  We successfully completed 
telephone interviews with 15 child care providers, of which 10 were 
center-based and 5 were home-based. 
Additionally, we collected and reviewed each States CCDF plan for 
FYs 2014 and 2015. This plan was the most recent available at the time of 
____________________________________________________________ 
27 New York State Governors  Office, Press Release:  Governor Cuomo Awards 
$200 Million in Funding to Meet Healthcare and Human Service Needs Resulting from 
Superstorm Sandy, October 10, 2013.  Accessed  at http://www.governor.ny.gov/news/  
governor-cuomo-awards-200-million-funding-meet-healthcare-and-human-service-needs-
resulting on  June 4, 2015.    
28 New York State Division  of  Child Care Services, Superstorm Sandy Social  Services 
Block Grant (Sandy SSBG)  Funding. Accessed at http://ocfs.ny.gov/main/childcare/  
defaultdatabaseDetails1.asp?ID=418  on June 4, 2015.   
29 Center-based  child care is typically provided in a nonresidential building, whereas 
home-based child care is typically provided in the providers residence.  Child Care State  
Systems Specialist Network, Resource Guide:  Child Care Information for Families, 
January 2015, p. 2.  Accessed at https://childcareta.acf.hhs.gov/sites/default/files/public/ 
1501_child_care_info_families.pdf on  September 24, 2015.  
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our review and is in effect from October 2013 through May 2016.30  Most 
of the CCDF plans were publicly available online.  For those CCDF plans 
that we could not locate online, we requested and received the plans from  
ACF.   We analyzed information from Section 1.6.2 in the CCDF plan for 
FYs 2014 and 2015, shown in Figure 1, to determine whether States 
reported that their emergency preparedness and response plans for child 
care included or would include each of the five key areas. 31  
Figure 1: Section 1.6.2 in CCDF Plan for FYs 2014 and 2015  
 
Source:  CCDF plan for FYs 2014 and 2015. 
Finally, we collected documentation from  ACF of actions taken to 
improve States emergency preparedness and response for child care since 
Sandy. 
See Appendix C for a detailed description of the methodology. 
Limitations 
Sandy affected numerous States along the East Coast.  We selected the two 
StatesNew Jersey and New Yorkthat were most affected by the storm 
with respect to child care.  For this reason, the experiences of these two 
States may not be reflective of other States that were affected by Sandy.   
Additionally, we discussed with New Jersey and New York the availability 
of data related to child care providers impacted by Sandy.  On the basis of 
____________________________________________________________ 
30 The CCDF plan  for FYs 2014 and 2015 is in  effect  from October 1, 2013, through 
May 30, 2016.  The deadline for submitting the CCDF plan for FYs 20162018 is  
March  1, 2016.  ACF, Guidance on Extension and Submission Requirements for the  
FY 20162018 CCDF Plans for States and Territories (Program Instruction:  
CCDF-ACF-PI-2015-04), April 10, 2015.  Accessed at http://www.acf.hhs.gov/programs/  
occ/resource/guidance-on-extension-and-submission-requirements-for-the-fy-20162018-
ccdf-plans-for-states-and-territories on  June 3, 2015.   
31 Includes all 50 States and the District of Columbia. 
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these discussions and to reduce burden on the States, we did not request 
that either States lead agency provide us with a listing of all child care 
providers that were impacted by Sandy in that State.  As a result, each lead 
agency provided us with a listing of some child care providers in that State 
that were impacted by Sandy. For this reason and because we purposively 
selected 20 child care providers from these listings, the experiences of the 
child care providers that we interviewed for our evaluation may not be 
reflective of experiences of other child care providers that were impacted 
by Sandy in each State. 
Standards 
This study was conducted in accordance with the Quality Standards for 
Inspection and Evaluation issued by the Council of the Inspectors General 
on Integrity and Efficiency.   
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FINDINGS 
New Jersey and New Yorks emergency planning 
before Sandy did not include the rebuilding of child 
care facilities after a disaster 
Before Sandy, both New Jersey and New York conducted emergency 
preparedness, response, and recovery planning for child care.  However,  
this planning did not include all five key areas from  ACFs recommended 
framework for emergency preparedness and response plans for child care.  
Most notably, neither State conducted emergency planning in restoring or 
rebuilding child care facilities and infrastructure after a disaster.  
As shown in Figure 2, before Sandy, New Jersey conducted emergency 
planning in three of the five key areas and New York conducted 
emergency planning in four of the five key areas.   
Figure 2: Emergency Planning for Child Care in New  Jersey  and New  York  
Before Sandy 
  Key Area  New Jersey   New York  
 
       
Planning for continuation of services to 
1   Yes  Yes 
CCDF families 
   
       
Coordination with other State/Territorial 
2   Yes  Yes 
agencies and key partners 
   
       
Emergency preparedness regulatory 
3   No   Yes 
requirements for child care providers 
   
       
Provision of temporary child care services 
4   Yes  Yes 
after a disaster 
   
       
Restoring or rebuilding child care facilities 
5   No   No  
and infrastructure after a disaster 
   
