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Participant Manual

Legally-Exempt Provider Compliance: Inspections, Investigations, and

Monitoring

This document is provided under a contractual agreement between the

New York State Office of Children and Family Services Division of Administration

Bureau of Training and Development

AND

Professional Development Program Rockefeller College University at Albany

State University of New York

Acknowledgement This material was developed by the Professional Development Program, Rockefeller College, University at Albany under a training and administrative services agreement with the New York State Office of Children and Family Services.

Disclaimer While every effort has been made to provide accurate and complete information, the Office of Children and Family Services and the State of New York assume no responsibility for any errors or omissions in the information provided herein and make no representations or warranties about the suitability of the information contained here for any purpose. All information and documents are provided “as is,” without a warranty of any kind.

Copyright © 2018 by the New York State Office of Children and Family Services.

September 2018

Introduction

Professional Development Program - 3 - Introduction

Table of Contents

Agenda .................................................................................................................................. - 5 -

Acronyms ............................................................................................................................... - 6 -

Got Goals .............................................................................................................................. - 7 -

Activity #1: Goal Setting ............................................................................................... - 19 -

Are you ready to meet your goal? ................................................................................. - 19 -

Lesson 1: Introducing Legally-Exempt Provider Compliance............................................... - 21 -

Compliance ...................................................................................................................... - 22 -

Resources: Law, Regulations, and Policies ..................................................................... - 23 -

Your Role ......................................................................................................................... - 25 -

Reading the Regulations .................................................................................................. - 26 -

General Health and Safety Requirements for Enrollment ................................................ - 27 -

Activity #2: Using All of Your Resources ...................................................................... - 28 -

Lesson Review ............................................................................................................. - 30 -

Lesson 2: The Investigative Process ................................................................................... - 31 -

The Investigative Process ................................................................................................ - 32 -

Health and Safety Concern Alleged ................................................................................. - 33 -

Consider What Might Be Going On .................................................................................. - 35 -

Gather Information ........................................................................................................... - 36 -

Analyze and Interpret ....................................................................................................... - 37 -

Make a Decision .............................................................................................................. - 38 -

Activity #3: Thinking Practice ........................................................................................ - 39 -

Reflection ..................................................................................................................... - 41 -

Lesson 3: Documenting Your Process ................................................................................ - 43 -

Documentation ................................................................................................................. - 44 -

Structure for Writing Notes ............................................................................................... - 45 -

Decision Statement .......................................................................................................... - 46 -

Reason for Decision Statement ....................................................................................... - 47 -

But What Do I Actually Say? ............................................................................................ - 48 -

Elements to Include in Effective Support ......................................................................... - 49 -

Lesson 4: The Inspection Process ....................................................................................... - 51 -

Two Types of Inspections ................................................................................................ - 52 -

The Inspection Process ................................................................................................... - 53 -

Prepare for the Inspection ................................................................................................ - 54 -

Conduct the Inspection .................................................................................................... - 55 -

Introduction

Introduction - 4 - Professional Development Program

Determine the Appropriate Actions .................................................................................. - 56 -

Conduct Exit Interview ..................................................................................................... - 57 -

Record & Support Findings and Generate Notices .......................................................... - 58 -

Follow-Up As Needed ...................................................................................................... - 59 -

The Non-Compliance Process ......................................................................................... - 60 -

Determine the Appropriate Actions .................................................................................. - 61 -

Exit Interview .................................................................................................................... - 62 -



Lesson 5: The Complaint Investigation Process .................................................................. - 65 -

What is a Complaint Investigation? .................................................................................. - 66 -

The Complaint Investigation Process .............................................................................. - 67 -

Receive and Record All Allegations ................................................................................. - 68 -

Prepare for the Investigation ............................................................................................ - 69 -

Gather Information ........................................................................................................... - 70 -

Analyze and Interpret ....................................................................................................... - 71 -

Make a Decision .............................................................................................................. - 72 -



Activity #4: The Complaint Investigation Process ......................................................... - 75 -

Introduction


Agenda

Welcome: Introductions and Housekeeping

Lesson 1: Introducing Legally-Exempt Provider Compliance

Lesson 2: Investigative Process

Lesson 3: Documentation

Lesson 4: Inspection Process

Lesson 5: Complaint Investigation Process

Closing: Review and Evaluation

There will be a 15 minute break in the morning and afternoon and an hour for lunch.

Thank you for your flexibility.

Introduction


Acronyms

ACS Administration for Children’s Services (NYC)

ADM Administrative Directives

CACFP Child and Adult Care Food Program

CAP Corrective Action Plan

CCFS Child Care Facility System

CCRR Child Care Resource and Referral

CCS Child Care Subsidy

CFSP Child and Family Services Plan

CPS Child Protective Services

DCCS Division of Child Care Services

EA Enrollment Agency for Legally-Exempt Child Care Services

GNUA Group Not Under the Auspices of Another Government Agency

GUA Group Under the Auspices (of Another Government Agency)

HCC Health Care Consultant

HSLC Human Services Learning Center

INF Informational Letter

LCM Local Commissioner Memorandums

LE Legally-Exempt

LECC Legally-Exempt Child Care

LECCP Legally-Exempt Child Care Provider

MAT Medication Administration Training

NYCDOE New York City Department of Education

NYCDOHMH NYC Department of Health and Mental Hygiene

NYCRR New York Codes, Rules, and Regulations

NYS DOH New York State Department of Health

NYSED New York State Education Department

OCFS Office of Children and Family Services

PDP Professional Development Program

RO Regional Office

SCR State Central Registry

SSD Social Services District

SSL Social Services Law

TPR Termination of Parental Rights

Article 10 Removal Court-Ordered Removal of a Child Under Article 10

EC Review Extenuating Circumstances Review

Introduction


Websites

NYS Child Care Regulations http://ocfs.ny.gov/main/childcare/daycare_regulations.asp

Local Social Services Districts Child Care Section of the Child and Family Services Plans http://www.ocfs.state.ny.us/main/childcare/plans/plans.asp

Professional Development Program Schedule of trainings and documents pertaining to Child Care Subsidy https://www.ccs.pdp.albany.edu/

General Interest Phone Numbers

Division of Child Care Services


Merideth Bastiani, Director, Child Care Subsidy Program Phone: (518) 402-3001 Email: [email protected]

Joe Ziegler, Child Care Subsidy Program Phone: (518) 402-6520 Email: [email protected]

Maryellen DeCicco, Child Care Subsidy Program Phone: (518) 408-3395 Email: [email protected]

Aruni Singh, Child Care Subsidy Program Phone: (518) 473-0676 Email: [email protected]

Ann Haller, Legally-Exempt Enrollment Phone: (518) 408-0759 Email: [email protected]

Christine Anderson, Legally-Exempt Enrollment Phone: (518) 408-3269 Email: [email protected]

Jessica Breitenbach, Legally-Exempt Enrollment Phone: (518) 474-9454 Email: [email protected]

http://ocfs.ny.gov/main/childcare/daycare_regulations.asp

http://www.ocfs.state.ny.us/main/childcare/plans/plans.asp

http://www.ocfs.state.ny.us/main/childcare/plans/plans.asp

https://www.ccs.pdp.albany.edu/

https://www.ccs.pdp.albany.edu/

mailto:[email protected]







Introduction


Illegal Child Care Complaint Line – Division of Child Care Services Phone: (800) 732-5207 (upstate) Phone: (212) 676-2444 (NYC)

New York State Sex Offender Registry Phone: (800) 262-3257

Public Hotline (to report suspected child abuse or maltreatment) Phone: (800) 342-3720

Introduction


Regional Map

Introduction


OCFS Division of Child Care Services Regional Office Listings

ALBANY REGIONAL OFFICE 52 Washington Street Room 261, West Building Rensselaer, NY 12144 Telephone: (518) 402-3038 Fax: (518) 473-0492 Serving the counties of: Albany, Clinton, Columbia, Delaware, Essex, Franklin, Fulton, Greene, Hamilton, Montgomery, Otsego, Rensselaer, Saratoga, Schenectady, Schoharie, Warren, Washington

BUFFALO REGIONAL OFFICE Ellicott Square Building 295 Main Street Room 545 Buffalo, NY 14203 Telephone: (716) 847-3828 Fax: (716) 847-3688 Serving the counties of: Allegany, Cattaraugus, Chautauqua, Erie, Genesee, Niagara, Orleans, Wyoming

LONG ISLAND REGIONAL OFFICE Perry Duryea State Office Building 250 Veterans Memorial Highway, Suite 2A-20 Hauppauge, NY 11788 Telephone: (631) 240-2560 Fax: (631) 240-2567 Serving the counties of: Nassau, Suffolk

NEW YORK CITY REGIONAL OFFICE 80 Maiden Lane 23rd Floor New York, NY 10038 Telephone: (212) 383-1415 Fax: (212) 383-7419 Serving the counties of: Bronx, Kings, New York, Richmond, and Queens

Introduction


ROCHESTER REGIONAL OFFICE 259 Monroe Avenue, 3rd Floor Monroe Square Rochester, NY 14607 Telephone: (585) 238-8531 Fax: (585) 238-8544 Serving the counties of: Chemung, Livingston, Monroe, Ontario, Schuyler, Seneca, Steuben, Wayne, Yates

SPRING VALLEY REGIONAL OFFICE 11 Perlman Drive Pascack Plaza Spring Valley, NY 10977 Telephone: (845) 708-2400 Fax: (845) 708-2400 Serving the counties of: Dutchess, Orange, Putnam, Rockland, Sullivan, Ulster, Westchester

SYRACUSE REGIONAL OFFICE The Atrium 100 S. Salina Street Suite 350 Syracuse, NY 13202 Telephone: (315) 423-1202 Fax: (315) 423-1198 Serving the counties of: Broome, Cayuga, Chenango, Cortland, Herkimer, Jefferson, Lewis, Madison, Oneida, Onondaga, Oswego, St. Lawrence, Tioga, Tompkins

Introduction


New York State Enrollment Agency Listing

Region 1: Buffalo Allegany County Community Opportunities and Rural Development, Inc. (ACCORD) Counties Served: Allegany, Cattaraugus, Wyoming 19 South Main Street Belmont, New York 14813 Phone: (585) 268-7605, Ext. 1231 Fax: (585) 365-2749 Website: http://www.accordcorp.org Chautauqua Opportunities, Inc. Counties Served: Chautauqua 402 Chandler Street Jamestown, NY 14701 Phone: (716) 661-9430 Ext. 2227 Fax: (716) 661-9436 Website: www.chautauquaopportunities.com Child Care Resource Network Counties Served: Erie 1000 Hertel Avenue Buffalo NY 14216 Phone: (716) 877-6666 Ext. 3031 Fax: (716) 877-6205 Website: www.wnychildren.org Community Action of Orleans and Genesee, Inc. Counties Served: Genesee, Orleans 409-11 East State Street Albion, New York 14411 Phone: (585) 343-7727 Fax: (585) 343-4063 Website: www.caoginc.org Niagara Community Action Program, Inc. Counties Served: Niagara 1521 Main Street Niagara Falls, New York 14305 Phone: (716) 285-9681 Fax: (716) 286-9243 Website: www.childcareofniagara.com

http://www.accordcorp.org/

http://www.chautauquaopportunities.com/

http://www.wnychildren.org/

http://www.caoginc.org/

Introduction


Region 2: Rochester

Chemung County Child Care Council, Inc. Counties Served: Chemung 1580 Lake Street, Suite 200 Elmira, New York 14901 Phone: (607) 734-3941, Ext. 211 Fax: (607) 737-7293 Website: www.chemchildcare.com

Child and Family Resources, Inc. Counties Served: Ontario, Seneca, Yates 263 Lake Street Penn Yan, New York 14527 Phone: (315) 536-1134 Fax: (315) 536-9918 Seneca: 115 Fall Street, Seneca Falls, NY 13148 Ontario: 671 S. Exchange Street, Geneva, NY 14456 Website: www.cfresources.org

