CECS MP005: Regulations in Early Childhood
Short-Answer Response Assessment Submission Form
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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.
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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
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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
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■ 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
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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).
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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.
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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.
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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.
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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
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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
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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
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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
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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
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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
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Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314)
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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.
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Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314)
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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.
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Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314)
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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
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Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314)
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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.
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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.
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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
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