 
Source:  OIG analysis of questionnaire responses from New Jersey and New York, 2015. 
New Jerseys response to and recovery from Sandy may have been 
enhanced if it had conducted planning for certain elements of the fifth key 
area (i.e., the restoring or rebuilding of child care facilities and 
infrastructure after a disaster) before the storm made landfall.  For 
example, New Jersey reported that it did not conduct emergency planning 
with FEMA regional officials before Sandy to clarify which child care 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   10 
   
   
services were eligible for reimbursement under the Public Assistance grant 
program.32,  33   As a result, New Jersey was initially unclear on the 
eligibility criteria for that program  but has since obtained clarification.   
Additionally, assessments of the damage to child care providers in 
New Jersey did not begin until 1 month after the storm because the roles 
and responsibilities of staff who were to conduct these assessments had 
not been clearly communicated before Sandy.34 New Jersey has since 
clarified the roles and responsibilities of staff to ensure that these 
assessments begin immediately in the event of any future emergency or 
disaster.  
Post-disaster task forces in New Jersey and New York 
assisted child care providers with the recovery and 
rebuilding process after Sandy 
Both New Jersey and New York established post-disaster task forces after 
Sandy that focused on various aspects of the recovery and rebuilding 
process for children and families.  Both task forces supported a 
coordinated approach to addressing the needs of children and families 
after Sandy by convening Federal, State, nongovernmental, and private 
stakeholders.  Additionally, each task force gathered information on how 
the storm impacted child care providers and communicated information to 
child care providers on available resources to assist with the recovery.  
Although these task forces served similar purposes, the New York 
Childrens Issues Task Force had greater outreach to and focus on child 
care providers than did the New Jersey State-Led Child Task Force, likely  
because of its organizational and leadership structure and because it 
remained active for a longer period of time. 
The organizational and leadership structure of the New York Childrens 
Issues Task Force was different than that of the New Jersey State-Led 
____________________________________________________________ 
32 For eligible State, local, and tribal governments, FEMA may reimburse reasonable  
costs associated with the provision  of child care services through the Public Assistance 
program during presidentially declared major disasters and emergencies.  FEMA, Fact 
Sheet 9580.107:  Public Assistance for Child Care Services, March 20, 2012.  Accessed 
at http://www.fema.gov/media-library-data/20130726-1908-25045-4588/  
rp9580_107_child_care_services_fact_sheet_final_032013.pdf on  June  4, 2015.  
33 In its framework for emergency preparedness and response plans  for child care, ACF 
recommends as an element of the fifth key area that the plan include preparedness  
planning with FEMA regional  officials to clarify which child care services are eligible for 
reimbursement under the Public Assistance program.  See Table A-5 in Appendix A.  
34 In its framework for emergency preparedness and response plans  for child care, ACF 
recommends as an element of the fifth key area that the plan includes a strategy to work 
with emergency  management officials, licensing agencies, and public health  officials to 
conduct timely assessments of the damage to and status  of child care providers within the 
impacted area.  See Table A-5  in Appendix A.  
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Child Task Force.  In particular, the New York Childrens Issues Task 
Force was co-led by the New York State Office of Children and Family 
Services Commissioner and the ACF Regional Administrator.   The Office 
of Children and Family Services includes the lead agency that administers 
the CCDF program in New York, as well as agencies that administer other 
early childhood programs.  The task forces goals included meeting the 
specific needs of early childhood programs, such as child care, in addition 
to the broader goals of meeting the needs of children and families.  In 
comparison, the lead agency that administers the CCDF program in 
New Jersey is within the States Department of Human Services, which 
was a participatingbut not a leadingentity in the New Jersey 
State-Led Child Task Force.  The task forces goals focused more broadly 
on supporting children and families.     
Additionally, the New York Childrens Issues Task Force remained active 
longer than the New Jersey State-Led Child Task Force, which allowed for 
more time to provide outreach to child care providers.  Specifically, the 
New York Childrens Issues Task Force remained active for 14 months, 
from November 2012 through December 2013.  In comparison, the 
New Jersey State-Led Child Task Force remained active for 3 months, 
from November 2012 through January 2013. 
Some child care providers in New Jersey and 
New York reported challenges with rebuilding after 
Sandy 
The 15 child care providers in New Jersey and New York that we 
interviewed reported that Sandy caused damage to their facilities.  Some  
of these child care providers also reported challenges with rebuilding their 
facilities and businesses after the storm.  These challenges included 
initially paying or being unable to pay for repairs out of pocket, a lengthy 
application process for disaster assistance, delayed communication 
regarding disaster assistance, and issues with contractors hired to make 
repairs. All but one of the child care providers that we interviewed 
temporarily closed after Sandy, which impacted providers businesses and 
may have reduced child care capacity in communities.   
Box 1 describes the experience of a group family day care provider in 
New York during and after Sandy and illustrates structural damage 
experienced by several of the providers we interviewed.  
   
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Box 1:  Experience of One Child Care Provider in New  York During and 

After Sandy 
 
During Sandy, the ground floor of the providers homewhich is where the group family  day  

care was locatedflooded with about 3 12 feet of ocean and sewage water.  Everything on the 

ground floor, including child care items (e.g., toys, books, blankets, strollers, high chairs), was 

destroyed.   

 
After Sandy, this provider reported closing for about 1 month.  Rebuilding involved new  walls, 
new drywall, new carpeting, new  appliances (e.g., refrigerator, washing machine, and 
microwave) and electronics (e.g., computer, printer), replacing the underground oil tank with one 
above ground, repairing the boiler, replacing child care items, a new  outdoor fence, landscaping, 
and removing fallen trees.  Some families served by this provider before the storm sought child 
care services elsewhere while it was closed and did not return after the provider reopened. 
 
This provider reported that, because it did not have flood insurance when  Sandy made landfall, 
private insurance covered only damages unrelated to water.   The provider applied forand was 
successful in receivingfinancial assistance from FEMA, a disaster loan from SBA, and an 
SSBG grant from the State. According to the provider, the application process was lengthy and 
tedious but worth it in the end.  Although individuals were helpful throughout the process, there 
was a lot of paperwork, travel, and waiting involved.   
 