Child Care Council, Inc. Counties Served: Monroe, Livingston, Wayne 595 Blossom Road., Suite 120 Rochester, NY 14610 Phone: (585) 654-4740 Fax: (585) 654-4721 Website: www.childcarecouncil.com

Pro Action of Steuben and Schuyler, Inc. Counties Served: Steuben and Schuyler 117 East Steuben Street, Suite 11 Bath, NY 14810 Phone: (607) 776-2126, Ext. 234 Fax: (607) 776-4873 Website: www.proactioninc.org

Region 3: Syracuse

Child Care Council of Cooperative Extension Counties Served: Madison, Oneida, Herkimer 121 Second Street Oriskany, NY 13424 Phone: (315) 223-7850 Fax: (315) 223-7855 Website: http://www.cceoneida.com

Child Care Solutions, Inc. Counties Served: Cayuga, Onondaga 6724 Thompson Road Syracuse, NY 13211 Phone: (315) 446-1220 Fax: (315) 446-2010 Website: www.childcaresyracuse.org

http://www.chemchildcare.com/

http://www.cfresources.org/

http://www.childcarecouncil.com/

http://www.proactioninc.org/

http://www.cceoneida.com/

Introduction


Child Development Council Counties Served: Cortland/Tompkins 609 West Clinton Street Ithaca, New York 14850 Phone: (607) 273-0259 Fax: (607) 273-3141 Web: www.childdevelopmentcouncil.org

Community Action Planning Council of Jefferson County, Inc. Counties Served: Jefferson, Lewis 518 Davidson Street Watertown, NY 13601 Phone: (315) 782- 4900 Fax: (315) 788-8251 Website: www.capcjc.org

Family Enrichment Network, Inc. Counties Served: Broome, Tioga and Chenango 24 Cherry Street Johnson City, New York 13790 Phone: (607) 723-8313 Ext. 835 Fax: (607) 723-6173 Website: www.familyenrichment.cc

Integrated Community Planning Council of Oswego County, Inc. Counties Served: Oswego 317 West 1st Street, Suite 111 Oswego, New York 13126 Phone: (315) 343-2344 Ext. 19 Fax: (315) 343-0442 Website: www.icpoc.org

St. Lawrence Child Care Council, Inc. Counties Served: St. Lawrence 318 Ford Street Ogdensburg, NY 13669 Phone: (315) 393- 6474 Fax: (315) 394-6809 Website: http://www.stlawrencechildcare.org

Region 4: Albany

Adirondack Community Action Programs, Inc. Counties Served: Essex P.O. Box 848, 7572 Court Street – Suite 2 Elizabethtown, New York 12932 Phone: (518) 873-3207 Ext. 235 Fax: (518) 873-6845 Website: http://www.acapinc.org

http://www.childdevelopmentcouncil.org/

http://www.capcjc.org/

http://www.familyenrichment.cc/

http://www.icpoc.org/

http://www.stlawrencechildcare.org/

http://www.acapinc.org/

Introduction


Capital District Child Care Coordinating Council, Inc. Counties Served: Albany, Rensselaer, Saratoga, Schenectady, Fulton, Montgomery 91 Broadway Menands, NY 12204 Phone: (518) 426-7181 Ext. 323 Fax: (518) 426- 9649 Website: wwww.cdcccc.org

Child Care Coordinating Council of the North Country, Inc. Counties Served: Clinton, Franklin P.O. Box 2640, 426 US Oval Plattsburgh, NY 12901 Phone: (518) 561- 4999 Fax: (518) 561- 6956 Website: http://www.ccccnc.org

Delaware Opportunities, Inc. Counties Served: Delaware 35430 State Highway 10 Hamden, NY 13782 Phone: (607) 746-1600 Fax: (607) 746- 1605 Website: www.delawareopportunities.org

Family of Woodstock, Inc. Counties Served: Columbia, Greene, Ulster P.O. Box 3516, 39 John Street Kingston, NY 12402 Phone: (845) 331-7080 Fax: (845) 331-0526 Website: www.familyofwoodstockinc.org

Schoharie County Community Action Program, Inc. Counties Served: Schoharie and Otsego 795 East Main Street, Suite 5 Cobleskill, New York 12043 Phone: (518) 234-2568 Fax: (518) 234-3507 Website: www.sccapinc.org

Southern Adirondack Child Care Network, Inc. Counties Served: Hamilton, Warren, Washington 88 Broad Street Glens Falls, NY 12801 Phone: (518) 798-7972 Fax: (518) 812- 0799 Website: www.saccn.org

http://www.ccccnc.org/

http://www.saccn.org/

Introduction


Region 5: Spring Valley

Child Care Council of Dutchess & Putnam, Inc. Counties Served: Dutchess, Putnam 70 Overocker Road Poughkeepsie, NY 12603 Phone: (845) 473-4141 Fax: (845) 473-4161 Website: http://www.childcaredutchess.org

Child Care Council of Orange County, Inc. Counties Served: Orange 40 Matthews Street, Suite 103 Goshen, NY 10924 Phone: (845) 294-4012 Fax: (845) 294-4045 Website: www.childcarecounciloc.org

Child Care Council of Westchester, Inc. Counties Served: Westchester 313 Central Park Avenue Scarsdale, NY 10583 Phone: (914) 761-3456 Fax: (914) 761-1957 Website: www.childcarewestchester.org

Child Care Resources of Rockland, Inc. Counties Served: Rockland 235 North Main Street, Suite 11 Spring Valley, NY 10977 Phone: (845) 425-0009 Ext. 417 Fax: (845) 425-5312 Website: www.childcarerockland.org

Family of Woodstock, Inc. Counties Served: Columbia, Greene, Ulster P.O. Box 3516, 39 John Street Kingston, NY 12402 Phone: (845) 331-7080 Ext. 132 Fax: (845) 331-0526 Website: www.familyofwoodstockinc.org

Sullivan County Child Care Council, Inc. Counties Served: Sullivan P.O. Box 186 Ferndale, NY 12734 Phone: (845) 292- 7166 Fax: (845) 292- 1755 Website: www.scchildcare.co

http://www.childcaredutchess.org/

http://www.childcarecounciloc.org/

http://www.scchildcare.co/

Introduction


Region 6: New York City

WHEDCO Counties Served: New York City 1309 Louis Nine Boulevard Bronx, NY 10459 Phone: (347) 708-7800 Fax: (718) 619-8207 Website: http://www.whedco.org

Region 7: Long Island

Child Care Council of Nassau, Inc. Counties Served: Nassau 99 Quentin Roosevelt Blvd., Suite 201 Garden City, NY 11530 Phone: (516) 358- 9250 Fax: (516) 358-9287 Website: www.childcarenassau.org

Child Care Council of Suffolk, Inc. Counties Served: Suffolk 60 Calvert Avenue Commack, New York 11725 Phone: (631) 462-0303 Fax: (631) 462-1617 Website: www.childcaresuffolk.org

http://www.whedco.org/

http://www.childcaresuffolk.org/

Introduction


Got Goals

Introduction We hear the terms “goal” and “objective” so often—and frequently interchangeably—it’s easy to think they’re the same thing; but they actually have different roles.

A goal is the overall purpose you want to accomplish

Objectives are the specific steps you need to take to accomplish that goal

Training Goal The goal of this training is to provide participants with the knowledge and skills necessary to utilize New York State statutes, regulations, and policies in order to meet the contractual responsibilities of each legally-exempt enrollment agency when enrolling and monitoring the compliance of enrolled, legally-exempt providers.

Training Objectives

By the end of this training participants will be able to:

• Utilize New York State regulation and Office of Children and FamilyServices policy to effectively investigate complaints, conductinspections, and determine the appropriate resolution of non-compliance issues

• Identify regulatory non-compliance, assist providers in developingappropriate Corrective Action Plans, and implement appropriateagency responses to identified health and safety concerns withinrequired timeframes

• Effectively document inspections, complaint investigations, andcorrective action plans on the applicable Office of Children andFamily Services forms and in the Child Care Facility System

• Employ professional and appropriate communication throughoutthe compliance process with legally-exempt providers, parents, andthe responsible Social Services District

Lesson1: Introducing Legally-Exempt Provider Compliance

Professional Development Program - 19 - Lesson 1

Activity #1:

Goal Setting

Directions Identify one personal goal for this training, then, reflect on what you need in order to accomplish your goal.

Are you ready to meet your goal?

What strengths do you bring to this training that will help you accomplish your goal?

1.

2.

What skills would you like to improve to help you meet your goal?

1.

2.

My Training Goal is….

In order to accomplish my goal I need….

Internal Draft Only Introducing Legally-Exempt Provider Compliance


Notes

Lesson1: Introducing Legally-Exempt Provider Compliance


Lesson 1:

Introducing Legally-Exempt Provider Compliance

Lesson Overview

In this lesson we are going to discuss compliance and your role in verifying and monitoring the compliance of legally-exempt providers in New York State.

Lesson Objectives

In this lesson, you will:

Examine the meaning of compliance for legally-exempt providers

Utilize the resources that govern legally-exempt providers and theircompliance

Summarize your role in verifying and monitoring legally-exemptprovider compliance

Order of Topics

This lesson includes the following topics.

Topic See Page

Compliance 21

Resources: Law, Regulation, and Policy 22

Your Role 24

Reading the Regulations 25

General Health and Safety Requirements for Enrollment 26

Activity #2: Using All of Your Resources 27

Lesson Review 29

Compliance

Lesson 1 - 22 - Professional Development Program

Compliance

Introduction

In today’s world child care is not a one-size-fits-all proposition. Parents supported by the Child Care Subsidy (CCS) program have the right to select their child care provider, just as a private pay parent does, from the pool of licensed, registered, or legally-exempt (LE) child care providers. However, only those legally-exempt providers who have been specifically chosen by a family in receipt of child care subsidy and who are willing to meet and maintain compliance with the regulatory requirements as a condition of their enrollment are eligible to receive CCS funds. These are the LE providers that apply for enrollment with the LE Enrollment Agency (EA).

Compliance

For the purposes of enrolled, LE care, compliance means following or adhering to the regulatory and statutory requirements for the enrollment of LE providers. Non-compliance means not following or not adhering to the regulatory and statutory requirements for enrollment.

Brainstorm

What do you think of when you hear the word

“Compliance”

Resources: Law, Regulation, and Policy


Resources: Law, Regulations, and Policies

Introduction All child care providers receiving CCS funds have responsibilities that are established in statute, governed by regulations, and supported by policy. These resources support LE Enrollment Agencies (EAs) as they work to verify and monitor provider compliance.

Social Services Law §390

Social Services Law §390 (SSL §390) is the primary statutory authority for day care regulations. The concept of LE care is based on its exclusion from the definitions of licensed and registered child day care under SSL §390.

Location ___________________________________________

18 New York Codes, Rules, and Regulations, Part §415

The day care regulation specific to the CCS program, 18 New York Codes, Rules, and Regulations Part §415 (§415), provides the definitions for the types of care under the modality of LE as well as the health and safety standards.

Location ____________________________________________

The Guide to Enrollment of Legally-Exempt Child Care Providers

The Guide to Enrollment of Legally-Exempt Child Care Providers (The Guide) is an Office of Children and Family Services (OCFS) policy and procedures document developed to clarify and define the statutory, regulatory, and contractual requirements of the LE EA when working with enrolled, LE providers.

Location

____________________________________________

Resources: Law, Regulation, and Policy


Resources: Law, Regulation, and Policy (continued)

OCFS-LDSS-4699 Series

The OCFS-LDSS-4699, Enrollment Form for Provider of Legally-Exempt Family Child Care and Legally-Exempt In-Home Child Care (4699 Enrollment Form) and all of its attachments serve to document the LE provider’s and the parent’s/caretaker’s agreement to meet all of the aforementioned laws, regulations, and policies related to enrolled, LE care.

