CECS MP005 Walden University Regulations in Early Childhood Settings Paper

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CECS MP005

Walden University

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CECS MP005: Regulations in Early Childhood Short-Answer Response Assessment Submission Form Contact Information Please provide your contact information and date of submission below. Your Name: First and Last Your E-mail address: Your e-mail here Date: Click here to enter a date Instructions This Competency includes a Short-Answer Response Assessment. Write your response to each prompt below—in the space provided. Beneath the prompts is the Rubric, which will be used by the Competency Assessor to evaluate your responses. Carefully review the Rubric rows associated with each prompt to provide a complete response. When writing your response, begin typing where it reads “Enter Your Response Here.” Write as much as needed to satisfy the requirements of the prompt (as defined in the Rubric). Note: Save this file as MP005_firstinitial_lastname, and upload it to this Assessment within the learning platform. For example, MP005_B_Smith. ©2014 Walden University 1 Short Answer 1 Write a 4- to 5-sentence description of each of the following accrediting and regulatory bodies, including an explanation of its purpose: • • National Association for the Education of Young Children (NAEYC) National Association for Regulatory Administration (NARA) Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 1: Analyze relevant regulatory bodies and procedures that govern the operations of early childhood programs. Learning Objective 1.1: Description is not present. Response provides a vague Response clearly and Demonstrates the same Describe accrediting or inaccurate description accurately describes the level of achievement as and regulatory bodies. of the accrediting and accrediting and regulatory “2” plus the following: regulatory body. body and provides a general description of its Purpose is specifically purpose. defined and illustrated by an example of how the organization interfaces with early childhood settings. ©2014 Walden University 2 Short Answer 2 Explain the minimum programming requirements for your state. Provide a citation indicating where you found the information. (1–2 paragraphs) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. Learning Objective 2.1: Explanation is not present. Response includes a partial Response includes an Demonstrates the same Explain the mandatory description of the accurate description of the level of achievement as minimum minimum programming minimum programming “2” plus the following: requirements for requirements for a state. requirements for a state. operating early Response includes analysis childhood programs. And/or: The response provides a of value and adequacy of Response does not include web link or citation to the requirements. a web link or citation to source of information the source of information regarding mandatory regarding mandatory minimum requirements. minimum requirements. ©2014 Walden University 3 Short Answer 3 Imagine you are starting a new early childhood care center. Summarize the licensure requirements for your state and provide the website or citation where you found the licensure requirements. (1 paragraph) Your Response Enter Your Response Here Rubric 0 Not Present 1 Needs Improvement 2 Meets Expectations 3 Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. Learning Objective 2.2: Summary is not present. Response provides a vague Response clearly and Demonstrates the same Summarize relevant or inaccurate summary of accurately summarizes the level of achievement as licensure requirements licensure requirements relevant licensure “2” plus the following: for early childhood within a specific state. requirements within a centers. specific state. Response includes analysis of value and adequacy of Response includes the requirements. website or citation indicating where the licensure information was located. ©2014 Walden University 4 Short Answer 4 Summarize the annual inspection requirements for your state. Provide a citation indicating where you found the information. (1 paragraph) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. Learning Objective 2.3: Summary is not present. Response provides a Response provides an Demonstrates the same Summarize the annual partial summary of the accurate summary of the level of achievement as inspection inspection requirements inspection requirements “2” plus the following: requirements for early for a specific state and/or for a specific state. childhood programs. no web link or citation is Response includes analysis provided. The response provides a of value and adequacy of link or citation to the requirements. source regarding annual inspection requirements. Short Answer 5 Describe the following codes and regulations that must be met prior to receiving a certificate of occupancy from the local government. (1 paragraph each) a. Zoning codes ©2014 Walden University 5 b. Fire safety regulations c. Building codes d. Sanitation codes Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. Learning Objective 2.4: Description is not present. Response provides a Response provides an Demonstrates the same Describe relevant partial or inaccurate accurate description of the level of achievement as codes and regulations description of the codes codes and regulations “2” plus the following: that apply to early and regulations. Response includes analysis childhood settings. of value and adequacy of requirements. Short Answer 6 Explain the importance of criminal background checks and health screenings and how they apply to legal requirements for staffing early childhood care programs. (2–3 paragraphs) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. Learning Objective 2.5: Explanation is not present. Response partially or Response clearly explains Demonstrates the same ©2014 Walden University 6 0 Not Present Explain the importance of criminal background checks and health screenings. 1 Needs Improvement inaccurately explains how criminal background checks and health screenings apply to the legal requirements that govern early childhood settings. 2 Meets Expectations the importance of criminal background checks and health screenings. Response clearly explains how criminal background checks and health screenings apply to the legal requirements that govern early childhood settings. 3 Exceeds Expectations level of achievement as “2” plus the following: Response includes analysis of value and adequacy of requirements. Short Answer 7 Explain the responsibility of each child care professional to act as a mandated reporter. (3–4 paragraphs) Be sure to address: • In what instances are staff members required to report information to the state government? • How might staff members be legally liable if they fail to report incidents? Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. ©2014 Walden University 7 Learning Objective 2.6: Explain the legal obligations of early childhood professionals as mandatory reporters. 0 Not Present Explanation is not present. 1 Needs Improvement Response partially explains the legal obligations of early childhood professionals as mandatory reporters. 2 Meets Expectations Response clearly explains the legal obligations of early childhood professionals as mandatory reporters. Response provides a thorough explanation of the consequences for failing to report incidents of abuse and/or neglect. 3 Exceeds Expectations Demonstrates the same level of achievement as “2” plus the following: Response includes analysis of value and adequacy of mandatory reporting requirements. Short Answer 8 Explain the guidelines surrounding proper hygiene techniques and sanitation as they relate to spills of bodily fluids, toilet training, and diapering. (2–3 paragraphs) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs. ©2014 Walden University 8 Learning Objective 2.7: Explain guidelines for proper sanitation in early childhood contexts. 0 Not Present 1 Needs Improvement 2 Meets Expectations Explanation is not present. Response explains some of the guidelines for hygiene and sanitation as it relates to bodily fluids, toilet training, and diapering, but is incomplete. Response clearly explains the guidelines for hygiene and sanitation as it relates to bodily fluids, toilet training, and diapering. 3 Exceeds Expectations Demonstrates the same level of achievement as “2” plus the following: Rationale provides evidence from the state licensing and regulations requirements. Short Answer 9 Imagine you are an early childhood program administrator. One early childhood professional in your center has complained about the extra work involved in pursuing NAEYC accreditation. Explain the purpose and importance of early childhood program accreditation to this teacher. (2–3 paragraphs) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs. Learning Objective 3.1: Explanation is missing. Response partially explains Response clearly explains Demonstrates the same Explain the purpose the purpose and the purpose and level of achievement as ©2014 Walden University 9 0 Not Present and importance of accreditation. 1 Needs Improvement importance of accreditation. 2 Meets Expectations importance of accreditation. 3 Exceeds Expectations “2” plus the following: Response provides a specific and compelling rationale for accreditation of early childhood programs. Short Answer 10 Describe at least two of the following trainings and educational programs that are available to administrators of early childhood programs. (1 paragraph each) a. Child Development Associate (CDA) credential b. Degree programs that are recognized by the National Council for Accreditation of Teacher Education (NCATE) c. Head Start Management Fellows program Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs. Learning Objective 3.2: Description is missing. Response partially or Response clearly and Demonstrates the same Describe training and inaccurately describes accurately describes two level of achievement as ©2014 Walden University 10 0 Not Present accreditation programs available to early childhood administrators. 