Source:  OIG telephone interview  with child care provider in New York, 2015. 
Although disaster assistance was available, some child care 
providers initially paid for repairs out of pocket and reported 
other challenges related to rebuilding 
Each of the 15 child care providers that we interviewed reported receiving 
some form of financial assistance or support after Sandy.  Thirteen 
providers received financial assistance from the State in the form of SSBG 
grants. Additionally, seven child care providersincluding the two that 
did not receive an SSBG grant from the Statereceived financial 
assistance or support from FEMA, SBA, and/or voluntary organizations 
(e.g., Save the Children).  While the financial assistance and support was 
helpful and appreciated, some child care providers reported challenges 
with rebuilding their facilities and businesses after the storm.    
Nine child care providers reported challenges with paying for repairs out 
of pocket after Sandy.  The vast majority of child care providers are not 
eligible for FEMA financial assistance because they are businesses and 
for-profit entities.  Additionally, many child care providers are not eligible 
for SBA disaster loans because their profit margins are too small, making 
them not credit-worthy for a loan.  Therefore, repairs not covered by 
private insurance are generally paid for out of pocket by child care 
providers. Five child care providers (three in New Jersey and two in 
New York) initially paid for repairs out of pocket after Sandy.  The 
remaining four child care providers (two in each State) did not have the 
money to pay for all necessary repairs after the storm.   All nine of these 
child care providers later received financial assistance from the State in 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   13 
   
   
the form of SSBG grants, which helped cover at least some of these out-
of-pocket expenses. 
Three child care providers in New York reported challenges when 
applying for disaster assistance. Specifically, they reported that the 
application process for an SSBG grant was lengthy and required a lot of 
documentation, which was not always readily available and sometimes 
according to one providereven lost in the chaos after a disaster.  In 
New York, providers that applied for an SSBG grant had to submit 
an application, a narrative, and a one-page budget.  If the provider 
received an award, it then needed to provide receipts and invoices, and in 
some cases, before-and-after photographs.  Although submitting such 
documentation is potentially burdensome for the provider, New York 
required it so that it could ensure that the grant funds were being used 
appropriately and for the intended purpose. In New Jersey, three child 
care providers also reported that the application process was lengthy. 
Two child care providers in New Jersey said that communication from the 
State about available disaster assistance could be improved.  One child 
care provider reported not knowing that the SSBG grant funding was 
available until long after the storm, while another reported that the State 
could have reached out sooner.  New Jersey distributed information to 
child care providers about the availability of this grant funding but not 
until one year after the storm, in October and November 2013.  The reason 
for this delayed communication is that the SSBG supplemental funds were 
not appropriated until 3 months after the storm, and the State needed to 
complete certain steps before the funds could be awarded.35  For example, 
States that received SSBG supplemental funds were required to submit 
pre-expenditure reports detailing the proposed uses of these funds. 
Additionally, after disasters, some businesses and individuals try to take 
advantage of victims and survivors through price gouging and fraudulent 
home improvement scams.36  In New York, two child care providers 
reported challenges with contractors. One child care provider that we 
interviewed reported that it took a long time to find a contractor charging a 
fair price for repairs. Another child care provider reported that it hired a 
____________________________________________________________ 
35 OIG is conducting another study examining the use and  oversight of  Sandy SSBG  
supplemental funds in Connecticut, Maryland, New Jersey, New York, and Rhode Island.  
OIG, Use  and Oversight of  Superstorm Sandy Social  Services Block Grant  Supplemental  
Funds, OEI-09-15-00200, forthcoming.  
36 New York State Department of Homeland Security and Emergency Services, Tips to 
Avoid  Hurricane Sandy Scams. Accessed at http://www.dhses.ny.gov/oem/event/sandy/  
sandy-scams.cfm on July 31, 2015.  See also FEMA, How N.Y. Sandy survivors can 
protect against  fraud (NR-195), March 27, 2013.  Accessed at  https://www.fema.gov/  
news-release/2013/03/27/how-ny-sandy-survivors-can-protect-against-fraud on July 31, 
2015. 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   14 
   
   
contractor to fix the plumbing and the job later needed to be redone 
because the contractor did such poor work. 
Sandy impacted child care providers businesses and may 
have reduced child care capacity in communities 
Three child care providers in New York reported that their businesses 
suffered as a result of Sandy because families sought child care services 
elsewhere while the provider was closed and did not return when the 
provider reopened. One of these providers closed for 7 months and stated 
that only one child that it served before Sandy returned when it reopened. 
Many parents with young children cannot resume their jobs unless there is 
safe, secure child care for their children.  Therefore, when facilities close 
for extended periods, parents will seek child care elsewhere andin order 
to maintain childrens reestablished routinesmay not return when the 
facility reopens. 
Additionally, emergencies and disasters can reduce child care capacity in 
communities.  All but 1 of the 15 child care providers that we interviewed 
temporarily closed because of Sandy, with 3 of them (1 provider in 
New Jersey and 2 in New York) closing for more than 6 months.  One 
child care provider in New York that closed for 1 month reported that there 
was an increased demand for child care in its community after the storm.   
Another child care provider in New Jersey that temporarily closed for 
8 months stated that it was the only child care center in the community 
that served children receiving subsidized child care and that those children 
were displaced for nearly a year because of Sandy. 
Since Sandy, ACF has taken steps to improve 
nationwide emergency preparedness, response, and 
recovery for child care 
Since Sandy, ACF has developed resources and provided technical 
assistance to improve States emergency preparedness, response, and 
recovery related to child care services and programs.  For example, ACFs 
Office of Child Care developed a six-part Webinar series.  Five of the 
sessions explored the framework in ACFs information memorandum, 
with each session focusing on at least one of the five key areas.  In 
particular, the fifth session, entitled Response, Recovery, and 
Rebuilding, included presentations by FEMA staff about assistance 
available after a disaster for child care services and providers.37   The sixth 
____________________________________________________________ 
37 ACF,  Child Care Emergency Preparedness and Response Webinar Series:  Response, 
Recovery, and Rebuilding, October 20, 2014.   Accessed  at  
https://childcareta.acf.hhs.gov/sites/default/files/public/epr_webinar_5_final_0.pdf on  
March 11, 2015. 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   15 
   
