Department of Health and Human Services 

OFFICE OF 

INSPECTOR GENERAL 

THE RESPONSE TO 

SUPERSTORM SANDY 

HIGHLIGHTS THE 

IMPORTANCE OF RECOVERY 

PLANNING FOR CHILD CARE 

NATIONWIDE 

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 State’s 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 York’s 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 York’s 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 ACF’s recommended framework in their emergency 

preparedness and response plans for child care. 

RATIONALE 

Children and families have specific needs—such as family reunification 

and temporary child care—that 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 22–29, 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-considerationsfor-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 children’s 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 recommended—but did not have 

statutory authority to require—that 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 

1 Planning for continuation of 

services to CCDF families 

Includes provisions for continuing core CCDF functions, continuing 

payments to child care providers serving children receiving subsidies, 

assistance to impacted families, communication plans, and data security 

and storage 

2 

Coordination with other 

State/territorial agencies 

and key partners 

Includes coordination with State and local emergency management 

agencies, State agencies (e.g., child care licensing and regulatory 

agencies), volunteer/advocacy organizations, child care resource and 

referral (CCR&R) agencies, and contractors and businesses 

3 

Emergency preparedness 

regulatory requirements for 

child care providers 

Includes coordination with child care licensing and regulatory agencies to 

ensure child care providers plan in advance for disasters and strategies to 

provide ongoing technical assistance and training to child care providers 

to help prepare for emergencies and disasters 

4 

Provision of temporary child 

care services after a 

disaster 

Includes coordination with emergency management agencies, voluntary 

organizations, and CCR&R agencies; temporary operating standards or 

provisions for temporarily waiving certain child care regulatory 

requirements; and identification and training of preapproved child care 

providers that can provide temporary child care after a disaster. 

5 

Restoring or rebuilding child 

care facilities and 

infrastructure after a 

disaster 

Includes strategies for working with emergency officials, licensing 

agencies, and public health officials to conduct timely damage 

assessments, education/training for child care providers to ensure 

business continuity, and information to child care providers on available 

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 agencies—including 

those with jurisdiction over human services, State emergency planning, 

and licensing of child care providers—and 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 ACF’s 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 ACF’s framework. 

By March 1, 2016, in its CCDF plan for FYs 2016–2018, 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 cuts—known as “sequestration”—reduced 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 2016–2018 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 2016–2018 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 2016–2018 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-sandysupplemental-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 Jersey’s 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 York’s 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. 

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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 State’s 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 State’s CCDF plan for 

FYs 2014 and 2015. This plan was the most recent available at the time of 

____________________________________________________________ 

27 New York State Governor’s 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-needsresulting 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 provider’s 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 

States—New Jersey and New York—that 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 2016–2018 is 

March 1, 2016. ACF, Guidance on Extension and Submission Requirements for the 

FY 2016–2018 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 State’s 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 York’s 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 ACF’s 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 

1 

2 

3 

4 

5 

Key Area New Jersey New York 

Planning for continuation of services to 

CCDF families Yes Yes 

Coordination with other State/Territorial 

agencies and key partners Yes Yes 

Emergency preparedness regulatory 

requirements for child care providers No Yes 

Provision of temporary child care services 

after a disaster Yes Yes 

Restoring or rebuilding child care facilities 

and infrastructure after a disaster No No 

Source: OIG analysis of questionnaire responses from New Jersey and New York, 2015. 

New Jersey’s 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 

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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 

Children’s 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 Children’s 

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 Children’s 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 force’s 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 State’s Department of Human Services, which 

was a participating—but not a leading—entity in the New Jersey 

State-Led Child Task Force. The task force’s goals focused more broadly 

on supporting children and families. 

Additionally, the New York Children’s 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 Children’s 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 provider’s home—which is where the group family day
 

care was located—flooded with about 3 1⁄2 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 for—and was 

successful in receiving—financial 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 providers—including the two that 

did not receive an SSBG grant from the State—received 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 outof-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 provider—even 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. 

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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 and—in order 

to maintain children’s reestablished routines—may 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, ACF’s 

Office of Child Care developed a six-part Webinar series. Five of the 

sessions explored the framework in ACF’s 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. 

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session, entitled “Recovery: Responding to Trauma,” provided an 

introduction to children’s 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 Network—which supports ACF by 

providing technical assistance to CCDF lead agencies—has 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, ACF’s 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 ACF’s 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 Children’s 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 ACF’s recommended 

framework for emergency preparedness and response plans for child care. 

Before Sandy, neither New Jersey nor New York’s 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 area—i.e., planning 

for the restoring or rebuilding of child care facilities and infrastructure 

after a disaster—in 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; 

The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410) 18 
 

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. 

The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410) 19 
 

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 ACF’s efforts to address this recommendation and encourage 

continued progress. For the full text of ACF’s 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 

1 The plan includes provisions for continuing core CCDF program functions by Lead Agency 

management and staff during and after a disaster. 

2 The plan includes requirements that subgrantees and contractors administering the child care 

program make provisions for continuation of core functions. 

3 The plan identifies how strategic communications, decisionmaking, and information-sharing will be 

handled in different emergency or disaster situations. 

4 The plan includes procedures for continuing payments to child care providers during and after a 

disaster. 

5 The plan includes policies to temporarily continue to pay providers for absence days in the event 

that children are unable to attend due to a disaster (e.g., pandemic flu). 

6 The plan includes procedures that address systems data security and data storage to ensure 

adequate backup of family and child care provider records after a disaster. 

7 The plan includes a mechanism to collect data and track families receiving subsidies and providers 

serving subsidized children that are impacted by a disaster. 