1 Needs Improvement training and accreditation programs. 2 Meets Expectations training and/or accreditation programs. 3 Exceeds Expectations “2” plus the following: Describes all three programs. Short Answer 11 Explain how conducting an early childhood care center self-study, as part of the accreditation process, can help improve the quality of early childhood programming. (2–3 paragraphs) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs. Learning Objective 3.3: Explain the purpose of self-studies within the accreditation process. ©2014 Walden University Explanation is not present. Response vaguely explains the purpose of self-study as part of the accreditation process and/or does not provide sufficient supporting evidence. Response clearly explains the purpose of self-study as part of the accreditation process in supporting quality. Demonstrates the same level of achievement as “2” plus the following: Rationale demonstrates understanding that selfstudy is crucial to the accreditation process. 11 Short Answer 12 Explain the steps that must be taken during a child’s first 90 days of enrollment in a Head Start program to assess their health and developmental needs. Explain why these steps are important to promoting high-quality experiences for children and families. (3–5 paragraphs) Be sure to address: • • • What screenings must be conducted? What consultations regarding physical and mental health must be conducted with parents? How does the assessment of a child’s health impact the individualization of their educational program? Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs. Learning Objective 3.4 Explanation is not present. Response explains some of Response clearly explains Demonstrates the same Explain requirements the steps required within the steps required within level of achievement as related to a child’s first the first ninety days of a the first ninety days of a “2” plus the following: ninety days of child’s enrollment in Head child’s enrollment in Head enrollment in Head Start, including an accurate Start, including an accurate Rationale includes specific Start programs. description of some of the description of the references to the Head appropriate screenings appropriate screenings Start Performance and consultations. and consultations. Standards where appropriate. Response clearly explains why each step is important in promoting high-quality experiences for children and families. ©2014 Walden University 12 Short Answer 13 What is the Quality Rating and Improvement System (QRIS)? How can it be used by early childhood programs to improve upon the minimum standards set by state licensing regulations, and what are some benefits and challenges associated with this system? (3–4 paragraphs) Your Response Enter Your Response Here Rubric 0 1 2 3 Not Present Needs Improvement Meets Expectations Exceeds Expectations Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs. Learning Objective 3.5 Definition is not present. Response provides a Response provides an Demonstrates the same Define quality rating partial or inaccurate accurate definition of level of achievement as and improvement definition of quality rating quality rating and “2” plus the following: systems. and improvement systems. improvement systems. Response includes detailed Response clearly explains description of specific how QRIS can be used by benefits and challenges of early childhood programs QRIS to early childhood to improve upon the programs. minimum standards and includes general description of benefits and challenges. ©2014 Walden University 13 RESEARCH BRIEF #1: TRENDS IN CHILD CARE CENTER LICENSING REGULATIONS AND POLICIES FOR 2014 This research brief is a joint effort between the National Center on Child Care Quality Improvement (NCCCQI), a previous contract of the Office of Child Care, and the National Association for Regulatory Administration (NARA). This is the first in a series of briefs from this collaboration to collect and analyze data about child care licensing in the United States. The National Center on Early Childhood Quality Assurance is disseminating the briefs. Introduction Licensing Systems Within the early care and education system, licensing provides the baseline of protection for children and covers the broadest content, the largest number of children from birth to school age, and the largest population of providers. Licensing helps prevent various forms of harm to children—risks from the spread of disease; fire and other building safety hazards; injury; and developmental impairment from the lack of healthy relationships with adults, adequate supervision, or developmentally appropriate activities. Licensing is a process administered by State and Territory governments that sets a baseline of requirements below which it is illegal for facilities to operate.1 States have regulations that facilities must comply with and policies to support the enforcement of those regulations. Some States may call their regulatory processes “certification” or “registration”; for purposes of this research brief, the terms “licensing” and “licensed” are used to represent all regulatory processes. Content Page Introduction 1 Summary of Key Findings 4 Trends in State Child Care Center Licensing Regulations 5 Trends in State Child Care Center Licensing Policies 18 Conclusion 26 1 “Licensing/licensed” is defined as permission from a State that is required to operate a child care facility, which includes meeting specific program standards. National Center Early Childhood Quality Assurance 1 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 New Federal Statute In 2014, the Child Care and Development Block Grant (CCDBG) Act of 2014, which included several provisions related to health and safety requirements for child care providers, was signed into law.2 The law identifies minimum health and safety requirements, training requirements, and monitoring requirements to ensure that child care used by children receiving Child Care and Development Fund (CCDF) financial assistance protects their health and safety, as shown in figure 1. The reforms made by reauthorization will benefit more than 1.4 million children receiving child care subsidies, as well as other children who receive no direct assistance from CCDF but benefit from safer child care settings with better-skilled teachers and staff.3 Figure 1: Health and Safety Requirements for Child Care Providers in the CCDBG Act of 20144 ■ Requires States5 to establish health and safety requirements in 10 different topic areas (e.g., prevention of sudden infant death syndrome [SIDS], first aid, and CPR). ■ Child care providers serving children receiving assistance through the CCDF program must receive pre­ service and ongoing training on such topics. ■ Requires States to conduct criminal background checks for all child care staff members, including staff members who don’t care directly for children but have unsupervised access to children, and specifies disqualifying crimes. ■ Requires States to certify that child care providers will comply with child abuse reporting requirements. ■ Requires States to conduct pre-licensure and annual unannounced inspections of licensed CCDF providers and annual inspections of license-exempt CCDF providers. ■ States must establish qualifications and training for licensing inspectors and appropriate inspector-to­ provider ratios. ■ Requires States to have standards for CCDF providers regarding group size limits and appropriate child­ to-provider ratios based on the age of children in child care. ■ Requires emergency preparedness planning and statewide disaster plans for child care. 2 The Child Care and Development Block Grant Act of 2014 and section 418 of the Social Security Act (42 USC 618), as amended, provide the statutory authority for implementation of the Child Care and Development Fund program as designated by the Administration for Children and Families. Retrieved from http://www.acf.hhs.gov/programs/occ/resource/ccdf-law. 3 Child Care and Development Block Grant Act (CCDBG) of 2014: Frequently Asked Questions (2015), by the Office of Child Care, Administration for Children and Families, U.S. Department of Health and Human Services. Retrieved from http://www.acf.hhs.gov/programs/occ/resource/ccdf-reauthorization-faq#General. 4 Child Care and Development Block Grant Act (CCDBG) of 2014: Plain Language Summary of Statutory Changes (2014), by the Office of Child Care, Administration for Children and Families, U.S. Department of Health and Human Services. Retrieved from http://www.acf.hhs.gov/programs/occ/resource/ccdbg-of-2014-plain-language-summary-of­ statutory-changes. 