   
session, entitled Recovery: Responding to Trauma, provided an 
introduction to childrens mental health and the impact of disaster-related 
trauma.38  
ACF has also produced a variety of written materials and resources for 
States, child care providers, and families.  In particular, since Sandy the 
Child Care State Systems Specialist Networkwhich supports ACF by 
providing technical assistance to CCDF lead agencieshas revised 
numerous resources for States on emergency preparedness and response.  
Some of these resources can be distributed to child care providers and 
families.  Further, after Sandy, ACFs Office of Human Services 
Emergency Preparedness and Response created two public documents that 
focus on lessons learned from this disaster and provide recommendations 
on how States can establish task forces pre- and post-disaster, as well as 
information on how ACF can provide support.39, 40  
Additionally, the Child Care State Systems Specialist Network provided 
and continues to provide technical assistance to States.41 From 
November 2012 to March 2015, State System Specialists provided 
technical assistance related to emergency preparedness and response plans 
for child care or training activities at the request of 32 States.  Other forms 
of technical assistance being provided to States include examples or 
models of supports for responding to emergencies, examples of other 
States emergency preparedness and response plans, and reviewing States  
current emergency preparedness and response plans to ensure that 
reauthorization requirements are met. 
Less than half of all States emergency plans included 
planning for the rebuilding of child care facilities after 
a disaster 
Some key areas from  ACFs recommended framework for emergency 
preparedness and response plans for child care were less likely than others 
____________________________________________________________ 
38 ACF,  Child  Care Emergency  Preparedness and Response Webinar Series:  
Recovering: Responding to Trauma, November 10, 2014.  Accessed at 
https://childcareta.acf.hhs.gov/sites/default/files/public/epr_webinar_6_final.pdf on  
March 11, 2015. 
39 ACF,  Child and Youth Task  Force in  Disasters:  Guidelines for Development, 
September 4, 2013.  Accessed at https://www.acf.hhs.gov/sites/default/files/ 
ohsepr/childrens_task_force_development_web.pdf  on March 11, 2015. 
40 ACF,  New York Childrens Issues Task Force:   Lessons Learned from Response and  
Recovery in  Superstorm Sandy in New York, August 8, 2014.  Accessed  at 
https://www.acf.hhs.gov/sites/default/files/ohsepr/new_york_childrens_issues_task_force 
_web.pdf on March 11, 2015. 

41 For information  on this network, see ACF, Child Care State Systems Specialist 
 
Network. Accessed at https://childcareta.acf.hhs.gov/state-systems-specialist-network on 
 
August 24, 2015.  

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to be included by States in their plans.  In their respective CCDF plans for 
FYs 2014 and 2015, less than half of States (19 of 51) reported including 
or planning to include the fifth key area (i.e., the development of strategies 
for restoring or rebuilding of child care facilities and infrastructure after a 
disaster) in their emergency preparedness and response plans for child 
care. Figure 3 shows the number of States that included or planned to 
include each key area in their emergency preparedness and response plan 
for child care. 
Figure 3: Number of States Including or Planning to Include Each Key Area 
in Emergency  Preparedness and Response Plans for Child Care, 2013  
 
   
Source:  OIG analysis of CCDF plans for FYs 2014 and 2015, 2015. 
   
