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Sheri Fischer and Judy Collins 2012 NARA Licensing Seminar San Francisco, CA September 11, 2012 Strengthening Child Care Licensing Health and Safety Standards.

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Presentation on theme: "Sheri Fischer and Judy Collins 2012 NARA Licensing Seminar San Francisco, CA September 11, 2012 Strengthening Child Care Licensing Health and Safety Standards."— Presentation transcript:

1 Sheri Fischer and Judy Collins 2012 NARA Licensing Seminar San Francisco, CA September 11, 2012 Strengthening Child Care Licensing Health and Safety Standards

2 PRESENTATION OVERVIEW Regulatory revisions – how, why, and what? Trends in child care center regulations Trends in licensing policies and programs Trends in your States 2

3 ESSENTIALS OF REQUIREMENTS Clearly written in easy to understand language Reasonable and achievable Enforceable and “measurable” Fair Reflects community/state support - the conscience of the state Fiscal impact 3

4 WHEN DO STATES REVISE? Mandated by statute or policy (27 state sample)  16 states – no written directive on when to review regulations  11 states - follow specific review cycle ranging once every 2 years to once every 8 years most common was once every 5 years Currently only 8 states have not revised since 2005 12 states revised regulations in 2011 – either center, FCC, or both 4

5 BEST PRACTICE NARA recommends revisions  every 3-4 years  plus response to critical issues 5

6 REASONS FOR REVISIONS New research Single incident State legislation (such as no smoking policy) Federal legislation (such as cribs) CPSC requirements Caring for Our Children 3 rd Edition – new guidelines Competition - the other states are doing it! 6

7 REVISION PROCESS Person responsible for revision process Most states have a specific process  Typically have a system for tracking what needs attention Input from stakeholder groups - front end work is critical Transparency is key! 7

8 STRATEGIES FOR REVISION Revision Workgroup convened  Providers, professional experts, parents, licensing staff Comprehensive  Current regulations  Or new draft from Agency Selective topics  Back to sleep, obesity prevention, etc. How good is “good enough” and not going overboard 8

9 RESOURCES TO SUPPORT REVISIONS Caring for Our Children  Stepping Stones  Preventing Childhood Obesity Research NARA services Child Care Licensing Studies by NARA/NCCIC/NCCCQI Various accreditation standards and criteria Head Start Performance Standards NACCRRA’s We Can Do Better Other state regulations Sister agencies within the state NCCCQI information products 9

10 HOW STATES USE ELECTRONIC MEDIA Information on workgroup meetings Drafts on line Webinars Video conferencing Accept e-mail comments (WI had over 500) Facebook and Twitter 10

11 HOT TOPICS Blended or separate standards Risk-based 11

12 TYPICAL REVISION TOPICS Obesity prevention Safe sleep  Back to sleep  SIDS prevention training  New crib regulations  Pacifiers and bibs  No blankets  Swaddling 12

13 REVISION TOPICS (CONT.) Emergency preparedness  Reunification with parents  Handling children with special needs  Addressing violent situations, e.g., lock-downs  Nuclear emergencies  Off-site back-up of facility information Transportation  Unattended children in vehicles  Children left behind  Cell phones Hand washing and hand sanitizers Product recall management 13

14 REVISION TOPICS (CONT.) Immunizations for caregivers and teachers Influenza and infectious disease control, including training Medication administration training Inclusion/exclusion of ill children Air quality Integrated Pest Management 14

15 REVISION TOPICS (CONT.) Background checks Staff qualifications and career lattices Professional development and registries 15

16 BUILDING SUPPORT Parents, providers, public and politicians Advocacy groups Intentional outreach Cultivate relationships Diverse opinions Data 16

17 IMPLEMENTING Most states have something in law that indicates when revisions become effective Grandfathered in Phased in Training for staff Training for providers  A checklist of changes 17

18 CHANGING LANDSCAPE Economy Online Social media Unions 18

19 LESSONS LEARNED Relationships Inclusion of stakeholders Respectful of providers Perseverance Up front work is key LISTEN Transparency! Take advantage of the open window Involve more providers Research Baby steps 19

20 “…We don’t need more rules; we need better rules– rules that are clearly supported by research.” Harold Gazan REGULATION: An Imperative Dimension To Quality Child Care 1998 20

21 LICENSING TRENDS FOR 2011 Licensing Policies  Facility monitoring, enforcement of regulations, licensing program staffing Licensing Regulations for Child Care Centers  Promulgated rules used to evaluate a program’s operation 21

22 METHODOLOGY Licensing regulations  NCCCQI compiled data from regulations posted on National Resource Center for Health and Safety in Child Care and Early Education  Changes posted between January 1, 2009 and December 31, 2011 Licensing policies  Analysis of results from 2011 NARA Child Care Licensing Programs and Policies Survey NCCCQI compared 2011 data to previous Licensing Studies  Mostly used 2005 Child Care Licensing Study, but also 2007 and 2008 22