5 45 CFR 98.2 defines State as “any of the States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands of the United States, Guam, American Samoa, the Commonwealth of the Northern Marianas Islands, and includes Tribes unless otherwise specified.” National Center on Early Childhood Quality Assurance 2 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Scope and Purpose The purpose of this research brief is to report on the licensing requirements and policies for child care centers for all 50 States, the District of Columbia, and the two U.S. Territories that responded to the survey —Guam and the Virgin Islands. The term “State” will be used for all 53 jurisdictions. In addition to the two Territories, Idaho was added to the Child Care Licensing Study data for the first time as it has now promulgated statewide licensing requirements. States may define child care centers differently in their licensing requirements. For the purpose of categorizing the types of center-based child care settings States regulate, the following definition from the CCDF Final Rule6 is used: Child care services for fewer than 24 hours per day per child in a nonresidential setting, unless care in excess of 24 hours is due to the nature of the parent(s)’ work. In other research briefs in this series, licensing requirements and policies for family child care homes and group child care homes are addressed. Using data compiled from state child care licensing regulations and the results of NARA’s survey of state licensing agencies, NCCCQI conducted an analysis that examines the state of licensing in 2014 and identifies trends that have become apparent during several years of data collection. Compilation of State Licensing Requirements For this research, all data regarding child care center requirements were compiled from the regulations posted on the National Resource Center for Health and Safety in Child Care and Early Education (NRC) Web site between January 1, 2012, and December 31, 2014. The licensing requirements data presented in this research brief only includes information from state and territory child care licensing regulations. Additional requirements for child care facilities may be in state statutes; administrative codes; or other local, state, or Federal laws. It was beyond the scope of this work to review all laws that pertain to child care programs. NARA Survey of Licensing Programs and Policies The data about States and Territories’ licensing policies, including facility monitoring, enforcement of licensing regulations, and licensing program staffing, were gathered by NARA in the 2014 NARA Child Care Licensing Programs and Policies Survey. NARA sent the survey via SurveyMonkey®, an online survey tool, to all state child care licensing agencies in September 2014. Respondents submitted their answers via the Internet, and by January 2015, all States had responded. Comparative Analysis This brief includes a comparison of the 2014 data with data on 2011 licensing regulations and policies that were reported in the 2013 brief Research Brief #1: Trends in Child Care Center Licensing 6The Child Care and Development Fund (CCDF) Final Rule is available at http://www.gpo.gov/fdsys/pkg/CFR-2011­ title45-vol1/pdf/CFR-2011-title45-vol1-part98.pdf National Center on Early Childhood Quality Assurance 3 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Regulations and Policies for 2011.7 The 2013 brief includes a comparison of the 2011 data with previous Child Care Licensing Studies from 2005, 2007, and 2008. These reports are available at http://www.naralicensing.org/child-care-licensing-study. Summary of Key Findings In reviewing all the data, some key findings emerged and are listed below. The data for these findings and many other indicators are detailed in the remaining sections of this research brief. Licensing Regulations Since the data collection in 2011, more than 60 percent of States have made changes to their licensing regulations for child care centers, and a number of significant trends have emerged. ■ States have increased the preservice qualifications required for teachers and directors, including the amount of administrative training required for directors. ■ States have increased the number of annual training hours for at least one center role. The median number of required training hours for center teachers and assistant teachers is 15; the median for directors is 19 hours. ■ More States conduct a comprehensive background check and require checks of criminal history records, fingerprint (state and federal) records, child abuse and neglect registries, and the sex offender registry for center staff. ■ The number of States requiring centers to place infants on their backs to sleep to reduce incidences of SIDS has increased. States have also added training requirements about reducing SIDS. ■ A few States added requirements about reporting serious injuries and deaths that occur to children in child care settings. Licensing Policies There are several positive trends in child care licensing policies about monitoring and enforcement in child care centers from 2011 to 2014. ■ The average caseload for licensing line staff decreased from 103 facilities in 2011 to 97 facilities in 2014. ■ More States are reporting the use of differential monitoring strategies—such as abbreviated compliance forms, risk assessment of requirements, and key indicator systems—that promote efficiencies and allow for better allocation of resources and staff. ■ The number of States that post licensing information on their Web sites has increased. This number has more than tripled since data were first collected in 2005. ■ A higher percentage of States report that they provide technical assistance to assist facilities in improving quality and exceeding minimum licensing regulations. 7Research Brief #1: Trends in Child Care Center Licensing Regulations and Policies for 2011 (2013), by NCCCQI, is available at https://childcareta.acf.hhs.gov/resource/research-brief-1-trends-child-care-center-licensing-regulations­ and-policies-2011. National Center on Early Childhood Quality Assurance 4 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Trends in State Child Care Center Licensing Regulations The information in this section was compiled and analyzed from the licensing regulations posted on the NRC Web site between January 1, 2012, and December 31, 2014. Child Care Centers Licensed ■ All States, as well as the District of Columbia, Guam, and the Virgin Islands, license child care centers. Dates and Types of Regulations ■ There is a wide range of effective dates for child care center licensing regulations.  Thirty-three (33) States made changes to their child care center licensing regulations from 2012 through 2014 (i.e., since data were collected in 2011). ■ One State (Vermont) has not changed its regulations since 2001. ■ In addition to their center regulations, many States have separate sets of regulations for specific types of care, such as:  School-age care in 13 States—California, Colorado, Hawaii, Indiana, Kansas, New Mexico, New York, North Dakota, Oklahoma, Rhode Island, South Dakota, Vermont, and Washington; and  Infant and toddler care in three (3) States—California, Hawaii, and Montana. Definition of Licensed Child Care Centers ■ There are several common elements in States’ definitions of center-based facilities that are required to be licensed.  Three-quarters of States define a center by the minimum number of children in the facility.  Most States define a center as a facility that operates for less than 24 hours or any part of a 24­ hour day.  Half of States also define a center as operating on an ongoing/regular or scheduled basis.  Other common definition elements include services provided for compensation, ages of the children in the facility, and the number of hours services are provided. Licensing Exemptions State child care licensing regulations include definitions of the types of center-based facilities that are exempt from licensing. Table 1 shows the most common exemptions from licensing for center-based facilities. National Center on Early Childhood Quality Assurance 5 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 1: Most Common Licensing Exemptions, 2014 Licensing Exemptions Percentage of States Facilities where parents are on the premises (e.g., child care services in a shopping mall or health club) 57% Preschool programs operated by public schools or approved by the state department of education 57% Facilities with a small number of children in care 51% Recreation programs, instructional classes, and/or club programs 51% Summer day camps 45% Facilities operating a small number of hours per day or week 42% Child care services provided during religious services 32% N = 53 States (including two Territories, and the District of Columbia). ■ Twelve (12) States have various licensing exemptions for child care programs operated by religious organizations:  Six States exempt these programs from all licensing requirements and processes—Alabama, Florida, Indiana, Missouri, South Carolina, and Virginia.  Three States exempt child care programs operated by educational institutions affiliated with religious organizations—Illinois, Tennessee, and Texas.  Three States exempt these programs from some licensing requirements and processes— Arkansas, Maryland and North Carolina. Staff Roles and Age Requirements ■ All States that license child care centers have requirements pertaining to the director and teacher staff roles. ■ The most common age requirement is that directors be a minimum of 21 years old, 18 years old for master teachers and teachers, and 16 years old for assistant teachers and aides. Staff Qualifications and Ongoing Training Requirements ■ Nearly all States require center directors to have a high school diploma or equivalent, have preservice training or experience, and complete a minimum number of hours of training each year, as shown in table 2. This is also true for States with requirements for the master teacher role. Since 2011,  Two States (Kentucky and Nebraska) have added a requirement for a high school diploma for teachers; and  One State (Rhode Island) has added a requirement for a high school diploma for assistant teachers. National Center on Early Childhood Quality Assurance 6 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 2: Number of States with Requirements for High School Diploma or GED Equivalent, Preservice Qualifications, and Ongoing Training, 2014 Role Regulated High School Diploma or Equivalent* Preservice Qualifications Ongoing Training Director 53 48 50 47 Master teacher 17 14 17 16 Teacher 53 36 39 50 Assistant teacher 29 13 18 24 Aide 20 5 9 14 Center Staff Role N = 53 States (including two Territories, and the District of Columbia). *It varies by role and State whether a high school diploma or GED is required in addition to other preservice qualifications, such as training, credentials, or experience; or as the only qualification. In most cases, it is required in addition to other qualifications. ■ The most common minimum qualification for both center directors and master teachers is the Child Development Associate (CDA) Credential™. For States that have minimum qualifications for teachers, the most common type is experience—either alone or with a high school diploma or General Educational Development (GED) credential. Many States have requirements for the type of experience needed.8  Six States have changed the amount of preservice training required for directors since 2011— Arizona, Georgia, Maryland, Michigan, Nebraska, and New Mexico.  