8 

The plan includes provisions for continuing services to families in the event the Lead Agency is 

unable to conduct eligibility redeterminations or families are unable to submit necessary 

documentation. 

9 The plan includes policies to continue assistance for families receiving child care subsidies that are 

temporarily out of work or engaged in job search after a disaster. 

10 The plan includes policies with anticipate an increased need for child care subsidies among families 

impacted by a disaster, in addition to families already receiving assistance. 

11 The plan includes provisions to quickly establish and manage a waiting list for families needing 

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 

1 The plan has been developed in consultation with the emergency management agency and 

formalized coordination with child care within statewide emergency planning. 

2 The plan includes coordination with CCR&R agencies and incorporates provisions for 

communication with local child care providers in their respective geographic areas. 

3 

The plan includes consultation and coordination with child care licensing and regulatory agencies to 

ensure that providers engage in emergency preparedness and planning activities, including 

distribution of materials and resources to assist child care providers. 

4 The plan includes coordination with Head Start centers, pre-kindergarten and other early care and 

education programs to ensure collaboration and consistency in planning and preparedness efforts. 

5 

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 

important in communities that provide before- and after-school care or summer child care programs 

within a public or private school facility. 

6 The plan includes coordination with public health agencies to ensure timely and accurate 

communication with child care providers in the event of a public health emergency. 

7 The plan includes coordination with voluntary organizations that provide support for child care and 

provision of temporary child care or respite care services, if needed. 

8 

The plan providers for coordination with local business owners and nonprofit organizations to 

donate supplies (e.g., bottled water, first aid supplies) to child care providers to stock emergency 

kits. 

9 The plan includes coordination with tribal communities and agencies, when applicable, to ensure 

tribal child care programs are included in statewide emergency planning and response efforts. 

10 The plan includes coordination with social service agencies (e.g., child welfare, family courts) that 

also serve families with young children. 

11 The plan includes coordination across State jurisdictional lines, particularly in border States which 

may serve families that must be evacuated from disaster areas. 

Note: The wording of this key area’s 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 

1 

The plan includes coordination with child care licensing and regulatory agencies to ensure providers 

plan in advance for disasters, including provisions for evacuation and relocation, shelter-in-place, 

reunification with families, and accommodation of children with special needs. 

2 

The plan includes strategies to provide ongoing technical assistance, training, resources, and 

support to center-bases and family child care providers to help them better prepare for emergencies 

and disasters. 

3 The plan includes strategies for engaging local CCR&R agencies to conduct training sessions for 

child care providers on how to be prepared for a disaster. 

4 The plan includes provisions for incorporating emergency preparedness and response planning 

within quality rating improvement systems, if established by the Lead Agency. 

Note: The wording of this key area’s 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 

1 

The plan includes coordination with emergency management officials, voluntary organizations, and 

CCR&R agencies to implement temporary child care services after a disaster, including 

establishment of contracts or agreements. 

2 

The plan includes temporary operating standards (or provisions for temporarily waiving certain child 

care regulatory requirements) to accommodate providers that need to relocated and/or the provision 

of temporary child care in alternate facilities, such as shelters. 

3 

The plan includes a strategy for training and identifying preapproved child care providers who have 

undergone criminal background checks that are willing to assist with provision of temporary child 

care after a disaster. 

4 The plan includes a strategy for pre-positioning supplies for use in establishment of temporary child 

care, or to provide additional supplies to child care providers that remain open. 

5 The plan includes provisions to quickly establish and manage temporary child care in nontraditional 

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 

1 

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. 

2 

The plan includes engagement and training strategies for child care providers to ensure business 

continuity should a disaster occur, including adequate insurance coverage and protection of records 

and assets. 

3 The plan includes strategies for providing information and resources to child care providers about 

financial assistance that is available for the rebuilding process if they need to rebuild. 

4 

The plan includes a strategy for engaging business associations, community development financial 

institutions, and other organizations that can potentially provide financial assistance or microloans 

to help providers reopen. 

5 The plan includes preparedness planning with FEMA regional officials to clarify child care services 

that are eligible for reimbursement under the Public Assistance grant program. 

Note: The wording of this key area’s 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. 

The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410) 24 
 

 

 

 

 

 

 

APPENDIX B 

Disaster Assistance Available After Sandy 

FEMA Financial Assistance. After presidentially declared disasters, 

FEMA’s 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: Applicant’s 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/navigationstructure/loans-grants/small-business-loans/disaster-loans on June 4, 2015. 

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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 ACF’s 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 State’s 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 York’s 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 provider’s 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. 

The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410) 26 
 

 

 

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 listings—10 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 provider’s 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 provider’s 

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 

State 

Child Care Providers Selected Child Care Providers Interviewed 

Provider Type County SSBG Provider Type County SSBG 

New 

Jersey 

Licensed child care center 9 

Family child care provider 1 

Hudson

Ocean

Monmouth

Union 

3 

5 

1 

1 

Yes 10 

No 0 

Licensed child care center 8 

Family child care provider 0 

Hudson 3 

Ocean 4 

Monmouth 1 

Yes 8 

No 0 

Subtotal 10 8 

New 

York 

Group family day care 7 

Day care center 2 

Family day care 1 

Nassau 

Queens

Suffolk 

Westchester 

5 

3 

1 

1 

Yes 7 

No 3 

Group family day care 4 

Day care center 2 

Family day care 1 

Nassau 4 

Queens 2 

Westchester 1 

Yes 5 

No 2 

Subtotal 10 7 

 Total 20 15 

Source: OIG analysis of information on child care providers that were impacted by Sandy, 2015. 

The Sandy Response Highlights the Importance of Recovery Planning for Child Care Nationwide (OEI-04-14-00410) 28 
 

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 OIG’s 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.