Location ______________________________________________

OCFS-LDSS-7028 Series

The OCFS-LDSS-7028, Home Inspection Report for Legally-Exempt Family Child Care Provider (7028 HI Report) and all of its attachments, serve to document the results of inspections conducted by LE EAs to verify and monitor provider compliance.

Location ______________________________________________

Instructions for Completing the 20% Annual Inspection Requirement

The Instructions for Completing the 20% Annual Inspection Requirement of Legally-Exempt Providers not Participating in The Child and Adult Care Food Program (20% Annual Inspections Instructions) is a policy document developed and released annually by OCFS to identify and clarify the LE EA responsibilities when conducting, recording, and documenting inspections of enrolled, LE providers.

Location ______________________________________________

Your Role


Your Role

Introduction Legally-Exempt EAs are responsible for enrolling and monitoring providers who meet and maintain the enrollment requirements - including but not limited to health and safety requirements specified in 18 NYCRR §415.4.

Process

Assess regulatory compliance and evaluate risk and safety issues

Re-assess regulatory compliance

During Enrollment Period

Prior to Re-Enrollment

Prior to Full Enrollment

Review forms and attestations

Complete all appropriate checks

Investigate all complaints

Document work in CCFS

Communicate


Perform inspections andmonitoring visits

Work with provider to resolve non-compliance


Communicate

Assess regulatory compliance and evaluate risk and safety issues

Review forms and attestations

Compare the new information towhat was previously reported

Complete all appropriate checks



Communicate

Reading the Regulations


Reading the Regulations

Introduction Legally-Exempt EAs are responsible for using the resources available to them to support the enrollment and monitoring of providers. 18 NYCRR §415 defines the LE provider types, establishes the responsibilities of theEA and Social Services District (SSD), as well as provides theresponsibilities of the LE provider.

A Closer Look What type of information do you find when you look at the following?

A Closer Look at 18 NYCRR §415

Start Page General Content Basic Concepts Covered

41

5.1

Definitions

41

5.4

Page 4

41

5.1

2

Provider must operate in compliance with OCFS regulations

General Health and Safety Requirements for Enrollment


General Health and Safety Requirements for Enrollment

Introduction When we take closer look we see that the regulations require LE providers to meet and maintain compliance in three general areas of health and safety for enrollment.

Site Safety Site Safety is related to the basic health and safety requirements regarding the physical space where the LE care will be provided.

Example: _______________________________________________

Provider Behavior

Provider Behavior is related to the basic health and safety standards of provider conduct while children are in care.

Example: _______________________________________________

History History is related to any prior conduct of the enrolled, LE provider and other people who may have contact with children that may indicate a risk to children in subsidized care.

Example: _______________________________________________

Compliance

Historical

Provider Behavior

Site Safety

Activity 2: Using All Of Your Resources


Activity #2:

Using All of Your Resources

Introduction In this activity you will focus on using a combination of the resources that a legally-exempt enrollment agency must utilize to verify and monitor that providers are meeting and maintaining compliance with the law, regulation, and policies that we have reviewed.

Resources Use the following resources to complete this activity:

18 New York Codes, Rules, and Regulations §415

OCFS-LDSS 4699, Enrollment Form for Provider of Legally-Exempt Family Child Care and Legally-Exempt In-Home Child Care

OCFS-LDSS-7028, Home Inspection Report for Legally-Exempt Family Child Care Provider

Directions Examine each of the following scenarios. Based upon the information provided, make a preliminary determination on each provider’s compliance, then, cite the support for your determination from each of the resources listed.

Activity #2: Using All Of Your Resources


Activity #2: Using All of Your Resources

Scenario Compliant Regulation 4699 Enrollment Form

7028 HI Report

1 While performing an inspection you find 5 children under the age of 4 at the care location. The provider tells you that he watches the 3 Smith children for one hour a day and cares for the 2 Green children Monday-Friday 8AM-4PM. The enrollment form indicates the Green children are cared for from 11:00AM-6:00PM and the Smith children for 2 hours a day, 11:00AM-1:00PM.

Yes ☐

No ☐

2 You go to a provider’s location to perform an inspection but the provider is not there. The provider’s husband, the grandfather of the children in care, is caring for the children. He tells you that he is only watching the children for a little while because his wife had to go to the grocery store for milk.

Yes ☐

No ☐

3 While conducting an inspection you find a mop bucket full of water in the kitchen. There is a distinct smell of lemons coming from the bucket and you can see a bottle of lemon scented floor cleaner on a shelf over the refrigerator.

Yes ☐

No ☐

4 While conducting a complaint investigation of a provider location you are introduced to the provider’s next door neighbor who you are told comes to the care location every day after dropping her own children off at school to have coffee with the provider.

Yes ☐

No ☐

Lesson Review


Lesson Review

Directions Match the fact to the legally-exempt resource.

Fact Resource 1. The definition of legally-exempt

family child careA. OCFS-LDSS-4699

2. Provider attestation that carbonmonoxide detectors are installedwhere the child(ren) in caresleep or nap, and on each storyof the home where care isprovided where a carbonmonoxide source is located

B. Social ServicesLaw §390

3. The home safety checklist C. 18 NYCRR §415

4. The definition of child day care D. OCFS-LDSS-7028

5. Detailed information on the EAinspection requirements ofenrolled, legally-exemptproviders

E. Annual InspectionInstructions

Notes:

______________________________________________

______________________________________________

______________________________________________

______________________________________________

______________________________________________

______________________________________________

______________________________________________

______________________________________________

______________________________________________

Lesson 2: The Investigative Process


Lesson 2:

The Investigative Process

Lesson Overview

In this lesson we are going to introduce and walk-through the Investigative Process which you will be using in all of your work verifying and monitoring the compliance of legally-exempt providers.

Lesson Objectives

In this lesson, you will learn:

How to execute the investigative process in order to perform effective investigations of legally-exempt provider compliance

Order of Topics


Topic See Page

The Investigative Process 31

Allegation 32

Consider 34

Gather 35

Analyze and Interpret 36

Made a Decision 37

Activity #3: Thinking Practice 38

Reflection 40




Introduction The Investigative Process is the process that LE EAs use when there are alleged health and safety concerns for an enrolled, LE provider (see The Investigative Process desk aid).

Process

Deny Terminate Enrollment

Corrective Action Process

End Investigative

Process

Acceptable, Correctable Risk

No Risk Unacceptable

High Risk

Health and Safety Concern Alleged

Consider what might be

going on

Gather Information

Analyze and Interpret

Make a decision

Insufficient Information




Introduction The investigative process, whether being applied to a complaint investigation or an inspection, begins with an allegation of a health and/or safety concern (see The Investigative Process desk aid).

Importance The allegation of a health and safety concern establishes the foundation for the investigative process. It is imperative to gather as much detail as possible from the initial allegation and identify areas of potential non-compliance so that the investigation can be focused and productive.

Severity Levels and Timelines

The timeframe by which a health and safety concern must be responded to is determined by the severity level of the possible risk to the children in care (see Inspections and Investigations Desk Reference).

Severity Level Explanation Investigation Initiation/Site

Visit Timeframe

Imminent Danger

A child is alleged to be in imminent danger of being

seriously injured or killed in the next 24 hours without

some intervention

No later than the next day of

program operation

Serious

A child is alleged to be at risk of significant emotional or

physical harm, but the issue does not appear to rise to the

level of “Imminent Danger”

Within 5 calendar days

Non-Emergency

One or more health and/or safety violations are alleged

but none appear to rise to the level of “Serious” or “Imminent

Danger”

Within 15 calendar days




Health and Safety Concern Alleged (continued)

Brainstorm How do we find out about health and safety concerns?

Tasks Action Example

Obtain detailed examples of the health and safety concerns being alleged

An EA receives an anonymous complaint that people are smoking at a provider location while children are in care.

Infer areas of possible non-compliance

Possible smoking while children are incare

Children could get burned

Children could eat toxic materials

Ventilation issues

Apply policy and regulation Regulation 7028 HI Report

415.4(f)(7)(v)(b) C.2, page 3

415.4(f)(7)(v)(g) C.8, page 4

415.4(f)(7)(v)(h) C.9. page 4

415.4(f)(7)(v)(p) C.25 page 8

Consider What Might Be Going On



Introduction The second step in the Investigative Process is to consider what may be going on at the care location in light of the alleged health and safety concern (see The Investigative Process desk aid).

Importance Before proceeding into the field it is important for us to consider what we may find, what decisions we may be confronted with, and what information we need to either support or refute the allegations we have received. Think outside the box and use your previous experiences to help guide you.

Practice Action Example

Determine what are the implications

Identify the most important factors

Ask yourself:

1. Does it present a risk to children?

2. Can it be resolved in a reasonable way?

Develop multiple hypothetical scenarios

Consider what needs to be known to rule the hypothetical scenarios in or out

Consider alternate explanations

Could there be:

1. A disgruntled ex/neighbor/newpartner?

2. Someone who does not know the LEregulation regarding smoking?


Gather Information


Gather Information

Introduction In Step 3 we continue our process by gathering information to help us build a picture of the health and safety compliance at the provider’s location (see The Investigative Process desk aid).

Importance Once we have laid our foundation we can begin to gather the needed information related to alleged provider compliance concerns in a focused manner. Using a variety of sources, we can conduct a thorough analysis.


Use information gathering tools 4699 Enrollment Form and attachments

7028 HI Report and attachments

Paper file

CCFS

Formulate questions to clarify facts and assumptions

Interview involved parties Provider

Parents

Household members

Children in care

Volunteers/Employees

Observe

Recognize clues

Request documentation

Use policy to guide

Gather Information




Introduction In Step 4 we analyze all of the information we have gathered to determine if we can build a clear picture of the health and safety compliance at the provider’s location and, if not, return to Step 2 (see The Investigative Process desk aid).

Importance Once we have gathered our information we can begin to analyze the information and develop an interpretation of any evidence surrounding the alleged health and safety concerns and compliance level of the provider.


Review facts and documentation

Consider opposing arguments

Distinguish between facts, assumptions, and conclusions

Recognize connections

Verify all information gathered

Consult others for additional guidance

OCFS

Regional Office

SSD

CACFP

Use policy to guide 4699 Enrollment Form

7028 HI Report

CAP


Make a Decision


Make a Decision

Introduction

In our final step we are ready to conclude our investigative process by making and fully documenting our decision in CCFS – the system of record for LE care (see The Investigative Process desk aid).

Importance

It is imperative that all decisions made be based upon all of the information that was properly gathered, analyzed, and interpreted in order to clearly make a decision supported by law, policy, and regulation. This decision must then be completely and effectively documented in CCFS -the system of record - in order for the decision to become an official part of the case file that can be referenced in the future.

Practice

Action Example

Form Logical Conclusions

Document Complete Decision

Explain rationale

Identify facts and explain assumptions

Link to policy, law, and regulation

18 NYCRR•§415

4699 Enrollment Form

7028 HI Report

CAP

Make a Decision

Activity #3: Thinking Practice


Activity #3:

Thinking Practice

Directions In this family-tree diagram:

Use the clues to label the diagram and be prepared to answer the questions

Clues Clues:

1. James and Sarah Levy have a son named Harry.

2. Harry has an aunt named Mary.

3. Mary has a brother named Leon.

4. Leon’s father and mother are Walter and Barbara Winston.

Diagram

= females = males

Activity #3: Thinking Practice


Thinking Practice (continued)

Use the process

1. What is the name of Harry’s grandmother? ______________________________

How do you know?

2. What is Leon’s last name? __________________________________________

How do you know?

3. What is the name of Harry’s uncle?____________________________________

How do you know?

Reflection


Reflection

Identify 1 step of the investigative process that you feel you will be the easiest for you to accomplish. Why?

Identify 1 step of the investigative process you feel will be most challenging for you. Why?

Notes


Notes

Lesson 3: Documenting Your Process


Lesson 3:

Documenting Your Process

Lesson Overview

In this lesson, we are going to discuss writing notes and supporting your decision statements when documenting inspections and investigations in the Child Care Facility System—the system of record—and review the elements of effective documentation.