Four of these States increased the amount of administrative training required for directors— Arizona, Maryland, Michigan, and New Mexico.  Four States changed the amount of preservice training required for teachers in the same time period—Georgia, Nebraska, Rhode Island, and Texas. ■ The number of ongoing training hours required annually ranges from 3 to 30. The median number of required training hours for center teachers and assistant teachers is 15; the median for directors is 19 hours. Many States specify the content and delivery methods of ongoing training.  Six States have increased the number of training hours for at least one center role since 2011— Alaska, Idaho, Kentucky, Michigan, New Jersey, and Texas. Orientation Training ■ More than three-quarters of States that license child care centers require staff to complete some type of orientation training to work in a center. ■ Twenty-nine (29) States require centers to provide orientation training to new employees and volunteers. Orientation training is often the responsibility of the center director. 8 For directors, in most States the high school diploma is required in addition to other preservice qualifications, such as training, credentials, or experience. For teachers, more often high school diplomas are the only qualification or may be paired with experience. National Center on Early Childhood Quality Assurance 7 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Health and Safety Topics Required in Preservice and Orientation Training FIRST AID AND CPR ■ As shown in table 2, 51 States require center staff to complete first aid and cardiopulmonary resuscitation (CPR) training before working with children or soon after employment. Thirty-eight States (38) specify that CPR training must focus on infants and children. Table 2: First Aid and CPR Training Included in Preservice or Orientation Licensing Requirements, 2014 First Aid and CPR Training Number of States First aid training required 51 Required for at least one staff member on duty 35 Required for all staff 18 Training focused on infants and children 15 CPR training required 51 Required for at least one staff member on duty 39 Required for all staff 14 Training focused on infants and children 38 N = 53 States (including two Territories, and the District of Columbia). OTHER TRAINING TOPICS ■ As shown in table 3, more than 70 percent of States require center staff to complete preservice or orientation training related to detecting and reporting child abuse and neglect. Nearly 60 percent require center staff to complete training in emergency preparedness and preventing the spread of communicable disease, respectively. Table 3: Health and Safety Training Topics Included in Preservice or Orientation Licensing Requirements, 2014 Health and Safety Training Topics Number of States Child abuse and neglect 38 Emergency preparedness and response 30 Spread of communicable disease, universal precautions, hand washing 30 Administration of medication 16 National Center on Early Childhood Quality Assurance 8 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) Health and Safety Training Topics November 2015 Number of States Reducing the risk of SIDS, safe sleep practices 16 Special health care needs 14 Care of sick children 13 Child nutrition and feeding 13 Shaken baby syndrome 11 Fire safety 7 Transportation, child safety restraints 7 N = 53 States (including two Territories, and the District of Columbia). Background Checks ■ All States require at least one type of background check for center staff prior to hiring. As shown in figure 2, the percentage of States requiring fingerprint checks against state and Federal records and the sex offender registry checks has increased since 2011. Figure 2: Background Check Requirements Child Care Centers, 2011 and 2014 100% 96% 96% 88% 90% Percentage of States 80% 91% 72% 70% 62% 60% 72% 64% 52% 48% 50% 40% 2011 30% 2014 20% 10% 0% Criminal history records State fingerprints Federal fingerprints Child abuse and Sex offender neglect registry registry Type of Background Check N = 53 States (including two Territories, and the District of Columbia). National Center on Early Childhood Quality Assurance 9 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 ■ Sixteen (16) States conduct comprehensive background checks and require checks of criminal history records, fingerprints (state and Federal), child abuse and neglect registries, and the sex offender registry for center staff: Alabama, Alaska, Arizona, California, Colorado, the District of Columbia, Hawaii, Idaho, Mississippi, Nevada, New Mexico, North Carolina, South Carolina, Tennessee, Utah, and Washington. This increased from 11 States in 2011. ■ Forty (40) States require center staff to sign criminal-status statements. Staff Hiring Requirements ■ Thirty-nine (39) States require center staff to have a physical exam or provide a health statement from a physician before working with children. ■ Forty States (40) require center staff to have a tuberculosis screening. ■ Half of States require references when hiring center directors or other staff. Child-Staff Ratios and Group Size ■ All States have requirements for child-staff ratios. Twelve (12) States do not regulate group size for any age groups. An additional 10 States do not regulate group size for at least one age group. ■ Tables 4 and 5 show that only the few States with the lowest child-staff ratios and group sizes meet or exceed the recommendations in Caring for Our Children: National Health and Safety Performance Standards; Guidelines for Out-of-home Child Care Programs, 3rd Edition (CFOC)9. Table 4: Range of State Child-staff Ratio Requirements for Child Care Centers, 2014 Lowest Required Ratio Number of States Highest Required Ratio Number of States Most Common Ratio Number of States CFOC Guidelines 6 weeks 3:1 3 6:1 4 4:1 34 3:1 11 months 3:1 3 6:1 5 4:1 33 3:1 18 months 3:1 1 9:1 3 6:1 16 4:1 35 months 4:1 2 12:1 2 8:1 12 4:1 3 years 7:1 2 15:1 5 10:1 23 7:1 4 years 8:1 1 20:1 3 10:1 19 8:1 5 years 9:1 1 25:1 2 15:1 14 8:1 10 years 10:1 1 26:1 1 15:1 16 12:1 Age of Children Infant Toddler Preschool School-age N = 53 States (including two Territories, and the District of Columbia). 9 American Academy of Pediatrics, American Public Health Association, National Resource Center for Health and Safety in Child Care and Early Education. (2011). Caring for our children: National health and safety performance standards; Guidelines for early care and education programs. 3rd Edition. http://nrckids.org/CFOC3/index.html. National Center on Early Childhood Quality Assurance 10 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 5: Range of State Group Size Requirements for Child Care Centers, 2014 Lowest Required Group Size Number of States Highest Required Group Size Number of States Most Common Group Size Number of States CFOC Guidelines 6 weeks 6 1 20 1 8 19 6 11 months 6 1 20 1 8 19 6 18 months 8 7 20 2 12 12 8 35 months 8 2 22 1 14 9 8 3 years 14 1 30 2 20 19 14 4 years 20 18 36 1 20 18 16 5 years 20 9 40 2 30 12 16 10 years 20 2 50 1 30 15 24 Age of Children Infant Toddler Preschool School-age N = 53 States (including two Territories, and the District of Columbia). ■ Forty-seven (47) States allow child care centers to have mixed-age groups of children. All of these States have requirements about child-staff ratios for mixed-age groups, and more than half have requirements about group size for mixed-age groups. Most States base mixed-age group ratios and group size on the age of the youngest child in the group. Supervision of Children ■ More than 90 percent of States have requirements for staff on the supervision of children in care. Among those States, some specify that staff must be able to see or hear children at all times or that staff must be free of other duties while supervising children. ■ All States have specific requirements about the supervision of children during at least one of the times or activities listed in table 6. Table 6: Supervision Requirements for Child Care Centers, 2014 Times and Activities Number of States Transportation in vehicles 49 Naptime 46 Field trips 44 Swimming or water activities 44 Evening or overnight care 37 Outdoor play 31 N = 53 States (including two Territories, and the District of Columbia). National Center on Early Childhood Quality Assurance 11 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Health Requirements and Medical Care ■ Thirty (30) States require children to have a physical exam when enrolling in a center. ■ As shown in table 7, all States require children to have immunizations to enroll in centers. However, most States allow exemptions from immunization requirements if written statements are provided from either a physician or parent. Table 7: Immunization Requirements for Children in Centers, 2014 Immunization Requirements for Children Number of States Children are required to have immunizations to enroll in a center 53 State sets time for when immunizations records must be submitted to the center after enrollment 24 Immunization Exemptions for Children State allows parents/guardians to provide a written statement that they do not wish to have their child immunized 37 State allows medical professionals to provide a written statement for exemption from immunizations for medical need 36 State allows centers to exclude children until immunization records or exemption statements are provided 18 State allows centers to accept a child on a conditional basis if not all immunizations are complete 7 State allows centers to refuse to accept children who have been exempted from immunization by the parents 2 N = 53 States (including two Territories, and the District of Columbia). ■ All States have requirements about the administration of medication to children. Centers in nearly all States must obtain permission from parents to administer medications, keep records of medications given to children, and get written instructions about how to give the medication to children.  