LIC 9227: A Guide to the Individual Infant Sleeping Plan

Who must have a plan, and who signs it?

For family child care homes, an Individual Infant Sleeping Plan must be completed for each infant up to 12 months of age in care and included in the infant's file at the facility. The infant's authorized representative signs and dates the plan. Keep it in the infant's file and available for Department review (22 CCR § 102425(c), 22 CCR § 102425(c)(1) and 22 CCR § 102425(c)(2)).

The regulations cite LIC 9227 (3/20). The PDF currently published by CDSS, reviewed for this guide, is labeled LIC 9227 (8/20). That version has Sections A–E and a final authorized representative signature and date. Check the official form and confirm current requirements with Community Care Licensing when preparing your records.

Sections A and B: information and sleeping environment

Section A, Infant's Information, asks for the infant's name, gender and birth date, followed by the names and phone numbers of the primary and secondary authorized representative contacts. The top of the form also has a date-of-plan field. Use the labels on the official form when gathering this information.

Section B, Sleeping Environment Information, asks where the infant sleeps at home: crib, play yard or another specified setting. It also asks for usual sleeping hours, average daytime nap length in minutes and hours, and whether the infant uses a pacifier (Yes, No or Sometimes); if yes, the form asks for the brand. These are the fields on LIC 9227 (8/20), Sections A and B.

The home-environment answers describe what happens at home. For family child care homes, 22 CCR § 102425(d) states that the provider shall place infants up to 12 months of age on their backs for sleeping.

The Section C, D and E provisions discussed below from 22 CCR § 102425(d)(1)–(4) and § 102425(d)(4)(A) apply to family child care homes. Infant care centers should check 22 CCR § 101429 and confirm their requirements with Community Care Licensing.

Section C: infant's ability to roll (authorized representative)

Section C, Infant's Ability to Roll, states that the infant can roll from back to stomach and stomach to back. It includes the date this began and the authorized representative's signature and date. Both directions are named on LIC 9227 (8/20), Section C.

When Section C is completed and signed by the authorized representative, the provider still places the infant on their back when first laid down to sleep. If the infant changes position, they may remain in the alternative position (22 CCR § 102425(d)(4)). This provision does not instruct the provider to initially place the infant on their stomach.

During a sleep check, if an infant up to 12 months is sleeping in another position and Section C is not completed, the family child care provider must return the infant to their back (22 CCR § 102425(j)(2)(C)1.). The center provision states the same return-to-back rule for staff (22 CCR § 101429(a)(2)(B)3.a.). Both sections also require documenting an infant up to 12 months of age found sleeping in a position other than on their back (22 CCR § 102425(j)(2)(C); 22 CCR § 101429(a)(2)(B)3.).

Section D: rolling observed in child care

Section D records the provider's observation that the infant can roll from back to stomach and stomach to back. LIC 9227 (8/20), Section D has a provider signature and date, plus an authorized representative signature and date.

Once the provider observes that ability, the provider fills out Section D, notifies the authorized representative, and obtains that person's signature no later than the next business day following the observation (22 CCR § 102425(d)(4)(A)). Section D's signature line repeats that timing. Keep this observed-in-care entry distinct from the authorized representative's rolling statement in Section C.

Section E: medical exemptions

Section E asks whether the infant has a medical exemption. An exemption allowing another sleeping position must be written by a licensed physician and attached to the sleeping plan. It must contain placement instructions, including sleep position; the duration; the physician's contact information; and the physician's signature and signature date (22 CCR § 102425(d)(1)). These items are also listed on LIC 9227 (8/20), Section E.

When an exemption expires, the provider follows all requirements of subsection (d) again (22 CCR § 102425(d)(2)). The exemption must be included in the infant's file and maintained as specified in Section 102421 (22 CCR § 102425(d)(3)). The form's attachment instruction says to attach required documents and maintain them in the infant's file; its final line is the authorized representative's signed and dated certification that the information on the form is complete and accurate to the best of their ability.