Lesson Objectives

In this lesson, you will learn:

How to write a note

How to write a decision statement

Elements of effective documentation

Order of Topics


Topic See Page

Documentation 43

Structure for Writing Notes 44

Decision Statement 45

Reason for Decision Statement 46

But What Do I Actually Say? 47

Elements to Include in Effective Support 48

Documentation


Documentation

Introduction Properly documenting the process an EA uses when inspecting and/or investigating LE providers means that the EA records clear notes detailing the steps taken in reaching their decision. These notes provide the explanations of the information, analysis, and interpretations that went into the decision and are entered into the appropriate screen in CCFS—the system of record. Once a decision is made at the conclusion of the process then a final decision statement must be entered which details the decision and the reason the decision was made.

Steps Facts, nature, and policy/regulation

assumed to be applicable to the allegation

Observations, facts, interviews, assumptions, and documentation

gathered

Facts, documentation, assumptions, conclusions, verification, and

policy/regulations used in making determination

Decision Statement with rationale and link to policy/law/regulation used

to make determination


Consider what might be going on

Gather Information


Make a decision

Structure for Writing a Narrative


Structure for Writing Notes

Introduction Notes are clearly written summaries providing observations, information gathered, analysis, and/or interpretations performed during the steps of the inspection or investigation processes. These notes are entered into CCFS—the system of record –on the appropriate screens.

Notes may include:

Whoo Made the complaint

Their relationship to the programo Was present during your site visit

Their relationship to the program

Wheno Date and time of phone call/site visit

Whereo Address where non-compliance (allegation) occurred if located outside/away

from caretakers approved location

Whato Instigated the compliance concern

Phone call 20% Inspection Monitoring Inspection Complaint Investigation

o Is the nature of the compliance concern

How do I know (all of the information gathered)o Observationso Factso Interviewso Assumptionso Documentation

Why you took your actiono What laws, regulations, and/or policy support your decision

Decision Statement

Rationale for the decision

Decision Statement


Decision Statement

Introduction The Decision Statement is a clear 1-2 sentence assertion which states the enrollment agent’s final determination.

Importance The Decision Statement clearly states what decision has been made by the EA.

Example Sample Decision Points Example

Complaint Investigation The complaint received on (date) regarding (topic of complaint) was investigated and the complaint was found to be (Substantiated/Unsubstantiated). Dunkin Meales enrollment status is (Denied/Temporarily Enrolled/Under Full Review/Enrolled/Terminated/Not affected)

20% and Monitoring Inspections

During a (20%/Monitoring) inspection conducted on (date) Dunkin Meales was found to be (compliant/non-compliant) with a severity level of (Imminent Danger/Serious/Non-emergency/No Concerns). The providers current Corrective Action Status is (NA/Corrected on Site/CAP Complete/CAP Pending/Refused CAP/Other)

Reason for Decision Statement


Reason for Decision Statement

Introduction The Reason for Decision Statement should be a one sentence assertion which states the regulation or policy that supports the decision.

Importance The Reason for Decision Statement clearly states which regulations and/or policies formed the basis of the EA’s decision. Decisions that have a negative impact on provider enrollment must cite the applicable regulation(s) which led to the decision.

Practice Decision Statement Reason for Decision

The complaint received on 1.12.2014 regarding a possible vicious dog living at the care location was investigated and the complaint was found to be Unsubstantiated. Dunkin Meales’ enrollment status is Not affected.

The reason for this decision is:

During a Monitoring inspection conducted on 2.16.2014 Dunkin Meales was found to be non-compliant with a severity level of Non-Emergency. The provider’s current Corrective Action Status is CAP Complete.

The reason for this decision is:

The reason for this decision is……

But What Do I Actually Say?


But What Do I Actually Say?

Introduction We know what we know. We know what we want to say. Sometimes what we write, is not what we are trying to say, and then other people read what we wrote, but they still don’t know what we know – you know?.

Importance If we are not clear about the facts, observations, documents, and conclusions we use to reach our decision then we cannot expect others to understand why we made the choices that we made. Worse, we may not understand our own documentation tomorrow if we are not clear today.

Who Use the full names of people when saying the “whos” of your support. Avoid the use of pronouns like he, him, she, her, they, and them unless it is absolutely clear WHO you are talking about.

When and Where

Use actual dates, times, and locations to make your documentation specific and clear.

What and How Do I know

Clearly state what you know and how you know it so you can document your facts and assumptions with the supporting knowledge of what led you to reach your conclusion.

Why Clearly state “why” you took action to connect your decision and supporting details with the regulation and policy that supports your decision.

Professionalism Even if our documentation contains all of the above elements, it still is not effective documentation if it is not presented professionally. Be precise, impartial, non-judgmental, and fair in your observations and recordings.

Elements to Include in Effective Support



Exercise

OMG, went to Ms. Smith’s house on Thursday to do her inspection! I can’t wait 2 go home and take a shower. I had

to knock on the door like 100 times before somebody finally answered. The provider was still in her bathrobe! It was like

noon!!! Of course you could hear the Jerry Springer show and she was all mad cuz I knocked cuz she didn’t want me to wake

up her baby.

She said “Who the hell are you and why do you keep pounding on my door!” which is just totally rude. I told her that I am

from ABC Enrollment Agency here to do her inspection. She

said that her regular girl always called ahead of time. I told her I don’t care what your regular girl does, either we do it my

way or I’d just mark her down as non-cooperative and shut her down. That got her to change her tune fast. She invited me in

but I could tell she was MAD. She asked me to sit down on the couch while she just changed her clothes fast.

I chose to stand (the couch just looked yucky with cat hair and

it was BROWN! I don’t think it started that color ewww) As soon as she stepped out of the room I pulled out my inspection

sheet and started to find everything I could (see attached) so I could just get outta there.

By the time she got back I was finished (and found a ton

wrong of course). I made her show me the other rooms in the

house so I could make sure there wasn’t anybody else there who wasn’t supposed to be.

I stood at the disgusting kitchen counter and wrote up her CAP. I handed it to her and told her that I would be back in

one week cuz that’s all it should take to fix all the stuff I had cited.

I then asked to see the kids. She said the kids were in the next room taking a nap. I didn’t want to wake them up so I

just left. Like she couldn’t have said that at the beginning – UGH!!



Answer the following questions:

1. What regulatory violations were found?

2. Will this inspection count as a 20% inspection? Why or Why not?

3. What personal biases did this inspector bring with her?

4. What would you do if you had to perform the next inspection at

this provider location?

Lesson 4: The Inspection Process


Lesson 4:

The Inspection Process

Lesson Overview

In this lesson, we are going to examine the inspection process and the steps in conducting and documenting an effective inspection.

Lesson Objectives


Learn the difference between the two types of inspections

Describe the procedure for executing a proper inspection

Describe the procedure for dealing with non-compliance

Explain the expectation for Child Care Facility System use inrecording and documenting inspections and non-compliance

Identify the key components and information contained in therequired OCFS forms related to inspections and non-compliance

Order of Topics


Topic See Page

Two Types of Inspections 50

The Inspection Process 51

Non-Compliance Process 58

Two Types of Inspections


Two Types of Inspections

Introduction There are two types of inspections that are performed by LE EAs: Inspections of 20% of the LE Providers Not Participating in CACFP and Monitoring Inspections.

20% Inspections

As a contracted milestone between OCFS and LE Provider EA, OCFS requires the on-site inspections of 20% of the currently enrolled, active, LE family child care providers, not participating in CACFP. This includes a review of the immunizations records to determine whether such providers are in compliance with health and safety standards set forth in 18 NYCRR §415.4.

The LE EA must complete the inspections in the manner and format detailed by OCFS in the 20% Annual Inspection Instructions and record each completed inspection in CCFS, to the fullest extent possible, within 7 days following the completion of the inspection (see Attachment 9: Legally-Exempt Enrollment Standard Performance Levels).

Location of 20% Annual Inspection Instructions _____________

Location of Attachment 9 ________________________________

Monitoring Inspections

A monitoring inspection is conducted to confirm the ongoing compliance of currently enrolled, active, LE providers who have had a prior history of non-compliance issues and to confirm that providers have corrected current non-compliance issues as required by their Corrective Action Plan (CAP).




Introduction There are 6 procedural steps to execute when performing the inspection process. These steps and their related tasks are detailed on the Inspection of 20% of LEFCC Not Participating in CACFP Desk Aid and the LE Provider Non-Compliance Process.

Process Prepare for the

inspection

Conduct the inspection

Determine appropriate action

Conduct Exit Interview

Record & support findings and

generate notices

Follow-up as needed

Prepare for the Inspection


Prepare for the Inspection

Introduction Preparing for an inspection of an LE provider means the EA works to develop a clear plan which has been developed using CCFS and all other available resources (see Inspection of 20% of LEFCC Not Participating in CACFP desk aid).

Importance Proper preparation allows the EA to gather all of the needed resources, both physical and mental, for the execution of a well-thought out inspection that takes into account the unique nature of each LE provider case, the health and safety of children in care, and the safety of the staffer who will be performing the inspection.

Tasks 1. Run the appropriate CCFS reports2. Choose the provider(s) to be inspected3. Review the provider’s paper and CCFS files4. Assemble your Tools of the Trade (see Inspections and

Investigations Desk Reference)5. Determine if the inspection will be announced or unannounced6. Print the LE021 Notice of Scheduled Inspection

a. When an inspection is “announced” with 7 or more days’notice, the EA must print and mail the LE021 Notice ofScheduled Inspection to the provider

b. When an inspection is “announced” with less than 7 daysnotice or the inspection is “unannounced”, the EA mustdeliver the LE021 Notice of Scheduled Inspection at thetime of the site visit/inspection. If circumstances preclude theEA from delivering the notice directly to the provider, the EAmust mail the LE021 Notice of Scheduled Inspection tothe provider no later than 7 days from the site inspection orvisit date and document the reason in CCFS

(See Instructions For Completing The 20% Annual Inspection Requirement Of Legally-Exempt Family Child Care Providers Not Participating In the Child and Adult Care Food Program, January 2014)

Prepare for the inspection

Conduct the Inspection


Conduct the Inspection

Introduction Conducting inspections allows the EA to fulfill their contractual responsibilities to OCFS and protect the health and safety of children receiving LE care (see Inspection of 20% of LEFCC Not Participating in CACFP desk aid).

Importance As we have discussed, LE provider enrollment is governed by regulation and policies which is monitored by the EA. Properly conducting an inspections means that EAs evaluate provider compliance using the tools developed by OCFS and properly records observations and findings in a thorough and professional manner so that these laws, regulations, and policies are adhered to by all parties.

Tasks 1. Arrive at location2. Conduct Inspection3. Record findings on:

a. OCFS-LDSS-7028, Home Inspection Reportb. OCFS-LDSS-7028-3, Attachment to the HI Report for

LEFCC Providers, if applicable

Conduct the inspection

Determine the Appropriate Actions



Introduction After completion of the inspection the EA is responsible for determining the compliance status of the enrolled, LE provider and any related actions that must occur as a result of these findings, recording them, and assisting the provider in developing an appropriate CAP, as needed (see Inspection of 20% of LEFCC Not Participating in CACFP desk aid).

Importance Careful thought and effective documentation are integral parts of provider compliance and EA decision making. EAs must examine their documented observations and use the proper statutory and regulatory information in order to determine what actions may need to be taken to support the compliance of providers.

Tasks 1. Complete the duplicate OCFS-LDSS-7028-1, Home Inspection Report Summary

2. If non-compliance exists, see Legally-Exempt Provider Non-Compliance Process





Introduction Once the EA has made a determination the EA and the provider must sit down and review the results in an exit interview (see Inspection of 20% of LEFCC Not Participating in CACFP desk aid).

Importance Proper communication helps to build an understanding of expectations and a healthy working relationship with providers.