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CONCLUSION AND RECOMMENDATION 
Natural and manmade disasters can happen anywhere and at any time; 
therefore, all States must be prepared to respond and assist with recovery 
efforts, including those for child care, after an emergency or disaster.  In 
particular, planning for the restoring or rebuilding of child care facilities 
and infrastructure after a disaster is an important component of emergency 
planning and one of the five key areas from  ACFs recommended 
framework for emergency preparedness and response plans for child care.   
Before Sandy, neither New Jersey nor New Yorks emergency planning for 
child care included such planning for restoring or rebuilding.  After the 
storm, these States established post-disaster task forces that assisted child 
care providers with the recovery and rebuilding process.  However, some  
of the child care providers that we interviewed in New Jersey and 
New York still reported challenges with rebuilding after Sandy. These 
challenges included paying for repairs out of pocket and a lengthy 
application process for disaster assistance.  
Since Sandy, ACF has taken steps to improve nationwide emergency 
preparedness, response, and recovery for child care.  However, in their 
respective CCDF plans for FYs 2014 and 2015, less than half of all States 
reported including or planning to include the fifth key areai.e., planning 
for the restoring or rebuilding of child care facilities and infrastructure 
after a disasterin their emergency preparedness and response plans.  
Even though overall emergency planning for child care has been 
strengthened through steps taken by ACF and through legislation enacted 
in November 2014, planning for this fifth key area remains lacking. 
Therefore, we recommend that ACF: 
Require States to include planning for the restoring or 
rebuilding of child care facilities and infrastructure after a 
disaster in their statewide child care disaster plans 
The main challenge reported by child  care providers that we interviewed 
in New Jersey and New York was rebuilding after Sandy.  The CCDBG 
Act of 2014 requires comprehensive emergency preparedness planning but 
does not explicitly specify that planning for the restoring or rebuilding of  
child care after a disaster must be included in statewide child care disaster 
plans. Therefore, ACF should make it clear that States are required to 
include planning for the restoring or rebuilding of child care facilities and 
infrastructure after a disaster in these plans.  This planning could include, 
for example, strategies for working with emergency officials, licensing 
agencies, and public health officials to conduct timely damage 
assessments of child care providers; providing education and training to 
child care providers to ensure business continuity should a disaster occur; 
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and providing information and resources to child care providers on 
available financial assistance for the rebuilding process after a disaster. 
Additionally, ACF should encourage States to consider two scenarios as 
they conduct planning for the restoring or rebuilding of child care facilities 
and infrastructure after a disaster: one in which Federal funding to support 
the rebuilding of child care facilities is available and one in which Federal 
funding is not available.  Planning for both scenarios is important because 
Federal funding may not always be available after a disaster and each 
scenario presents different challenges.  In the case of Sandy, Federal 
funding was made available by Congress and the States of New Jersey and 
New York for the repair, renovation, and rebuilding of child care facilities. 
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AGENCY COMMENTS AND OFFICE OF INSPECTOR GENERAL  
RESPONSE 
ACF concurred with our recommendation to require States to include 
planning for the restoring or rebuilding of child care facilities and 
infrastructure after a disaster in their respective statewide child care 
disaster plans. ACF stated that it is developing a Notice of Proposed 
Rulemaking (NPRM) to implement the CCDBG Act of 2014 and that this 
proposed regulation will help address our recommendation.  ACF 
anticipates that the NPRM will be published in December 2015. 
Additionally, ACF emphasized that planning is not sufficient by itself 
without the resources to support recovery and that Federal funding for 
recovery is limited.  ACF stated that despite the challenges with funding, it 
is committed to assisting States with emergency preparedness and 
response planning. 
We support ACFs efforts to address this recommendation and encourage 
continued progress. For the full text of ACFs comments, see Appendix D. 
   
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APPENDIX A 
ACF Information Memorandum:  Framework for Developing 
Emergency Preparedness and Response Plans for Child Care 
 
Table A-1: Key Area 1  Planning for Continuation of Services to CCDF 
Families 
The plan includes provisions for continuing core CCDF program functions by Lead Agency  
1 
management and staff during and after a disaster. 
The plan includes requirements that subgrantees and contractors administering the child care 
2 
program make provisions for continuation of core functions. 
The plan identifies how strategic communications, decisionmaking, and information-sharing will be 
3 
handled in different emergency or disaster situations. 
The plan includes procedures for continuing payments to child care providers during and after a 
4 
disaster. 
The plan includes policies to temporarily continue to pay providers for absence days  in the event 
5 
that children are unable to attend due to a disaster (e.g., pandemic flu).  
The plan includes procedures that address systems data security and data storage to ensure 
6 
adequate backup of family  and child care provider records after a disaster. 
The plan includes a mechanism to collect data and track families receiving subsidies and providers 
7 
serving subsidized children that are impacted by a disaster. 
The plan includes provisions for continuing services to families in the event the Lead Agency is 
8  unable to conduct eligibility redeterminations or families are unable to submit necessary  
documentation.  
The plan includes policies to continue assistance for families receiving child care subsidies that are 
9 
temporarily  out of work or engaged in job search after a disaster.  
The plan includes policies with anticipate an increased need for child care subsidies among families 
10 
impacted by a disaster, in addition to families already receiving assistance.  
The plan includes provisions to quickly establish and manage a waiting list for families needing 
11 
assistance, if the Lead Agency  does not already have one. 
Source:  ACF, Guidance to assist Child Care and Development Fund (CCDF) Lead Agencies in  developing, exercising,  
and maintaining written  child care emergency  preparedness and response plans  pursuant to  submission of the CCDF 
Plan (CCDF-ACF-IM-2011-01), February 17, 2011.  
 
   
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Table A-2: Key Area 2  Coordination With Other State/Territorial Agencies 
and Key Partners  
The plan has been developed in consultation with the emergency  management agency and 
1 
formalized coordination with child care  within statewide emergency planning. 
The plan includes coordination with CCR&R agencies and incorporates provisions for 
2 
communication with local child care providers in their respective geographic areas.  
The plan includes consultation and coordination with child care licensing and regulatory agencies to 
3  ensure that providers engage in emergency  preparedness and planning activities, including 
distribution of materials and resources to assist child care providers.  
The plan includes coordination with Head Start centers, pre-kindergarten and other  early care and 
4 
education programs to ensure collaboration and consistency in planning and preparedness efforts. 
The plan includes coordination with education agencies and local school districts to ensure planning 
for schools and child care programs are consistent and complement each other.  This is particularly  
5 
important in communities that provide before- and after-school care or summer child care programs 
within a public or private school facility.  
The plan includes coordination with public health agencies to ensure timely  and accurate 
6 
communication with child care providers in the event of a public health emergency.  
The plan includes coordination with voluntary organizations that provide support for child care and 
7 
provision of temporary child care or respite care services, if needed.  
The plan providers for coordination with local business owners and nonprofit organizations to 
8  donate supplies (e.g., bottled water, first aid supplies) to child care providers to stock emergency 
kits.  
The plan includes coordination with tribal communities and agencies, when applicable, to ensure 
9 
tribal child care programs are included in statewide emergency planning and response efforts.  
The plan includes coordination with social service agencies (e.g., child welfare, family courts) that 
10 
also serve families with young children.  
The plan includes coordination across State jurisdictional lines, particularly in border States which 
11 
may serve families that must be evacuated from disaster areas. 
Note:  The wording of  this  key areas  title was  slightly different  between the information memorandum and the CCDF plan  
for FYs 2014 and 2015.  To be consistent in  this report, we used the wording from Section 1.6.2 in the CCDF plan. 
Source:  ACF, Guidance to assist Child Care and Development Fund (CCDF) Lead Agencies in  developing, exercising,  
and maintaining written  child care emergency  preparedness and response plans  pursuant to  submission of the CCDF 
Plan (CCDF-ACF-IM-2011-01), February 17, 2011.  
 