Seventeen (17) States and Territories require center staff to complete training about the administration of medication—California, Colorado, Connecticut, Delaware, Georgia, Indiana, Maryland, Nevada, New Jersey, New York, Ohio, Utah, Vermont, Virgin Islands, Virginia, West Virginia, and Wyoming. ■ Seventy-nine (79) percent of States require centers to exclude children who are mildly ill, meaning that they must be kept home until they are well enough to return to programs. National Center on Early Childhood Quality Assurance 12 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Nutrition and Maintaining Healthy Weight ■ Fifty-two (52) States and Territories have requirements for centers about the nutritional content of meals and snacks served to children. ■ Table 8 shows that a growing number of States are adding requirements to their licensing regulations to help with preventing obesity and maintaining healthy weight in young children. Table 8: Number of States with Requirements for Child Care Centers about Maintaining Healthy Weight in Children, 2011 and 2014 2011 2014 (N = 50) (N = 53) Drinking water must be freely available to children throughout the day 40 43 Requirements about breastfeeding or feeding breast milk to children in care 37 43 Fruit or vegetables must be served at every meal 19 19 Soft drinks or other sugary drinks are prohibited 6 8 Limit servings of 100% juice to one 4 to 6 ounce serving per day 3 3 Low-fat or nonfat milk must be served to children age two and older 2 3 Meals are eaten family style 1 1 No fried foods are served 0 0 Daily outdoor play is required when weather permits 46 47 Duration of daily physical activity is specified 8 11 State has rules about children’s use of television, computers, or other electronic media 22 26 Content of electronic media is age-appropriate, educational, nonviolent, etc. 16 18 State sets limits on the amount of screen time 11 15 Use of electronic media is prohibited with children younger than age 2 5 12 Healthy Weight Requirement* Nutrition Physical activity Screen time N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011. *The table shows the number of States that have licensing requirements about nutrition, physical activity, and screen time that are similar to the elements in the Let’s Move! Child Care initiative’s goal areas. Additional information about Let’s Move! Child Care is available at http://www.healthykidshealthyfuture.org. National Center on Early Childhood Quality Assurance 13 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Behavior Guidance and Discipline ■ Forty-two (42) States specify the types of discipline or behavior guidance that centers are allowed to use with children, and 52 States and Territories specify forms of discipline centers are not allowed to use with children.  Two (2) States (Louisiana and South Carolina) allow corporal punishment by specifically listing it as a form of acceptable discipline in their licensing regulations. Activities and Equipment and Materials ■ Forty-nine (49) States specify the types of activities—such as outdoor play, active play, quiet play, naptime, and group activities—that must be included in the daily schedule for children. ■ Forty-one (41) States specify that the domains of children’s development must be addressed in activities. Most of these States require centers to address children’s social, physical, language and literacy, cognitive and intellectual, and emotional development. Nearly half of States require centers to address cultural development. ■ Seventy-five (75) percent of States have requirements for the types of equipment and materials centers must have for children, such as indoor and outdoor gross-motor equipment, fine-motor manipulatives, books and other literacy materials, and art supplies. Child Assessment ■ Three States (Massachusetts, Nevada, and Vermont) require centers to use observation and/or assessment methods to document children’s development and to share the results of assessments with families. Parent Involvement ■ Nearly half of States have parent involvement requirements for centers, including requiring centers to provide opportunities for parents to be involved in program activities. ■ Forty-six (46) States have requirements about communication with parents, with half of States requiring centers to keep logs of children’s care and communicate with parents, and more than a third requiring centers to hold regularly scheduled meetings with parents. ■ Forty-seven (47) States require centers to provide parents with access to the facility at all times when their child is present. Transportation ■ Fifty-one (51) States and Territories have requirements about transporting children in vehicles.  As shown in table 9, there has been a small increase in the number of States with these requirements since 2011. National Center on Early Childhood Quality Assurance 14 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 9: Number of States with Transportation Requirements for Child Care Centers, 2011 and 2014 2011 2014 (N = 50) (N = 53) Requirements for transporting children in vehicles 49 51 Safety restraints for children (e.g., seat belts, car seats) 44 47 Driver requirements (e.g., driver’s license, minimum age requirements) 43 46 Specific child-staff ratio requirements for transporting children in vehicles 39 40 Supervision of children when they board and exit vehicles 24 24 Attendance records of children being transported 20 20 Additional checks for children remaining on board are conducted once vehicles are unloaded 7 7 Transportation Requirements N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011. Care of Infants and Toddlers ■ The number of States requiring centers to place infants on their backs to sleep to reduce incidences of SIDS has increased by 5 States since 2011, as shown in table 10. Twenty-four (24) States had this requirement in 2005. ■ States have also added requirements about physician authorization for different sleep positions and prohibited the use of soft bedding in cribs. Five States have also added training requirements about reducing SIDS. Table 10: Number of States with Requirements for Child Care Centers about Reducing the Risk of SIDS, 2011 and 2014 2011 2014 (N = 50) (N = 53) Infants must be placed on their backs to sleep 42 47 Physicians may authorize different sleep positions for infants 35 38 Soft bedding or materials must not be used in cribs 25 30 Facilities must use cribs that meet the U.S. Consumer Product Safety Commission requirements NA 28 Staff are required to complete preservice or orientation training about reducing SIDS 10 16 Parents can authorize a different sleep position for infants 5 6 SIDS Reduction Requirements N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011. NA = Data not collected in 2011. National Center on Early Childhood Quality Assurance 15 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 ■ Among the 50 States that have requirements for infant and toddler care, 23 require that centers assign a primary, consistent caregiver to each child. This has not changed since 2011. ■ Fifty-two (52) States and Territories have requirements about how to feed infants, and 43 have requirements about breastfeeding or feeding breast milk to children in care. ■ Seventeen (17) States have specific qualifications for staff that work with infants and toddlers that include training on how to care for these age groups. Care of School-Age Children ■ Thirteen (13) States have separate sets of regulations for facilities that care for only school-age children. In addition, 47 States have incorporated requirements for the care of school-age children into the regulations for mixed-age child care centers. ■ Of the 47 States with requirements in center regulations, 28 States have specific qualifications for staff that work with school-age children. ■ Forty-three (43) States specify the types of activities centers should provide for school-age children. ■ Twenty-eight (28) States require centers to have specific types of equipment for school-age children. ■ Twenty (20) States have requirements specific to the supervision of children in this age group. Care of Children with Disabilities or Other Special Needs ■ Thirty-nine (39) States have requirements about the care of children with special needs in their child care center regulations. Table 11 includes some of the most common requirements for child care centers. Table 11: Requirements about the Care of Children with Disabilities or Special Needs for Child Care Centers, 2014 Requirements about the Care of Children with Disabilities Number of States Facility must keep information about disabilities or special needs in children’s records 19 Facility must obtain information from parents about children’s disabilities or special needs 19 Facility must develop activity plans or accommodate existing plans for children with disabilities or special needs 17 For children identified as having a disability or special need, facility must keep IEP plans or IFSPs in records 10 Facility staff must communicate with families about children’s progress concerning special needs 10 Facility must develop plans for caring for children with disabilities or special needs 9 N = 53 States (including two Territories, and the District of Columbia). IEP = Individualized Education Program IFSP = Individual Family Services Plan National Center on Early Childhood Quality Assurance 16 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Facility Health and Safety Requirements ■ As shown in table 12, between 2011 and 2014, there has been an increase in the number of States with common health and safety requirements for child care centers. Some of the increases are due to the addition of requirements from Guam and the Virgin Islands to the 2014 data collection. Any instances of three or more States that changed their requirements since 2011 are noted below:  Three States added requirements about the following:  Fire safety—Alaska, Idaho10, and Kentucky;  Keeping daily attendance records—Idaho, Nebraska, and Rhode Island;  Handwashing for children—Idaho, South Dakota, and Wyoming; and  Prohibiting smoking in child care centers—Idaho, Nebraska, and Wyoming.  