Tasks 1. Conduct an Exit Interview (see Inspections and Investigations

Desk Reference)2. Leave provider with copies of all appropriate forms

a. OCFS-LDSS-7028-1, Home Inspection Report Summaryb. OCFS-LDSS-7028-2, Corrective Action Plan for LECCPc. Voluntary Agreement: Inactive Due to Emergency Health

and Safety Issues3. Make a plan for any follow-up action that may be necessary


Record &Support Findings and Generate Notices


Record & Support Findings and Generate Notices

Introduction The EA is responsible for recording each completed inspection in CCFS, to the fullest extent possible, within seven calendar days following the completion of the inspection and generating appropriate notices for the involved parties (see Inspection of 20% of LEFCC Not Participating in CACFP desk aid).

Importance CCFS is the system of record for LE child care therefore all information related to LE provider enrollment and compliance must be fully and completed recorded in CCFS (see Documentation, Lesson 3). CCFS will produce the appropriate notices for parents and providers, as well as send any necessary e-notices to the involved SSD(s) based upon the information entered by the EA.

Tasks 1. Retain hard copies of all inspection forms and field notes in paper

file 2. Within seven calendar days, fully document all inspections in CCFS

in all appropriate windows 3. Update person information as appropriate and record all findings of

non-compliance in the appropriate CCFS screen 4. Make changes to family decision/provider enrollment status as

appropriate 5. Generate and mail applicable CCFS notices to:

a. LE provider b. Parent/caretaker

6. Generate applicable e-notices for SSD


generate notices

Follow-up As Needed


Follow-Up As Needed

Introduction Depending upon the results of the inspection there may be follow-up necessary to verify that the enrolled, LE provider is in compliance (see Inspection of 20% of LEFCC Not Participating in CACFP desk aid).

Importance The EA is responsible for being sure that providers comply with any CAP that is written and that they continue to maintain compliance with the health and safety requirements of the LE program.

Tasks 1. Verify the correction of any non-compliance issues (see Legally-Exempt Provider Non-Compliance Process)

2. Document follow-up in CCFS in all appropriate windows3. If non-compliance is not corrected, or if additional non-compliance

is found, take appropriate action (see Legally-Exempt ProviderNon-Compliance Process)

Follow-up as needed

The Non-Compliance Process


The Non-Compliance Process

Introduction There are 5 procedural steps to execute when performing the non-compliance process. These steps and their related tasks are detailed on the LE Provider Non-Compliance Process.

Process

Violations found



Record and support findings and generate

notices

Follow-up as needed




Introduction Once non-compliance has been found at an LE provider location the EA must work to clearly document the non-compliance and determine the best course of action using all available resources (see LE Provider Non-Compliance Process).

Importance When non-compliance is found, the EA is responsible to fully document observations and use the proper regulatory information in order to determine what actions may need to be taken to support the compliance of providers.

Tasks 1. Document compliance and non-compliance items using:a. OCFS-LDSS-7028, Home Inspection Reportb. OCFS-LDSS-7028-1, Home Inspection Report Summaryc. OCFS-LDSS-7028-3, Attachment to the HI Report for

LEFCC Providers, if applicable2. Assess and determine the best course of action:

a. If corrective action will be taken assist the provider incompleting the OCFS-LDSS-7028-2, Corrective Action Planfor LECCP

b. If Imminent Danger is found take appropriate action:i. Immediate correction orii. Termination of enrollment oriii. Provider voluntarily changes status to Enrolled:

Emergency Inactive1. Complete the Voluntary Agreement: Inactive

Due to Emergency Health and Safety Issuesiv. Contact other appropriate agencies if necessaryv. Put an appropriate safety plan in place to protect

yourself and children in care

Determine appropriate

action

Exit Interview


Exit Interview

Introduction Once the EA has made a determination and built an effective CAP with the provider, then the EA and the provider must sit down and review the results in an exit interview (see LE Provider Non-Compliance Process).

Importance The Exit Interview is an important piece of the EA – LE provider relationship. Proper communication gives the EA and the provider the opportunity to build a working relationship that can help facilitate a clearer understanding of the regulatory expectations for health and safety compliance.

Tasks 1. Conduct an Exit Interview (see Inspections and InvestigationsDesk Reference)

2. Give the provider copies of all relevant forms to retain for theirrecords:

a. OCFS-LDSS-7028-1, Home Inspection Report Summaryb. OCFS-LDSS-7028-2, Corrective Action Plan for LECCPc. Voluntary Agreement: Inactive Due to Emergency Health

and Safety Issues3. Make a plan for any follow-up action that may be necessary

Exit Interview




Introduction The EA is responsible for recording compliance issues in CCFS, to the fullest extent possible. In addition, the EA uses CCFS to generate all notices for the appropriate parties of actions and decisions affecting enrolled, LE providers (see LE Provider Non-Compliance Process).



file2. Within seven calendar days, fully document all inspections in CCFS

in all appropriate windows3. Update person information as appropriate and record all findings of

non-compliance in the appropriate CCFS screen4. Make changes to family decision/provider enrollment status as

appropriate5. Generate and mail applicable CCFS notices to:

a. LE providerb. Parent/caretaker



generate notices

Follow-Up As Needed


Follow-Up As Needed

Introduction It is necessary for the EA to verify that the LE provider has corrected all non-compliance within the agreed upon time periods to support the safety of the children in care (see LE Provider Non-Compliance Process).

Importance The EA is responsible for verifying that providers comply with any CAP that is written and that they continue to maintain compliance with the health and safety requirements of the LE program not only as a part of their contractual responsibilities to OCFS but also to promote safe and healthy care environments for children.

Tasks 1. Follow-up to verify that the provider has corrected any non-compliance issues documented on the CAP

a. Monitoring visitb. Under special circumstances EA may accept receipts,

pictures, statements and/or other evidence presented byprovider as proof of correction

2. Document follow-up in CCFS in all appropriate windows3. If non-compliance is not corrected, or if additional non-compliance

is found, take appropriate action (see Legally-Exempt ProviderNon-Compliance Process).

Follow-up as needed

Lesson 5: The Complaint Investigation Process


Lesson 5:

The Complaint Investigation Process

Lesson Overview

In this lesson, we are going to examine the Complaint Investigation Process and the necessary steps in conducting and documenting an effective Complaint Investigation.

Lesson Objectives


Dissect the steps involved in the procedure for responding when a complaint is made against an enrolled, Legally-Exempt caregiver

Identify the intersection points between the Investigative Process and the Complaint Investigation Process

Identify the intersection point between the Non-Compliance Process and the Complaint Investigation Process

Identify the intersection point between the Inspection Process and the Complaint Investigation Process

Explain the expectations for recording and documenting Complaint Investigations in the Child Care Facility System

Order of Topics


Topic See Page

What is a Complaint Investigation 64

The Complaint Investigation Process 65

Activity #4: Complaint Investigations 73

What is a Complaint Investigation?


What is a Complaint Investigation?

Introduction When a complaint against an enrolled, LE child care provider is received, the EA must conduct a Complaint Investigation into the allegations to determine whether the allegation(s) are Substantiated or Unsubstantiated.

Complaint A complaint is any information received by an EA that alleges a legally-exempt child care provider is operating in non-compliance with applicable parts of 18 NYCRR §415.4 or may have misrepresented any information on the submitted enrollment form.

Responsibility Enrollment Agencies are responsible for receiving and documenting all allegations pertaining to enrolled, LE, investigating these allegations, making a determination, and taking appropriate action to safeguard the safety of children.

It is important to remember that:

The EA does not have legal authority to investigate complaintspertaining to legally-exempt child care providers who are not enrolledor are not in the process of enrolling to provide subsidized child careWhen a complaint of illegal care is made regarding an enrolled, LEprovider, both the EA and the appropriate OCFS Regional Officehave responsibilities to investigate (see Memo: Guidance oncomplaints involving legally- exempt providers when thecomplaint violation is alleging illegal care, child abuse andmaltreatment or both, issued March 15, 2013)

Time Frame The EA is responsible for concluding a complaint investigation by making a determination of Substantiated or Unsubstantiated within 30 days of the receipt of a complaint.

In cases where non-compliance is identified, during the course of a Complaint Investigation, the EA is responsible for following the standard process for addressing non-compliance as outlined in the Legally-Exempt Provider Non-Compliance Process.




Introduction There are seven procedural steps to execute when performing the Complaint Investigation process. These steps and their related tasks are detailed on the Legally-Exempt Provider Complaint Investigation Process.

Process Receive and record

allegations

Prepare for the investigation

Gather Information


Make a decision


generate notices

Follow-up as needed

Receive and Record All Allegations


Receive and Record All Allegations

Introduction

Upon receiving a complaint pertaining to an enrolled, LE provider, the EA must document the complaint in CCFS to the fullest extent possible based on the most recent instructions issued by OCFS (see Legally-Exempt Provider Complaint Investigation Process).

Importance

Receiving and recording complaint allegations made against enrolled, LE providers is important because the timeframes for initiating the complaint investigation depends on the level of severity assigned to the allegation.

The EA must assess the severity of the health and safety risk contained in the allegations when it is received and respond according to the timeframes we discussed in Lesson 2 (see Inspections and Investigations Desk Reference).

Review

Severity Level Investigation Initiation/Site Visit

Timeframe

Imminent Danger

Serious

Non-Emergency

Receive and record allegations

Prepare for the Investigation


Prepare for the Investigation

Introduction Preparing for a complaint investigation means the EA must work to develop a clear plan of what they will need to conduct an investigation of possible noncompliance by an LE provider (see Legally-Exempt Provider Complaint Investigation Process and Inspections and Investigations Desk Reference).

Importance Preparation allows the investigator to gather all of the needed resources, both physical and mental, for the execution of a well thought-out inspection. This preparation takes into account the unique nature of the:

1. Legally-Exempt provider2. Parent/caretaker3. Nature of the allegations that have been made against the provider4. Children in care5. Safety of the staffer who will be performing the inspection.

Prepare for the investigation

Gather Information


Gather Information

Introduction Gathering information for complaint investigations means properly conducting inspections and interviews that are intended to gather the information and materials which will allow the EA to draw logical and supportable conclusions related to the allegations received.

Importance Through a thorough inspection (see Inspection of 20% of the LE Providers Not Participating in CACFP Desk Aid) effective interviews of collateral contacts, and the collection of related materials/document, EAs can gather sufficient information that will allow them to proceed with a thorough analysis.

Gather information




Introduction Once information has been gathered, the EA is responsible for analyzing everything collected to determine if the allegations are substantiated and if there is any impact on the provider’s compliance and/or enrollment status (see Legally-Exempt Provider Complaint Investigation Process).

Importance EAs must examine the information gathered and the relevant regulatory/policy information in order to determine what actions may need to be taken to protect the health and safety of children in the providers care and whether there are possible negative implications on the provider’s enrollment status.

Any related actions that must occur as a result of these findings should be initiated at this time including any potential non-compliance remediation (see LE Provider Non-Compliance Process).

Analyze and interpret

Make a Decision


Make a Decision

Introduction Using their thorough analysis and interpretations, the EA is responsible for determining whether the complaint allegation is Substantiated or Unsubstantiated within 30 days of receipt of the initial complaint OCFS (see Legally-Exempt Provider Complaint Investigation Process).

Importance At the conclusion of the investigation the EA must make a determination of Substantiated or Unsubstantiated and record the complete details of the investigation in CCFS, to the fullest extent possible, including any corrective actions that may have taken place during the course of the investigation. All decisions related to LE provider enrollment and compliance must be fully and completely recorded (see Documentation, Lesson 3).