   
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Table A-3: Key Area 3  Emergency  Preparedness Regulatory  
Requirements for Child Care Providers 
The plan includes coordination with child care licensing and regulatory agencies to ensure providers 
1  plan in advance for disasters, including provisions for evacuation and relocation, shelter-in-place, 
reunification with families, and accommodation of children with special needs.  
The plan includes strategies to provide ongoing technical assistance, training, resources, and 
2  support to center-bases and family child care providers to help them better prepare for emergencies 
and disasters. 
The plan includes strategies for engaging local CCR&R agencies to conduct training sessions for 
3 
child care providers on how to be prepared for a disaster. 
The plan includes provisions for incorporating emergency  preparedness and response planning 
4 
within quality  rating improvement systems, if established by the Lead Agency.  
Note:  The wording of  this  key areas  title was  slightly different  between the information memorandum and the CCDF plan  
for FYs 2014 and 2015.  To be consistent in  this report, we used the wording from Section 1.6.2 in the CCDF plan. 
Source:  ACF, Guidance to assist Child Care and Development Fund (CCDF) Lead Agencies in  developing, exercising,  
and maintaining written  child care emergency  preparedness and response plans  pursuant to  submission of the CCDF 
Plan (CCDF-ACF-IM-2011-01), February 17, 2011.  
 
 
Table A-4: Key Area 4  Provision of Temporary  Child Care Services After  
a Disaster  
The plan includes coordination with emergency management officials, voluntary organizations, and 
1  CCR&R agencies to implement temporary child care services after a disaster, including 
establishment of contracts or agreements. 
The plan includes temporary operating standards (or provisions for temporarily  waiving certain child 
2  care regulatory  requirements) to accommodate providers that need to relocated and/or the provision 
of temporary child care in alternate facilities, such as shelters. 
The plan includes a strategy for training and identifying preapproved child care providers who have 
3  undergone criminal background checks that are willing to assist with provision of temporary child 
care after a disaster.  
The plan includes a strategy for pre-positioning supplies for use in establishment of temporary child 
4 
care, or to provide additional supplies to child care providers that remain open.  
The plan includes provisions to quickly establish and manage temporary child care in nontraditional 
5 
settings when existing facilities have been severely damaged or destroyed.  
Source:  ACF, Guidance to assist Child Care and Development Fund (CCDF) Lead Agencies in  developing, exercising,  
and maintaining written  child care emergency  preparedness and response plans  pursuant to  submission of the CCDF 
Plan (CCDF-ACF-IM-2011-01), February 17, 2011.  
 
   
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Table A-5: Key Area 5  Restoring or Rebuilding Child Care Facilities and 
Infrastructure After a Disaster  
The plan includes a strategy to work with emergency management officials, licensing agencies, and 
1  public health officials to conduct timely assessments of the damage to and status of child care 
providers within the impacted area. 
The plan includes engagement and training strategies for child care providers to ensure business 
2  continuity should a disaster occur, including adequate insurance coverage and protection of records 
and assets. 
The plan includes strategies for providing information and resources to child care providers about 
3 
financial assistance that is available for the rebuilding process if they need to rebuild.  
The plan includes a strategy for engaging business associations, community development financial 
4  institutions, and other organizations that can potentially provide financial assistance or microloans 
to help providers reopen.  
The plan includes preparedness planning with FEMA regional officials to clarify child care services 
5 
that are eligible for reimbursement under the Public Assistance grant program.  
Note:  The wording of  this  key areas  title was  slightly different  between the information memorandum and the CCDF plan  
for FYs 2014 and 2015.  To be consistent in  this report, we used the wording from Section 1.6.2 in the CCDF plan. 
Source:  ACF, Guidance to assist Child Care and Development Fund (CCDF) Lead Agencies in  developing, exercising,  
and maintaining written  child care emergency  preparedness and response plans  pursuant to  submission of the CCDF 
Plan (CCDF-ACF-IM-2011-01), February 17, 2011. 
   
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APPENDIX B 
Disaster Assistance Available After Sandy 
 