Four States added requirements about reporting serious injuries that occur to children in child care centers—Idaho, Nebraska, Rhode Island, and Utah.  Five States added requirements about reporting deaths that occur to children in child care centers—Idaho, Nebraska, Rhode Island, Utah, and Virginia.  In 2011, five States added a requirement that prohibited firearms in child care centers—Arkansas, Connecticut, Delaware, the District of Columbia, and North Carolina. Two more States (Nevada and Rhode Island) have added that prohibition since 2011. Table 12: Number of States with Requirements about Health and Safety for Child Care Centers, 2011 and 2014 2011 (N = 50) 2014 (N = 53) Environmental tests (e.g., lead paint, lead in water, asbestos, radon) 13 13 Environmental inspections (e.g., fire, health, building code) 41 41 Amount of indoor space per child is 35 square feet 41 41 Amount of outdoor space per child is 75 square feet 31 31 Fence or other enclosure around outdoor space 40 41 Requirements for fire safety 47 51 Fire drills 39 42 Emergency preparedness (e.g., weather, utility-related, acts of terrorism) 38 38 Daily attendance records kept 37 41 Procedures for accepting and releasing children (i.e., signing in and out) 27 28 State Health and Safety Requirements for Center-Based Facilities Environmental tests and inspections Indoor and outdoor space Fire safety and emergency preparedness Security 10 Idaho’s changes are due to new statewide licensing requirements that were promulgated in 2011 (after the data collection for the 2011 Child Care Licensing Study). Prior to this, Idaho did not have statewide requirements for child care centers and was not included in the studies. National Center on Early Childhood Quality Assurance 17 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 2011 (N = 50) 2014 (N = 53) Liability insurance 25 25 Automobile insurance 28 31 All serious injuries that occur to children in programs 34 39 All deaths that occur to children in programs 33 39 Hand washing for staff 46 47 Hand washing for children 45 49 Requirements for diapering 49 50 Sanitation of diapering area 42 43 Specify when diapers are changed 32 32 33 36 22 25 State Health and Safety Requirements for Center-Based Facilities Insurance Reporting to the licensing agency Hand washing Diapering Smoking policies Smoking not allowed in facility Firearms Firearms not allowed in facility N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011. Trends in State Child Care Center Licensing Policies The information in this section was compiled and analyzed from the 2014 NARA Child Care Licensing Programs and Policies Survey. Number of Licensed Child Care Centers ■ There are a total of 110,309 licensed child care centers in the United States, with a total of 266,017 licensed facilities (centers and family and group child care homes), as shown in table 13.  The number of child care centers has decreased slightly (1 percent) since 2011. The total number of licensed centers and homes has decreased by nine percent.  Many States report that the economy has been a factor in the decrease in licensed facilities. Other factors they report include low enrollment, changing demographics, and increased provider requirements. Licensed Capacity in Centers ■ There are more than 9.8 million licensed child care slots in the United States as shown in table 13. Licensed capacity in licensed centers and homes has decreased by two percent since 2011. ■ Eighty-five (85) percent of licensed child care slots are in center-based programs. ■ The number of licensed slots in child care centers has decreased slightly (0.36 percent). National Center on Early Childhood Quality Assurance 18 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 13: Number of Licensed Facilities and Licensed Capacity in Child Care Centers, 2011 and 2014 Number of Facilities 2011 2014 Difference Child care centers 111,701 110,309 -1,392 Total number of licensed facilities 291,865 266,017 -25,848 8,392,054 8,362,036 -30,018 10,053,124 9,853,135 -199,989 Licensed Capacity Child care centers Total licensed capacity N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011. Frequency of Licensing ■ Child care center licenses are valid in most States for either one or two years. Nonexpiring licenses are issued in 12 States—Arkansas, California, Colorado, Maryland, Nebraska, North Carolina,11 Ohio, Oklahoma, South Dakota, Texas, Washington, and Wisconsin.  Since 2011, one State (Ohio) has adopted a nonexpiring license. Types of Inspections ■ As shown in table 14, all States conduct an inspection prior to issuing a license. Eighty-five (85) percent of States conduct an announced inspection before issuing a license. ■ All States make routine compliance inspections and 75 percent always conduct these inspections unannounced. ■ Most States conduct unannounced inspections for license renewal. Table 14: Types of Inspections Conducted in Child Care Centers, Announced and Unannounced, 2014 Type of Inspection Number of States Inspection conducted before issuing a license 53 Announced only 34 Unannounced only 8 Both announced and unannounced 11 11 One-star licenses in North Carolina are nonexpiring. Two- to five-star licenses are renewed every three years. National Center on Early Childhood Quality Assurance 19 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) Type of Inspection November 2015 Number of States Inspection conducted for routine compliance 53 Announced only 1 Unannounced only 40 Both announced and unannounced 12 Inspection conducted for license renewal 40 Announced only 13 Unannounced only 21 Both announced and unannounced 5 License is nonexpiring (no renewal) 12 No response 1 N = 53 States (including two Territories, and the District of Columbia). Frequency of Inspections ■ As shown in table 15, most States inspect child care centers at least once a year. There has been little change in the frequency of inspections since 2011. Table 15: Frequency of Licensing Inspections in Child Care Centers, 2014 Frequency of Inspections Number of States More than three times a year 2 Three times a year 6 Twice a year 14 Once a year 25 Once every 2 years 5 Once every 3 years 0 Less than once every 3 years 1 N = 53 States (including two Territories, and the District of Columbia). National Center on Early Childhood Quality Assurance 20 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Monitoring Tools ■ Seventy (70) percent of States report using abbreviated compliance forms that shorten the list of requirements that are checked during inspections. This is an increase from 55 percent of States in 2011.  Seventy (70) percent of these States report that abbreviated compliance forms are used during routine compliance inspections.  Sixty-five (65) percent of these States have specific policies for determining when to switch from an abbreviated compliance form during an inspection to a full compliance review of all regulations.  States report that they often chose the rules for inclusion in abbreviated compliance forms based on a consensus about rules considered most critical to protecting children’s health and safety and an assessment of risk of harm to children.  Eight States report developing a set of key indicators that could predict overall compliance as a method for determining the rules to include on an abbreviated compliance form. ■ Twenty-six (26) percent of States report having a method for determining the frequency and/or depth of monitoring based on an assessment of a child care center’s level of compliance with regulations, also known as “differential monitoring.”12 ■ More than 50 percent of States report having identified the requirements within their licensing regulations that pose the greatest risk of harm to children.  Most of these States have identified categories of requirements as high-risk or identified the highest-risk requirements. About a quarter of the States have assigned a risk level or weight to all requirements.  Table 16 shows the common uses of a risk assessment of licensing requirements as related to monitoring and enforcement efforts. Table 16: States’ Use of Risk Assessment of Licensing Requirements, 2014 Use of Risk Assessment Number of States Determining frequency of inspections based on risk level of violations 21 Determining enforcement actions based on risk level of violations 17 Categorizing violations 15 Monitoring high-risk rules during abbreviated inspections 15 N = 28 States that report having conducted a risk assessment of their licensing requirements. ■ Nearly all States report providing technical assistance and consultation during monitoring activities to help facilities achieve compliance with regulations. 