23 POSITIVE CHANGES FOUND Child care center licensing regulations  Safe sleep  Preservice training for directors  Ongoing training hours  Background checks  Ratios and group size  Health and safety 23

24 POSITIVE CHANGES FOUND Licensing policies  Frequency of inspections  Licensing information on the Internet  Differential monitoring  Handheld devices for inspections 24


26 SAFE SLEEP 26 18 States added “back to sleep” requirements to center regulations since 2005

27 PRESERVICE TRAINING Seven States have changed the preservice requirements for center directors since 2005  CT, DC, IA, IL, MO, NH, NM One state changed preservice requirements for teachers  CO Two states added requirement for high school diploma for teachers  CO, CT 27

28 ONGOING TRAINING HOURS Five States added an ongoing training requirement for at least one center role  DC, MI, MT, NC, NH Ten States increased the number of training hours required for at least one center role  AR, AZ, CO, DC, DE, MD, MI, MT, NC, NH Median number of hours increased from 12 to 15 28


30 RATIOS AND GROUP SIZE Six States lowered ratios for at least one age group of children  DE, ME, MI, SC, NC, VA  States also include ratios in QRIS as a way to lower them, but voluntary Four States lowered group size for at least one age group  ME, OH, UT, WI  Michigan added a requirement for group size for infants and toddlers Most common ratios and group sizes are still higher than Caring for our Children recommendations 30


32 HEALTH AND SAFETY Six States added requirements about fences for outdoor space  AR, DE, MA, ME, MI, SC Five States added requirements about emergency preparedness since 2005  DC, DE, FL, NH, SC Five more States prohibit firearms in child care centers  AR, CT, DC, DE, NC 32



35 NUMBER OF FACILITIES Facility Type20112008Difference Child Care Centers107,286107,19987 FCC Homes180,164199,216-19,052 Small FCC Homes134,920155,230-20,310 Large/Group FCC Homes45,24443,9861,258 Other Licensed Facilities24,80423,4671,337 Total Number of Licensed Facilities312,254329,882-17,628 35

36 LICENSED CAPACITY Facility Type20112008Difference Child Care Centers7,715,9817,760,044-44,063 FCC Homes1,758,3391,775,494-17,155 Small FCC Homes1,229,0331,271,163-42,130 Large/Group FCC Homes529,306504,33124,975 Other Licensed Facilities611,286663,568-52,282 Total Licensed Capacity10,085,60610,199,106-113,500 36

37 LICENSING CASELOADS Based on responses from state licensing agencies  Most states assign line staff to inspect centers and FCC homes  Average caseload is 103 facilities  Lowest – 21.73 – TN  Highest – 231 - VT 37

38 FREQUENCY OF LICENSING Most States renew licenses every one or two years. 11 States have non-expiring licenses  AR, CA, CO, MD, NE, NC, OK, SD, TX, WA, WI  GA and KS changed law from non-expiring to annual renewal  WA added non-expiring 38

39 FREQUENCY OF INSPECTION More than 20 percent of States reported an increase in the number of inspections conducted each year A large number now inspect more than once a year Four States that inspected less than once a year in 2005, now inspect at least once a year  AL, AK, MA, NY 39

40 MONITORING TOOLS More than 55 percent of States report using abbreviated compliance forms  A shortened list of requirements checked during inspections  Most select rules based on those considered most critical to protecting children’s health and safety 26 States use differential monitoring; increased from 11 States in 2005  Frequency and/or depth of monitoring based on a facility’s compliance history 13 States have a system of weighted licensing  Rules are ranked for relative risk of harm 40

41 ENFORCEMENT ACTIONS The most common enforcement actions  Revocation of a license  Denial of a license  Emergency/immediate closure of a facility  Conditional license  Non-renewal of a license  Civil fines 41

42 ENFORCEMENT ACTIONS Enforcement Actions Number of States Using Enforcement Action in 2011 Number of Actions Taken Against Facilities by All States Revocation of license451,041 Denial of license41739 Emergency/immediate closure of facility 39551 Conditional license301,341 Civil fine272,298 Nonrenewal of license2792 Consent agreement21185 Probation20571 42

43 USE OF TECHNOLOGY 32 States report using portable devices during inspections  19 additional states since 2005 30 States post licensing information on the Internet for parents and the general public  10 states in 2005  States post inspection reports, summary reports, and substantiated complaints 43


45 Thank You The Office of Child Care’s National Center on Child Care Quality Improvement does not endorse any non-Federal organization, publication, or resource. Phone: 877-296-2250 Email:

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