FEMA Financial Assistance. After presidentially declared disasters, 
FEMAs Individuals and Households Program provides financial and/or 
direct assistance to disaster survivors who, as a result of a major disaster 
or emergency, have necessary expenses and serious needs that are unmet 
through insurance or other means.42   This program does not cover 
business-related losses that resulted from the disaster.43 The Individuals 
and Households Program consists of two provisions:  housing assistance 
and other needs assistance.  Housing assistance is provided to 
homeowners to secure temporary housing while repairs are being made to 
their pre-disaster residence, to repair disaster-related damage not covered 
by insurance, and/or to replace a disaster-damaged home.  Other needs  
assistance provides financial assistance for other disaster-related expenses, 
such as the repair or replacement of common household items (e.g., 
furnishings and appliances). Eligible home-based child care providers in 
New Jersey and New York may have applied for and accessed this 
financial assistance to repair and/or replace their homes and/or certain 
household items after Sandy. 
SBA Disaster Loans. After presidentially and SBA-declared disasters, 
SBA provides low interest loans to businesses, private nonprofit 
organizations, homeowners, and renters to repair or replace the following 
items damaged or destroyed in a declared disaster:  real estate, personal 
property, machinery and equipment, and inventory and business assets.44   
Eligible child care providers in New Jersey and New York that were 
impacted by Sandy may have applied for and accessed these loans for 
rebuilding.   
 ____________________________________________________________ 
42 FEMA, Fact Sheet:  Disaster Assistance    Individuals and Households Program, 
May 2014.  Accessed at http://www.fema.gov/media-library-data/1434645692423-
da8341b2317b9bcd4eca23aac8e8e1ea/IHP_FactSheet_final508.pdf on  June 8, 2015.    
43 FEMA, Help  After a Disaster:  Applicants Guide to the Individuals & Households  
Program, July 2008, p. 1.  Accessed at http://www.fema.gov/pdf/assistance/process/  
help_after_disaster_english.pdf  on  June 8, 2015.  
44 SBA,  Disaster Loans. Accessed at https://www.sba.gov/category/navigation-
structure/loans-grants/small-business-loans/disaster-loans on  June 4, 2015.  
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   25 
   
   
APPENDIX C 
Detailed Methodology 
 
New Jersey and New  York:  Electronic Questionnaire 
In February 2015, we sent an electronic questionnaire to the lead agencies 
in New Jersey and New York that administer the CCDF program.  In 
March 2015, we received responses to all applicable questions and 
supporting documentation from each agency.  We reviewed and analyzed 
responses and documentation to determine the extent to which New Jersey 
and New York conducted emergency planning for child care before Sandy 
and whether each State had an emergency preparedness and response plan 
for child care in place before the storm.   We also determined the extent to 
which each key area from  ACFs recommended framework for emergency 
preparedness and response plans for child care was addressed before, 
during, and/or after Sandy.   Additionally, we reviewed documentation 
(e.g., reports, meeting minutes) related to each States post-disaster task 
force. In June 2015, we met with each agency to clarify responses, as 
needed.  
Child Care Providers:  Selection and Telephone Interviews  
In March and April 2015, we contacted child care providers that were 
impacted by Sandy to gain insight about their experience with New Jersey 
and New Yorks responses during and after the storm.    
To identify child care providers that were impacted by Sandy, we 
requested information from the lead agencies in New Jersey and 
New York.  Prior to requesting this information, we met with each lead 
agency to discuss the availability of data related to child care providers 
impacted by Sandy.  On the basis of these discussions and to reduce 
burden on the States, we did not request that either lead agency provide us 
with a listing of all child care providers that were impacted by Sandy in 
their respective State.  As a result, each lead agency provided us with a 
listing of some child care providers that were impacted by Sandy in their 
respective State, which at a minimum included the providers name and 
address and whether the provider was awarded SSBG supplemental 
funding. Consequently, the completeness of our sampling frame of child 
care providers impacted by Sandy in New Jersey and New York could not 
be verified. For this reason and because we purposively selected child 
care providers from this sampling frame, the experiences of the child care 
providers that we interviewed for our evaluation may not be reflective of 
experiences of other child care providers that were impacted by Sandy in 
each State.  
     
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New Jersey provided us with information on 42 child care providers that 
were impacted by Sandy.  Half (21) of these providers were licensed child 
care centers, and the remaining half were registered family day care 
providers. All 42 received SSBG supplemental funding and were each 
located in one of the following counties: Atlantic, Bergen, Essex, Hudson, 
Middlesex, Monmouth, Ocean, Union, and Warren.   
New York provided us with a listing of 19 child care providers that were 
impacted by Sandy.  Ten of these providers were group family day care 
providers, seven were day care centers, and two were family day care 
providers. Nine child care providers had received SSBG supplemental 
funding. The 19 providers were each located in one of following counties:  
Kings, Nassau, New York, Queens, Richmond, Suffolk, and Westchester.  
We selected a total of 20 child care providers from these listings10 each 
in New Jersey and New York.  When selecting child care providers, we 
considered provider type, geographic location, and the availability of 
contact information (i.e., address, phone number).  We contacted and 
successfully completed telephone interviews with 15 of the 20 child care 
providers. Our interview questions focused on: 
	   whether the child care provider closed or relocated because of  
Sandy, 
	   the extent of damage to the child care providers facility from the 
storm,  
	   the extent to which the child care provider needed to make repairs 
or rebuild after Sandy, and 
	   whether the child care provider applied for any financial assistance 
from the Federal or State government to assist with repairs and 
rebuilding after Sandy, and if so, what the child care providers 
experience with the application process had been. 
These 15 child care providers were in business when Sandy hit and at the 
time of our interview.   They were also located in counties in New Jersey or 
New York for which a disaster had been declared for Sandy.  For the 
remaining 5 of the 20 child care providers, we made a minimum of three 
attempts either to establish contact or complete the telephone interview,  
but these attempts did not succeed.  Table C-1 provides descriptive 
information on the selected and interviewed child care providers. 
   