12 “Differential monitoring” is defined as a method for determining the frequency and/or depth of monitoring based on an assessment of a facility’s level of compliance with regulations. This process may also be called “risk assessment monitoring” or “risk-based monitoring,” and it can be used to determine the number of inspections needed for a particular facility and the content of inspections. National Center on Early Childhood Quality Assurance 21 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015  The percentage of States reporting that they provide technical assistance to assist facilities in improving quality and exceeding minimum licensing requirements rose from 45 percent in 2011 to 65 percent in 2014. Use of Technology ■ Thirty-four (34) States report using portable devices to help staff efficiently inspect and monitor licensed facilities, such as laptops, portable digital assistants, and tablets with specific software for capturing information during licensing inspections. ■ Nearly all States (50) have an automated licensing data system. Table 17 shows the common uses of these databases. Table 17: States’ Uses for Licensing Databases, 2014 Licensing Database Uses Number of States Provide supervisory oversight 46 Manage caseloads 44 Analyze compliance data 40 Determine staff performance 34 Evaluate workload needs 31 Assess potential enforcement actions 29 Identify technical assistance and training needs 27 Guide revisions 25 Evaluate the licensing program and measure effectiveness 24 Track serious injuries 19 Track fatalities 17 Determine differential monitoring levels 13 N = 53 States (including two Territories, and the District of Columbia). Enforcement Actions  The most common enforcement actions used with facilities that are not in compliance with the regulations are denial of a license, revocation of a license, emergency or immediate closure of a facility, issuance of a conditional license, nonrenewal of a license, and civil fines. As shown in table 18, all these actions are used by at least 50 percent of States.  Of the common enforcement actions listed below, States most frequently imposed civil fines, conditional licenses, and license revocations. National Center on Early Childhood Quality Assurance 22 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 18: Use of Enforcement Actions in Child Care Facilities, 2014 Number of States Using Enforcement Action in 2014 Number of Actions Taken Against Facilities by All States Denial of license 53 720 Revocation of license 52 1,383 Emergency or immediate closure of facility 52 646 Issuance of a conditional license 42 1,122 Nonrenewal of license 37 317 Civil fine 30 2,108 Probation 23 547 Consent agreement 19 80 Enforcement Actions N = 53 States (including two Territories, and the District of Columbia). Note: Not all States were able to provide data about the number of actions taken against child care facilities. In addition, the number of actions does not equal the number of facilities that were in violation of the licensing regulations. Facilities could have been subject to multiple actions during one year. Illegally Operating Providers ■ All States respond to complaints from the public about providers operating illegally. In addition, States work with local law enforcement agencies, monitor outlets where providers advertise, and seek to educate the public with campaigns about the importance of licensing. ■ Nearly all States encourage providers operating illegally to become licensed. However, as shown in table 19, States take various actions against providers found to be operating illegally. Table 19: Actions Taken against Providers Found to Be Operating Illegally, 2014 Actions Taken against Providers Number of States An injunction or cease-and-desist order may be issued 45 Law enforcement may be contacted in certain circumstances 42 Civil penalties or monetary fines may be assessed 32 Misdemeanor charges may be filed 26 Felony charges may be filed 5 N = 53 States (including two Territories, and the District of Columbia). Complaint Investigations ■ Most States, as shown in table 20, will take complaints about child care providers from calls to the general licensing agency telephone number. States also have forms to submit complaints on their Web National Center on Early Childhood Quality Assurance 23 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 site and dedicated phone numbers for taking licensing complaints. Most States will investigate complaints filed anonymously. Table 20: Mechanisms for the Public to Submit Complaints about Licensed Child Care Providers, 2014 Mechanisms for Submitting Complaints Number of States Telephone call to general licensing agency (no dedicated phone number) 43 Form to submit on licensing Web site 23 Telephone complaint hotline just for licensing (dedicated phone number) 17 Telephone complaint hotline shared with another program, such as child protective services 15 N = 53 States (including two Territories, and the District of Columbia). Note: States often report multiple mechanisms for submitting complaints. ■ All States report that their licensing agency will investigate complaints. Thirty (30) States report only using the same staff that conduct inspections, and two report using only staff dedicated to complaint investigations. The remaining States report using various types of staff. ■ Nearly two-thirds of States report that an unannounced inspection is conducted for every complaint received. The remaining States conduct unannounced inspections only when an on-site visit is needed for the investigation. ■ States report that child abuse and neglect complaints filed against child care facilities are often investigated by the protective services agency, law enforcement, and the licensing agency. Thirty (30) percent of States have a specialized unit to investigate these complaints. ■ Ten (10) States report that they investigate all complaints made against providers who are legally exempt from licensing. More often, States only investigate to determine or verify that the facility is legally exempt. However, more than half of the States report that allegations of abuse and neglect are referred to their child protective services agency. Licensing Information on the Internet ■ Table 21 shows the number of States that post licensing inspection reports, complaints, and enforcement actions to a public Web site for consumers and providers.  Since these data were first collected in 2005, the number of States posting licensing information on the Web has increased significantly, by more than 300 percent. National Center on Early Childhood Quality Assurance 24 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 21: Licensing Information Posted on the Internet, 2005, 2011, and 2014 Licensing Information Posted on the Internet 2005 2011 2014 Licensing inspection reports 9 29 34 Full report 7 16 16 Inspection summary 2 13 18 Licensing complaints 8 25 29 All complaints 2 6 9 Substantiated complaints 6 19 20 NA NA 21 Enforcement actions N = 53 States (including two Territories, and the District of Columbia). NA = Data not collected in 2005 and 2011. Licensing Fees ■ More than 70 percent of States charge child care centers a fee to obtain a license. Licensing fees for child care centers are most often based on the number of children in a facility.  Half of the States that charge a licensing fee use the revenue to support the licensing agency. In most of the remaining States, the revenue from licensing fees goes into the States’ general funds. Two (2) States (Tennessee and Virginia) report that licensing fees are used for training child care providers. Licensing Staff Requirements ■ Thirty-nine (39) States report that they require licensing line staff to have a bachelor’s degree. In 24 States, the content or major of the degree or coursework must be early childhood education, child development, or a related topic. Twenty-one (21) States also require experience working in a setting with children. ■ Twenty-eight (28) States require licensing line staff to complete additional training each year in various topics, as seen in table 21. Almost all States make training available to licensing staff through the licensing agency, local and state conferences, and community-based organizations. More than half of States receive training from outside consultants and/or national conferences. ■ Most States use multiple sources of funds to support licensing functions. More than 85 percent of States use the CCDF to hire and support child care licensing staff. Two-thirds of States also use general state funds for this purpose. National Center on Early Childhood Quality Assurance 25 Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015 Table 22: Annual Training Topics Required for Licensing Staff, 2014 Annual Training Topics Number of States Regulatory issues 16 Health and safety issues 16 State's regulations 15 State's licensing policies and procedures 15 Cultural competency and sensitivity 12 Identifying child abuse and neglect 11 Early childhood education and child development 11 Provider-licensor relationships and communication 11 Supervision 8 Disaster and emergency preparedness 8 Fire safety 6 Adult development 3 Business administration and management 3 N = 53 States (including two Territories, and the District of Columbia). Conclusion The role of licensing in the early care and education system is to provide a mandatory floor of program standards and monitoring that will protect children from physical harm and enhance learning and development. Within the early care and education system, licensing covers the broadest content, the largest number of children ages birth to school-age, and the largest population of providers. This research brief illustrates that licensing is the foundation for child care quality, and provides evidence that States are making positive changes in their licensing requirements and policies to protect the health and safety of children in out-of-home care. The CCDBG Act of 2014 was signed into law after these data were collected. The findings shown in this brief, such as changes in preservice and ongoing training requirements, background check requirements, and monitoring systems, are all key pieces of the new federal statute. In the next few years, States will be making even more significant changes to their licensing requirements and monitoring policies to come into compliance with the federal statute. The next time these data are collected and analyzed will provide an opportunity to learn how the law has impacted health and safety requirements for all children in child care. National Center on Early Childhood Quality Assurance 9300 Lee Highway, Fairfax VA, 22031 Phone: 877-296-2250 | Email: QualityAssuranceCenter@icfi.com National Center on Early Childhood Quality Assurance 26
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CECS MP005: Regulations in Early Childhood
Short-Answer Response Assessment Submission Form