Make a decision




Introduction The EA is responsible for recording information about complaint investigations in CCFS, to the fullest extent possible. In addition, the EA uses CCFS to generate all notices for the appropriate parties of actions and decisions affecting enrolled, LE providers (see Legally-Exempt Provider Complaint Investigation Process).



file2. Within seven calendar days, fully document all inspections in CCFS

in all appropriate windows3. Update person information as appropriate and record all findings of

non-compliance in the appropriate CCFS screen4. Make changes to family decision/provider enrollment status as

appropriate5. Generate and mail applicable CCFS notices to:

a. LE providerb. Parent/caretaker



generate notices

Follow-Up As Needed


Follow-Up As Needed

Introduction Depending upon the results of the investigation, there may be follow-up necessary to verify that the enrolled, LE provider is in compliance OCFS (see Legally-Exempt Provider Complaint Investigation Process).

Importance

The EA is responsible for monitoring compliance with any CAP as well as providers continuing compliance with the health and safety requirements of the LE program (see LE Provider Non-Compliance Process).

Follow-up as needed

Activity #5: The Complaint Investigation Process


Activity #4:


Introduction In this activity you will focus becoming familiar with the legally-exempt provider complaint investigation process.

Resources Use the following resources to complete this activity:

Legally-Exempt Provider Complaint Investigation desk aid

The Investigative Process desk aid

OCFS-LDSS 4699, Enrollment Form for Provider of Legally-Exempt Family Child Care and Legally-Exempt In-Home Child Care

OCFS-LDSS-7028, Home Inspection Report for Legally-Exempt Family Child Care Provider

List of CCFS Notices

Inspections and Investigations Desk Reference

Directions Use the brainstorming handout you have been provided and answer the questions for the step(s) of the OCFS recommended process for complaint investigations that you have been assigned. At the end of the assigned time you will be asked to walk the whole group through the step(s) you have prepared. You may wish to use flip chart paper to identify the key concept covered in each section to support your walk-through.

Notes


Notes

Resources Cover

Professional Development Program Resources Cover

Resources

Tab 1: Laws

Social Services Law §390

Tab 2: Regulations

18 NYCRR 415, Legally- Exempt Excerpt

Tab 3: Policy Statements and State Guidance Documents

Attachment 9: Legally-Exempt Enrollment Standard Performance Levels

Instructions For Completing The 20% Annual Inspection Requirement Of Legally-

Exempt Family Child Care Providers Not Participating in the Child and Adult Care

Food Program

Memo: Guidance on complaints involving legally-exempt providers when the

complaint violation is alleging illegal care, child abuse and maltreatment or both

Tab 4: Legally-Exempt Family and In-Home Child Care Enrollment Form and Attachments

OCFS-LDSS-4699, Enrollment Form for Provider of Legally-Exempt Family Child

Care and Legally-Exempt In-Home Child Care

OCFS-LDSS-4699-1, Employment of Minors

OCFS-LDSS-4699-2, Legally-Exempt In-Home Child Care Provider Agreement

Form

OCFS-LDSS-4699-3, Legally-Exempt Child Care Provider Training Record Form

OCFS-4915, History of Criminal Convictions and Parental Acknowledgement

OCFS-4916, History of Daycare Enforcement and Parental Acknowledgement

OCFS-4917, History of Termination of Parental Rights and/or Court-Ordered Article

10-Removal of a Child and Parental Acknowledgement

Resources Cover

Professional Development Program Resources Cover

Tab 5: Home Inspection Report for Legally-Exempt Providers and Attachments

OCFS-LDSS-7028, Home Inspection Report for Legally-Exempt Family Child Care

Providers

OCFS-LDSS-7028-1, Home Inspection Report Summary

OCFS-LDSS-7028-2, Corrective Action Plan

OCFS-LDSS-7028-3, Attachment to the Home Inspection Report for Legally-Exempt

Providers OCFS Authorized to Administer Medication

Voluntary Agreement: Inactive Due To Emergency Health And Safety Issues

Legally-Exempt Child Care (Sample)

Tab 6: Desk Aids


Doing the Math

Time in Care (Sample)

Time in Care (Blank)

Voluntary Affidavit (Sample)

New York State Social Services Law

Section 390

This page left intentionally blank.

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Social Services Law (SSL) as Amended by Laws of 2010 § 390, 390-a, 390-b, 390-c, 390-c (second one)

390-d, 390-e, 390-f, 390-g, 390-h, 391 § 390. Child day care; license or registration required. 1. Definitions. (a)

(i) "Child day care" shall mean care for a child on a regular basis provided away from the child's residence for less than twenty-four hours per day by someone other than the parent, step-parent, guardian, or relative within the third degree of consanguinity of the parents or step-parents of such child. (ii) Child day care shall not refer to care provided in:

(A) A day camp, as defined in the state sanitary code; (B) An after-school program operated for the purpose of religious education, sports, or recreation; (C) A facility:

(1) Providing day services under an operating certificate issued by the department; (2) Providing day treatment under an operating certificate

issued by the office of mental health or office of mental retardation and developmental disabilities; or (D) A kindergarten, pre-kindergarten, or nursery school for children three years of age or older, or after-school program for children operated by a public school district or by a private school or academy which is providing elementary or secondary education or both, in accordance with the compulsory education requirements of the education law, provided that the kindergarten, pre-kindergarten, nursery school, or after school program is located on the premises or campus where the elementary or secondary education is provided.

(b) "Child day care provider" shall mean any individual, association, corporation, partnership, institution or agency whose activities include providing child day care or operating a home or facility where child day care is provided. (c) "Child day care center" shall mean any program or facility caring for children for more than three hours per day per child in which child day care is provided by a child day care provider except those programs operating as a group family day care home as such term is defined in paragraph (d) of this subdivision, a family day care home, as such term is defined in paragraph (e) of this subdivision, and a school-age child care program, as such term is defined in paragraph (f) of this subdivision. (d) "Group family day care home" shall mean a program caring for children for more than three hours per day per child in which child day care is provided in a family home for seven to twelve children of all ages, except for those programs operating as a family day care home, as such term is defined in

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paragraph (e) of this subdivision, which care for seven or eight children. A group family day care provider may provide child day care services to four additional children if such additional children are of school age and such children receive services only before or after the period such children are ordinarily in school or during school lunch periods, or school holidays, or during those periods of the year in which school is not in session. There shall be one caregiver for every two children under two years of age in the group family home. A group family day care home must have at least one assistant to the operator present when child day care is being provided to seven or more children when none of the children are school age, or nine or more children when at least two of the children are school age and such children receive services only before or after the period such children are ordinarily in school or during school lunch periods, or school holidays, or during those periods of the year in which school is not in session. This assistant shall be selected by the group family day care operator and shall meet the qualifications established for such position by the regulations of the office of children and family services. (e) "Family day care home" shall mean a program caring for children for morethan three hours per day per child in which child day care is provided in a familyhome for three to six children. There shall be one caregiver for every two childrenunder two years of age in the family day care home. A family day care providermay, however, care for seven or eight children at any one time if no more thansix of the children are less than school age and the school-aged childrenreceive care primarily before or after the period such children are ordinarily inschool, during school lunch periods, on school holidays, or during those periodsof the year in which school is not in session in accordance with the regulationsof the office of children and family services and the office inspects such home todetermine whether the provider can care adequately for seven or eightchildren.(f) "School age child care" shall mean a program caring for more than six school-aged children who are under thirteen years of age or who are incapable of caringfor themselves. Such programs shall be in operation consistent with the localschool calendar. School age child care programs shall offer care during theschool year to an enrolled group of children at a permanent site before orafter the period children enrolled in such program are ordinarily in school orduring school lunch periods and may also provide such care on schoolholidays and those periods of the year in which school is not in session.

2. (a) Child day care centers caring for seven or more children and group familyday care programs, as defined in subdivision one of this section, shall obtaina license from the office of children and family services and shall operate inaccordance with the terms of such license and the regulations of such office.Initial licenses shall be valid for a period of up to two years; subsequent licensesshall be valid for a period of up to four years so long as the provider remains

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substantially in compliance with applicable law and regulations during such period. (b) Family day care homes, child day care centers caring for at least three butfewer than seven children, and school-age child care programs shall register withthe department and shall operate in compliance with the regulations of thedepartment.(c) Any child day care provider not required to obtain a license pursuant toparagraph (a) of this subdivision or to register with the department pursuant toparagraph (b) of this subdivision may register with the department.(d)

(i) The office of children and family services shall promulgate regulationsfor licensure and for registration of child day care pursuant to thissection. Procedures for obtaining a license or registration orrenewing a license shall include a satisfactory inspection of thefacility by the office of children and family services prior to issuance ofthe license or registration or renewal of the license.(ii)

(A) Initial registrations shall be valid for a period of up to two years.Subsequent registrations shall be valid for a period of up to fouryears so long as the provider remains substantially in compliancewith applicable law and regulations during such period.(B) After initial registration by the child day care provider, the officeof children and family services shall not accept any subsequentregistration by such provider, unless:

(1) Such provider has met the training requirements set forthin section three hundred ninety-a of this title;(2) Such provider has met the requirements of section threehundred ninety-b of this title relating to criminal historyscreening;(3) Such provider has complied with the requirements ofsection four hundred twenty-four-a of this article; and(4) The office of children and family services hasreceived no complaints about the home, center, orprogram alleging statutory or regulatory violations, or,having received such complaints, the office of children andfamily services has determined, after inspection pursuantto paragraph (a) of subdivision three of this section, that thehome, center, or program is operated in compliance withapplicable statutory and regulatory requirements.

(C) Where the office of children and family services hasdetermined that a registration should not be continued becausethe requirements of clause (B) of this subparagraph have not beensatisfied, the office of children and family services mayterminate the registration. If the office of children and familyservices does not terminate the registration, the office ofchildren and family services shall inspect the home or program

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before acknowledging any subsequent registration. Where the home or program has failed to meet the requirements of this section, the office of children and family services may reject any subsequent registration of a provider. Nothing herein shall prohibit the office of children and family services from terminating or suspending registration pursuant to subdivision ten of this section where the office of children and family services determines that termination or suspension is necessary.

(iv) Child day care providers who have been issued a license shall openly display such license in the facility or home for which the license is issued. Child day care providers who have registered with the department shall provide proof of registration upon request.

(e) Notwithstanding any other provision of this section, where a child is cared for by a parent, guardian or relative within the third degree of consanguinity of the parent of such child and such person simultaneously provides child day care for other children, only the other children shall be considered in determining whether such person must be registered or licensed, provided that such person is not caring, in total, for more than eight children. 2-a. (a) The office of children and family services shall promulgate regulations which establish minimum quality program requirements for licensed and registered child day care homes, programs and facilities. Such requirements shall include but not be limited to

(i) The need for age appropriate activities, materials and equipment to promote cognitive, educational, social, cultural, physical, emotional, language and recreational development of children in care in a safe, healthy and caring environment (ii) Principles of childhood development (iii) Appropriate staff/child ratios for family day care homes, group family day care homes, school age day care programs and day care centers, provided however that such staff/child ratios shall not be less stringent than applicable staff/child ratios as set forth in part four hundred fourteen, four hundred sixteen, four hundred seventeen or four hundred eighteen of title eighteen of the New York code of rules and regulations as of January first, two thousand (iv) Appropriate levels of supervision of children in care (v) Minimum standards for sanitation, health, infection control, nutrition, buildings and equipment, safety, security procedures, first aid, fire prevention, fire safety, evacuation plans and drills, prevention of child abuse and maltreatment, staff qualifications and training, record keeping, and child behavior management.

(b) The use of electronic monitors as a sole means of supervision of children in day care shall be prohibited, except that electronic monitors may be used in family day care homes and group family day care homes as an indirect means of supervision where the parents of any child to be supervised have agreed in

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advance to the use of such monitors as an indirect means of supervision and the use of such monitors is restricted to situations where the children so supervised are sleeping. (c) No child less than six weeks of age may be cared for by a licensed orregistered day care provider, except in extenuating circumstances where priorapproval for care of such children has been given by the office of childrenand family services. Extenuating circumstances for the purposes of this sectionshall include but not be limited to the medical or health needs of the parent orchild, or the economic hardship of the parent.