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   27 
   
   
Table C-1: Selected and Interviewed Child Care Providers in New  Jersey  
and New  York, 2015  
Child Care Providers Selected   Child Care Providers Interviewed 
State  
Provider Type  County   SSBG  Provider Type  County   SSBG 
Hudson 3 
Hudson  3 
Licensed child care center   9  Ocean 5  Yes  10  Licensed child care center   8  Yes  8  
Ocean  4 
New   Family child care provider   1  Monmouth 1  No  0  Family child care provider   0  No  0 
Monmouth  1 
Jersey   Union  1 
Subtotal     10      8 
Nassau  5 
Group family day care  7  Group family day care  4  Nassau  4 
Queens 3  Yes  7   Yes  5  
Day care center   2  Day care center   2  Queens  2 
New   Suffolk  1  No  3  No  2 
Family day care   1  Family day care   1  Westchester  1 
York   Westchester  1 
Subtotal     10      7 
     Total     20      15 
Source:  OIG analysis of information on child care providers that were impacted by Sandy, 2015. 
 
 
 
   
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APPENDIX D 
Agency Comments 
 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)  29 

  Page2 
Despite the challenges with funding, ACF is fully committed to assisting States with emergency 
preparedness and response planning, including ensuring timely and full implementation ofthe new 
requirement for statewide disaster plans as required by the Child Care and Development Block Grant 
Act of2014, which reauthorized the CCDF program. ACF is currently developing a Notice of Proposed 
Rulemaking (NPRM) to implement the reauthorization law. This proposed regulation will help address 
the proposed recommendation through the required statewide disaster plans, as well as other provisions 
related to emergency preparedness and response. We anticipate the NPRM will be published in 
December 2015. 
In addition to establishing policy requirements, ACF will continue to provide technical assistance to 
States on emergency preparedness, response, and recovery. In October 2015, ACF launched a new 
cross-sector Early Childhood Training and Technical Assistance (T/TA) System that brings together 
funding, knowledge, and skills from the Office of Child Care, the Office ofHead Start, and our health 
partners in HHS - the Maternal and Child Health Bureau and the Substance Abuse and Mental Health 
Services Administration. 
In late September 2015, we awarded grants for new national centers to build the capacity for excellence 
in early childhood services. One ofthese new centers, the National Center on Early Childhood Health 
and Wellness, will provide resources and support to ensure the health and mental wellness ofyoung 
children and their families, as well as program staff. This center will provide technical assistance to 
advance best practices on a range oftopics, including emergency preparedness and response.  Another 
TA center, the State Capacity Building Center, will assist States on a range ofissues to build systems 
and infrastructure at the State level, including emergency preparedness and response. We are currently 
working with the new TA centers to finalize their work plans for the year. 
ACF appreciates the opportunity to provide comments on the draft report and welcomes any further 
questions that the OIG may have regarding these issues. Please direct any follow-up inquiries to our 
Office of Legislative Affairs and Budget OIG liaison, Scott Logan, at (202) 401-4529. 
Sincerely, 
Mark H. GreenbeJ?g 
Acting Assistant Secretary 
for Children and Families 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEl-04-14-00410)  30   
   
ACKNOWLEDGMENTS 
This report was prepared under the direction of Dwayne Grant, Regional 
Inspector General for Evaluation and Inspections in the Atlanta regional 
office, and Jaime Stewart, Deputy Regional Inspector General.  
Rachel Bessette served as the team leader for this study.  Other Office of 
Evaluation and Inspections staff from the Atlanta regional office who 
conducted the study include David Samchok.  Central office staff who 
provided support include Kevin Farber, Christine Moritz, and 
Sherri Weinstein. 
The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410)   31 
   
Office of Inspector General
http://oig.hhs.gov  
 
The mission of the Office of Inspector General (OIG), as mandated by Public Law 95452, as  
amended, is  to protect the integrity of the Department of  Health and Human Services  
(HHS) programs, as  well  as the health  and welfare of individuals served by those programs.  
This statutory mission is carried  out through a nationwide network of audits, investigations,  
and inspections conducted by the following operating components: 
Office of Audit Services 
The Office  of  Audit Services  (OAS) provides auditing services  for HHS, either by  conducting  
audits  with its own audit resources or by  overseeing  audit work done by others.  Audits  
examine the performance of HHS programs and/or its grantees and contractors in carrying  
out their respective responsibilities and are intended  to provide independent assessments of 
HHS programs and operations.  These assessments help reduce waste, abuse, and  
mismanagement and promote economy and efficiency  throughout  HHS. 
Office of Evaluation and Inspections 
The Office  of  Evaluation and Inspections (OEI)  conducts national evaluations to  provide 
HHS, Congress, and the public with timely, useful, and reliable information on significant 
issues.  These evaluations focus on preventing fraud,  waste, or abuse  and promoting  
economy, efficiency, and effectiveness of departmental programs.  To promote impact, OEI 
reports also present practical recommendations for improving program operations.  
Office of Investigations 
The Office of Investigations (OI) conducts criminal, civil, and administrative investigations  
of fraud and misconduct  related to HHS programs, operations, and individuals.  With  
investigators working in all 50 States and the District of Columbia, OI  utilizes its resources 
by actively  coordinating with the Department  of Justice  and other Federal, State, and local 
law enforcement authorities.  The investigative efforts of OI often lead to  criminal 
convictions, administrative sanctions,  and/or  civil monetary  penalties.  
Office of Counsel to the Inspector General 
The Office of Counsel to the  Inspector  General (OCIG) provides general legal services to 
OIG, rendering  advice and opinions on HHS programs and operations and  providing all  
legal support for OIGs  internal operations.  OCIG represents  OIG in all civil and 
administrative fraud and  abuse cases involving HHS programs, including False Claims Act, 
program exclusion, and civil monetary penalty cases.  In  connection with these cases, OCIG 
also negotiates and monitors corporate integrity agreements.  OCIG renders advisory 
opinions, issues compliance program  guidance, publishes fraud alerts, and provides other  
guidance  to  the health care industry concerning the anti-kickback statute and other  OIG  
enforcement authorities.