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This Competency includes a Short-Answer Response Assessment. Write your response to each prompt below—in the space provided. Beneath
the prompts is the Rubric, which will be used by the Competency Assessor to evaluate your responses. Carefully review the Rubric rows
associated with each prompt to provide a complete response.
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Short Answer 1
Write a 4- to 5-sentence description of each of the following accrediting and regulatory bodies, including an explanation of its purpose:


National Association for the Education of Young Children (NAEYC)

NAEYC head office is located in Washington DC. It is an organization whose main purpose is the improvement of early childhood education from
0 to 8 years of age. The organization has 10 standards against which a quality early childhood education is gauged (Lutton, & Ahmed,2009)
NAEYC also crafted the professional code of ethics for teachers and other early childhood professionals.
• National Association for Regulatory Administration (NARA)
National Association of regulatory administration (NARA) is concerned with the regulation of early childhood services with the sole aim of
provision of quality childcare. NARA aims at ensuring at ensuring all early education centers are adhering to the set licensing requirements
(Payne, 2011). NASA comes up with licensing programs and policies to enhance good early childhood education. The organization carries an
elaborate survey of licensing programs and policies.

Rubric
0
1
2
3
Not Present
Needs Improvement
Meets Expectations
Exceeds Expectations
Sub-Competency 1: Analyze relevant regulatory bodies and procedures that govern the operations of early childhood programs.
Learning Objective 1.1: Description is not present. Response provides a vague Response clearly and
Demonstrates the same
Describe accrediting
or inaccurate description
accurately describes the
level of achievement as
and regulatory bodies.
of the accrediting and
accrediting and regulatory “2” plus the following:
regulatory body.
body and provides a
general description of its
Purpose is specifically
purpose.
defined and illustrated by
an example of how the
organization interfaces
with early childhood
settings.

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Short Answer 2
Explain the minimum programming requirements for your state. Provide a citation indicating where you found the information. (1–2 paragraphs)

Your Response
In the state of Maryland, Early childhood centers must ensure they are fully registered with the relevant county, state and federal authorities.
The center must be registered in the state of Maryland. The buildings and the physical infrastructure must also be inspected to ensure they meet
the child safety requirements.
The employees of the early childhood centers must be subjected to criminal background checks. This is because the state of Maryland takes child
abuse cases very seriously. All the direct care givers must pass a mandatory alcohol and drug test. In a nutshell, the center must also satisfy the
child adult ratios to guarantee the provision of quality education in the centers. This information will be found at
https://earlychildhood.marylandpublicschools.org/regulations.

Rubric
0
1
2
3
Not Present
Needs Improvement
Meets Expectations
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood
programs.
Learning Objective 2.1: Explanation is not present. Response includes a partial Response includes an
Demonstrates the same
Explain the mandatory
description of the
accurate description of the level of achievement as
minimum
minimum programming
minimum programming
“2” plus the following:
requirements for
requirements for a state.
requirements for a state.
operating early
Response includes analysis
childhood programs.
And/or:
The response provides a
of value and adequacy of
Response does not include web link or citation to the
requirements.
a web link or citation to
source of information
the source of information
regarding mandatory
regarding mandatory
minimum requirements.

©2014 Walden University

3

0
Not Present

©2014 Walden University

1
Needs Improvement
minimum requirements.

2
Meets Expectations

3
Exceeds Expectations

4

Short Answer 3
Imagine you are starting a new early childhood care center. Summarize the licensure requirements for your state and provide the website or
citation where you found the licensure requirements. (1 paragraph)

Your Response
In the state of Maryland, there are several steps in the licensing process of a childhood care center. Detailed paperwork is involved before a
daycare center is given the greenlight to operate in the state of Maryland. The minimum age requirement for a person interested in opening up
an early childhood center is at least 20 years of age. In a situation where the applicant is 19 years of age, he/she must have completed at least an
Associate degree. Alternatively, the applicant must possess a high school diploma or complete a high school equivalency test. This information is
accessed from https://earlychildhood.marylandpublicschools.o...

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