3. (a) The office of children and family services may make announced orunannounced inspections of the records and premises of any child day careprovider, whether or not such provider has a license from, or is registered with,the office of children and family services. The office of children and familyservices shall make unannounced inspections of the records and premises ofany child day care provider within fifteen days after the office of childrenand family services receives a complaint that, if true, would indicate suchprovider does not comply with the regulations of the office of children andfamily services or with statutory requirements. If the complaint indicates thatthere may be imminent danger to the children, the office of children and familyservices shall investigate the complaint no later than the next day of operationof the provider. The office of children and family services may provide forinspections through the purchase of services.(b) Where inspections have been made and violations of applicable statutesor regulations have been found, the office of children and family services shallwithin ten days advise the child day care provider in writing of the violations andrequire the provider to correct such violations. The office of children andfamily services may also act pursuant to subdivisions ten and eleven of thissection.(c)

(i) The office of children and family services shall establish a toll-freestatewide telephone number to receive inquiries about child day carehomes, programs and facilities and complaints of violations of therequirements of this section or regulations promulgated under thissection. The office of children and family services shall develop asystem for investigation, which shall include inspection, of suchcomplaints. The office of children and family services may provide for suchinvestigations through purchase of services. The office of children andfamily services shall develop a process for publicizing such toll-freetelephone number to the public for making inquiries or complaintsabout child day care homes, programs or facilities.(ii) Information to be maintained and available to the public through suchtoll-free telephone number shall include, but not be limited to:

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(A) current license and registration status of child day care homes, programs and facilities including whether a license or registration is in effect or has been revoked or suspended; and (B) child care resource and referral programs providing services pursuant to title five-B of this article and other resources known to the office of children and family services which relate to child day care homes, programs and facilities in the state.

(iii) Upon written request identifying a particular child day care home, program or facility, the office of children and family services shall provide the information set forth below. The office of children and family services may charge reasonable fees for copies of documents provided, consistent with the provisions of article six of the Public Officers law. The information available pursuant to this clause shall be:

(A) the results of the most recent inspection for licensure or registration and any subsequent inspections by the office of children and family services; (B) complaints filed against child day care homes, programs or facilities which describes the nature of the complaint and states how the complaint was resolved, including the status of the office of children and family services investigation, the steps taken to rectify the complaint, and the penalty, if any, imposed; and (C) child day care homes, programs or facilities which have requested or received a waiver from any applicable rule or regulation, and the regulatory requirement which was waived.

(iv)Nothing in this paragraph shall be construed to require or permit the disclosure either orally or in writing of any information that is confidential pursuant to law.

(d) Where investigation or inspection reveals that a child day care provider which must be licensed or registered is not, the office of children and family services shall advise the child day care provider in writing that the provider is in violation of the licensing or registration requirements and shall take such further action as is necessary to cause the provider to comply with the law, including directing an unlicensed or unregistered provider to cease operation. In addition, the office of children and family services shall require the provider to notify the parents or guardians of children receiving care from the provider that the provider is in violation of the licensing or registration requirements and shall require the provider to notify the office of children and family services that the provider has done so. Any provider who is directed to cease operations pursuant to this paragraph shall be entitled to a hearing before the office of children and family services. If the provider requests a hearing to contest the directive to cease operations, such hearing must be scheduled to commence as soon as possible but in no event later than thirty days after the receipt of the request by the office of children and family services. The provider may not operate the center, home or program after being directed to cease operations, regardless of whether a hearing is requested. If the provider does not cease operations, the office of children and family

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services may impose a civil penalty pursuant to subdivision eleven of this section, seek an injunction pursuant to section three hundred ninety-one of this title, or both. (e)

(i) Where an authorized agency is subsidizing child day care pursuantto any provision of this chapter, the authorized agency may submit tothe department justification for a need to impose additional requirementsupon child day care providers and a plan to monitor compliancewith such additional requirements. No such additional requirements ormonitoring may be imposed without the written approval of thedepartment.(ii) An authorized agency may refuse to allow a child day careprovider who is not in compliance with this section and regulationsissued hereunder or any approved additional requirements of theauthorized agency to provide child day care to the child. In accordancewith the plan approved by the department, an authorized agency shallhave the right to make announced or unannounced inspections of therecords and premises of any provider who provides care for suchchildren, including the right to make inspections prior to subsidizedchildren receiving care in a home where the inspection is for thepurpose of determining whether the child day care provider is incompliance with applicable law and regulations and any additionalrequirements imposed upon such provider by the authorized agency.Where an authorized agency makes such inspections, the authorizedagency shall notify the department immediately of any violations of thissection or regulations promulgated hereunder, and shall provide thedepartment with an inspection report whether or not violations were found,documenting the results of such inspection.(iii) Nothing contained in this paragraph shall diminish the authority of thedepartment to conduct inspections or provide for inspections throughpurchase of services as otherwise provided for in this section. Nothingcontained in this paragraph shall obligate the department to take anyaction to enforce any additional requirements imposed on child day careproviders by an authorized agency.

(f) Individual local social services districts may alter their participation inactivities related to arranging for, subsidizing, delivering and monitoring theprovision of subsidized child day care provided, however, that the totalparticipation of an individual district in all activities related to the provision ofsubsidized child day care shall be no less than the participation level engagedin by such individual district on the effective date of this section.

4. (a) The office of children and family services on an annual basis shall inspect atleast twenty percent of all registered family day care homes, registered child daycare centers and registered school age child care programs to determinewhether such homes, centers and programs are operating in compliance with

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applicable statutes and regulations. The office of children and family services shall increase the percentage of family day care homes, child day care centers and school age child care programs which are inspected pursuant to this subdivision as follows: to at least thirty percent by the thirty-first of December two thousand; and to at least fifty percent by the thirty-first of December two thousand one. The office of children and family services may provide for such inspections through purchase of services. Priority shall be given to family day care homes which have never been licensed or certified prior to initial registration. (b) Any family day care home or school-age child care program licensed,registered, or certified by the department or by any authorized agency onthe effective date of this section shall be deemed registered until the expirationof its then-current license or certificate unless such license or certificate issuspended or revoked pursuant to subdivision ten of this section. Family daycare homes and school-age child care programs not licensed, registered, orcertified on the effective date of this section shall register pursuant tosubdivision two of this section.

5. Child day care providers required to have a license from the departmentor to be registered with the department pursuant to this section shall not beexempt from such requirement through registration with another state agency,or certification, registration, or licensure by any local governmental agency orany authorized agency.

6. Unless otherwise limited by law, a parent with legal custody or a legalguardian of any child in a child day care program shall have unlimited and ondemand access to such child or ward. Such parent or guardian unlessotherwise limited by law, also shall have the right to inspect on demand duringits hours of operation any area of a child day care center, group family day carehome, school-age child care program, or family day care home to which the childor ward of such parent or guardian has access or which could present ahazard to the health and safety of the child or ward.

7. (a) The department shall implement on a statewide basis programs to educateparents and other potential consumers of child day care programs about theirselection and use. The department may provide for such implementation throughthe purchase of services. Such education shall include, but not be limited to, thefollowing topics:

(i) Types of child day care programs;(ii) Factors to be considered in selecting and evaluating child day careprograms;(iii) Regulations of the department governing the operation of differenttypes of programs;(iv) Rights of parents or guardians in relation to access to children andinspection of child day care programs;

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(v) Information concerning the availability of child day care subsidies;(vi) Information about licensing and registration requirements;(vii) Prevention of child abuse and maltreatment in child day careprograms, including screening of child day care providers and employees;(viii) Tax information; and(ix) Factors to be considered in selecting and evaluating child day careprograms when a child needs administration of medications during thetime enrolled.

(b) The department shall implement a statewide campaign to educate the publicas to the legal requirements for registration of family day care and school-agechild care, and the benefits of such registration. The department may provide forsuch implementation through the purchase of services. The campaign shall:

(i) Use various types of media;(ii) Include the development of public educational materials for families,family day care providers, employers and community agencies;(iii) Explain the role and functions of child care resource and referralprograms, as such term is used in title five-B of this article;(iv) Explain the role and functions of the department in regard to registeredprograms; and(v) Publicize the department's toll-free telephone number for makingcomplaints of violations of child day care requirements related toprograms which are required to be licensed or registered.

8. The department shall establish and maintain a list of all current registeredand licensed child day care programs and a list of all programs whoselicense or registration has been revoked, rejected, terminated, orsuspended. Such information shall be available to the public, pursuant toprocedures developed by the department.

8-a. The office of children and family services shall not make available tothe public online any group family day care home provider's or family day careprovider's home street address or map showing the location of such provider'shome where such provider has requested to opt out of the online availability ofthis information. The office shall provide a written form informing a provider oftheir right to opt out of providing information online, and shall also permit aprovider to request to opt out through the office's website.

9. The department shall make available, directly or through purchase ofservices, to registered child day care providers information concerning:

(a) Liability insurance;(b) Start-up grants;(c) United States department of agriculture food programs;(d) Subsidies available for child day care;(e) Tax information; and

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(f) Support services required to be provided by child care resource and referral programs as set forth in subdivision three of section four hundred ten-r of this article.

10. Any home or facility providing child day care shall be operated in accordance with applicable statutes and regulations. Any violation of applicable statutes or regulations shall be a basis to deny, limit, suspend, revoke, or terminate a license or registration. Consistent with articles twenty-three and twenty-three-A of the correction law, and guidelines referenced in subdivision two of section four hundred twenty-five of this article, if the office of children and family services is made aware of the existence of a criminal conviction or pending criminal charge concerning an operator of a family day care home, group family day care home, school-age child care program, or child day care center or concerning any assistant, employee or volunteer in such homes, programs or centers, or any persons age eighteen or over who reside in such homes, such conviction or charge may be a basis to deny, limit, suspend, revoke, reject, or terminate a license or registration. Before any license issued pursuant to the provisions of this section is suspended or revoked, before registration pursuant to this section is suspended or terminated, or when an application for such license is denied or registration rejected, the applicant for or holder of such registration or license is entitled, pursuant to section twenty-two of this chapter and the regulations of the office of children and family services, to a hearing before the office of children and family services. However, a license or registration shall be temporarily suspended or limited without a hearing upon written notice to the operator of the facility following a finding that the public health, or an individual's safety or welfare, are in imminent danger. The holder of a license or registrant is entitled to a hearing before the office of children and family services to contest the temporary suspension or limitation. If the holder of a license or registrant requests a hearing to contest the temporary suspension or limitation, such hearing must be scheduled to commence as soon as possible but in no event later than thirty days after the receipt of the request by the office of children and family services. Suspension shall continue until the condition requiring suspension or limitation is corrected or until a hearing decision has been issued. If the office of children and family services determines after a hearing that the temporary suspension or limitation was proper, such suspension or limitation shall be extended until the condition requiring suspension or limitation has been corrected or until the license or registration has been revoked. 11. (a)

(i) The office of children and family services shall adopt regulations establishing civil penalties of no more than five hundred dollars per day to be assessed against child day care centers, school age child care programs, group family day care homes or family day care homes for violations of this section, sections three hundred ninety-a and three

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hundred ninety-b of this title and any regulations promulgated thereunder. The regulations establishing civil penalties shall specify the violations subject to penalty. (ii) The office of children and family services shall adoptregulations establishing civil penalties of no more than five hundreddollars per day to be assessed against child day care providers whooperate child day care centers or group family day care homes without alicense or who operate family day care homes, school-age child careprograms, or child day care centers required to be registered withoutobtaining such registration.(iii) In addition to any other civil or criminal penalty provided by law, theoffice of children and family services shall have the power to assess civilpenalties in accordance with its regulations adopted pursuant to thissubdivision after a hearing conducted in accordance with proceduresestablished by regulations of the office of children and family services.Such procedures shall require that notice of the time and place of thehearing, together with a statement of charges of violations, shall beserved in person or by certified mail addressed to the school age childcare program, group family day care home, family day care home, or childday care center at least thirty days prior to the date of the hearing.The statement of charges shall set forth the existence of the violation orviolations, the amount of penalty for which the program may becomeliable, the steps which must be taken to rectify the violation, and whereapplicable, a statement that a penalty may be imposed regardless ofrectification. A written answer to the charges of violations shall be filedwith the office of children and family services not less than ten daysprior to the date of hearing with respect to each of the charges andshall include all material and relevant matters which, if not disclosed inthe answer, would not likely be known to the office of children and familyservices.(iv) The hearing shall be held by the commissioner of the office of childrenand family services or the commissioner's designee. The burden of proofat such hearing shall be on the office of children and family services toshow that the charges are supported by a preponderance of the evidence.The commissioner of the office of children and family services or thecommissioner's designee, in his or her discretion, may allow the child daycare center operator or provider to attempt to prove by a preponderanceof the evidence any matter not included in the answer. Where thechild day care provider satisfactorily demonstrates that it has rectified theviolations in accordance with the requirements of paragraph (c) of thissubdivision, no penalty shall be imposed except as provided in paragraph(c) of this subdivision.

(b) (i) In assessing penalties pursuant to this subdivision, the office of childrenand family services may consider the completeness of any rectification

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made and the specific circumstances of such violations as mitigating factors. (ii) Upon the request of the office of children and family services, theattorney general shall commence an action in any court of competentjurisdiction against any child day care program subject to theprovisions of this subdivision and against any person, entity orcorporation operating such center or school age child care program,group family day care home or family day care home for the recovery ofany penalty assessed by the office of children and family services inaccordance with the provisions of this subdivision.(iii) Any such penalty assessed by the office of children and familyservices may be released or compromised by the office of children andfamily services before the matter has been referred to the attorneygeneral; when such matter has been referred to the attorney general,such penalty may be released or compromised and any actioncommenced to recover the same may be settled and discontinued by theattorney general with the consent of the office of children and familyservices.

(c) (i) Except as provided for in this paragraph, a child day care providershall avoid payment of a penalty imposed pursuant to this subdivisionwhere the provider has rectified the condition which resulted in theimposition of the penalty within thirty days of notification of theexistence of the violation of statute or regulation.(ii) Clause (i) of this paragraph notwithstanding, rectification shall notpreclude the imposition of a penalty pursuant to this subdivision where:

(A) the child day care provider has operated a child day carecenter or group family day care home without a license, hasrefused to seek a license for the operation of such a center orhome, or has continued to operate such a center or home afterdenial of a license application, revocation of an existing licenseor suspension of an existing license;(B) the child day care provider has operated a family day carehome, school-age child care program or child day care centerrequired to be registered without being registered, has refusedto seek registration for the operation of such home, program orcenter or has continued to operate such a home, program orcenter after denial of a registration application, revocation of anexisting registration or suspension of an existing registration;(C) there has been a total or substantial failure of the facility's firedetection or prevention systems or emergency evacuationprocedures;(D) the child day care provider or an assistant, employee orvolunteer has failed to provide adequate and competentsupervision;

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(E) The child day care provider or an assistant, employee orvolunteer has failed to provide adequate sanitation;(F) The child day care provider or an assistant, employee,volunteer or, for a family day care home or group family day carehome, a member of the provider's household, has injured a child incare, unreasonably failed to obtain medical attention for a childin care requiring such attention, used corporal punishment againsta child in care or abused or maltreated a child in care;(G) The child day care provider has violated the same statutory orregulatory standard more than once within a six month period;(H) The child day care provider or an assistant, employee orvolunteer has failed to make a report of suspected child abuseor maltreatment when required to do so pursuant to section fourhundred thirteen of this article; or(I) The child day care provider or an assistant, employee orvolunteer has submitted to the office of children and family servicesa forged document as defined in section 170.00 of the penal law.

(d) Any civil penalty received by the office of children and family servicespursuant to this subdivision shall be deposited to the credit of the "quality childcare and protection fund" established pursuant to section ninety-seven-www ofthe state finance law.(e)

(i) The office of children and family services shall deny a newapplication for licensure or registration made by a day care providerwhose license or registration was previously revoked or terminated basedon a violation of statute or regulation for a period of two years from thedate that the revocation or termination of the license or registrationbecame finally effective, unless such office determines, in its discretion,that approval of the application will not in any way jeopardize thehealth, safety or welfare of children in the center, program or home. Forthe purposes of this paragraph, the date that the revocation ortermination became finally effective shall be, as applicable:

(A) The date that the revocation or termination became effectivebased on the notice of revocation or termination;(B) The date that the hearing decision was issued upholding therevocation or termination;(C) The date of issuance of a final court order affirming therevocation or termination or affirming a hearing decision thatupheld the revocation or termination; or(D) Another date mutually agreed upon by the office of childrenand family services and the provider.

(ii) (A) Such office shall deny a new application for licensure orregistration made by a day care provider who is enjoined orotherwise prohibited by a court order from operation of a day carecenter, group family day care home, family day care home or

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school-age child care program without a license or registration for a period of two years from the date of the court order unless the court order specifically enjoins the provider from providing day care for a period longer than two years, in which case the office shall deny any new application made by the provider while the provider is so enjoined. (B) Such office shall deny a new application for licensure orregistration made by a day care provider who is assessed asecond civil penalty by such office for having operated a daycare center, group family day care home, family day carehome or school-age child care program without a license orregistration for a period of two years from the date of the secondfine. For the purposes of this paragraph, the date of the secondfine shall be either the date upon which the day care providersigns a stipulation agreement to pay the second fine or the dateupon which a hearing decision is issued affirming the determinationof such office to impose the second fine, as applicable.

(iii) A day care provider who surrenders the provider's license orregistration while such office is engaged in enforcement seekingsuspension, revocation or termination of such provider's license orregistration pursuant to the regulations of such office, shall be deemed tohave had their license or registration revoked or terminated and shallbe subject to the prohibitions against licensing or registration pursuant tosubparagraph (i) of this paragraph for a period of two years from the dateof surrender of the license or registration.

12. (a) Notwithstanding any other provision of law, except as may be required as acondition of licensure or registration by regulations promulgated pursuant tothis section, no village, town (outside the area of any incorporated village), cityor county shall adopt or enact any law, ordinance, rule or regulation whichwould impose, mandate or otherwise enforce standards for sanitation,health, fire safety or building construction on a one or two family dwelling ormultiple dwelling used to provide group family day care or family day care thanwould be applicable were such child day care not provided on thepremises. No village, town (outside the area of any incorporated village),city or county shall prohibit or restrict use of a one or two family dwelling, ormultiple dwelling for family or group family day care where a license orregistration for such use has been issued in accordance with regulationsissued pursuant to this section. Nothing in this paragraph shall preclude localauthorities with enforcement jurisdiction of the applicable sanitation, health,fire safety or building construction code from making appropriate inspections toassure compliance with such standards.(b) Notwithstanding any other provision of law, but pursuant to section fivehundred eighty-one-b of the real property tax law, no assessing unit, asdefined in subdivision one of section one hundred two of the real property tax

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law, in the assessment of the value of any parcel used for residential purposes and registered as a family day care home pursuant to this section, shall consider the use or registration of such parcel as a family day care home.

13. Notwithstanding any other provision of law, this section, except forparagraph (a-1) of subdivision two-a of this section, shall not apply to childday care centers in the city of New York.

§ 390-a. Standards and training for child day care.

1. All office of children and family services and municipal staff employed toaccept registrations, issue licenses or conduct inspections of child day carehomes, programs or facilities, subject to the amounts appropriated therefor,shall receive training in at least the following: regulations promulgated by theoffice of children and family services pursuant to section three hundred ninetyof this title; child abuse prevention and identification; safety and securityprocedures in child day care settings; the principles of childhooddevelopment, and the laws, regulations and procedures governing theprotection of children from abuse or maltreatment.

2. No license or registration shall be issued to a family day care home, groupfamily day care home, school age child care program or child day care centerand no such registration or license shall be renewed until it can bedemonstrated by the employer or licensing agency that there is a proceduredeveloped and implemented, in accordance with section three hundredninety-b of this title and pursuant to regulations of the office of children andfamily services, to:

(a) review and evaluate the backgrounds of and information supplied byany person applying to be a child day care center or school-age childcare program employee or volunteer or group family day care assistant, aprovider of family day care or group family day care, or a director of achild day care center, head start day care center or school-age childcare program. Such procedures shall include but not be limited to thefollowing requirements: that the applicant set forth his or heremployment history, provide personal and employment references;submit such information as is required for screening with the statewidecentral register of child abuse and maltreatment in accordance withthe provisions of section four hundred twenty-four-a of this article; sign asworn statement indicating whether, to the best of his or her knowledge,he or she has ever been convicted of a crime in this state or any otherjurisdiction; and provide his or her fingerprints for submission to thedivision of criminal justice services in accordance with the provisions ofsection three hundred ninety-b of this title;

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(b) Establish relevant minimal experiential and educational qualifications for employees and directors of child day care centers or head start day care center programs; (c) Assure adequate and appropriate supervision of employees and volunteers of group family day care homes, family day care homes, child day care centers and school-age child care programs; and (d) Demonstrate, in the case of child day care centers, group family day care homes, family day care homes and school-age child care programs the existence of specific procedures which will assure the safety of a child who is reported to the state central register of child abuse and maltreatment as well as other children provided care by such homes, centers or programs, immediately upon notification that a report has been made with respect to a child named in such report while the child was in attendance at such homes, centers or programs. (e) Establish necessary rules to provide for uniform visitor control procedures, including visitor identification.

3. (a) The office of children and family services shall promulgate regulations requiring operators, program directors, employees and assistants of family day care homes, group family day care homes, school-age child care programs and child day care centers to receive thirty hours of training every two years; provided, however, that fifteen hours of such training must be received within the first six months of the initial licensure, registration or employment. Such training requirements shall also apply to any volunteer in such day care homes, programs or centers who has the potential for regular and substantial contact with children. The thirty hours of training required during the first biennial cycle after initial licensure or registration shall include training received while an application for licensure or registration pursuant to section three hundred ninety of this title is pending. The office of children and family services may provide this training through purchase of services. (b) The training required in paragraph (a) of this subdivision shall address the following topics:

(i) Principles of childhood development, focusing on the developmental stages of the age groups for which the program provides care; (ii) Nutrition and health needs of infants and children; (iii) Child day care program development; (iv) Safety and security procedures; (v) Business record maintenance and management; (vi) Child abuse and maltreatment identification and prevention; (vii) Statutes and regulations pertaining to child day care; (viii) Statutes and regulations pertaining to child abuse and maltreatment; and (ix) For operators, program directors, employees and assistants of family day care homes, group family day care homes and child day care

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centers, education and information on the identification, diagnosis and prevention of shaken baby syndrome.

(c) For the thirty hours of biennial training required after the initial period oflicensure or registration, each provider who can demonstrate basiccompetency shall determine in which of the specified topics he or she needsfurther study, based on the provider's experience and the needs of the childrenin the provider's care.(d) Family day care home and group family day care home operators shallobtain training pertaining to protection of the health and safety of children, asrequired by regulation, prior to the issuance of a license or registration by theoffice of children and family services.(e) Upon request by the office of children and family services, the child daycare applicant or provider shall submit documentation demonstratingcompliance with the training requirements of this section.

4. No license or registration shall be issued to a family day care home orgroup family day care home and no such registration shall be renewed ifbarriers, as defined in paragraph (d) of subdivision one of section three hundredninety-d of this title, are not present around any swimming pool or body of water,as defined in paragraphs (b) and (c) of subdivision one of section three hundredninety-d of this title, located on its grounds, pursuant to section threehundred ninety-d of this title.

* 5.a. The site provider of a family day care home or group family day care homeshall provide that at least one employee who holds a valid certification in acourse of study in first aid knowledge and skills and cardiopulmonaryresuscitation, with an emphasis on providing that aid to children, as approvedby the commissioner of the office of children and family services, be on premisesduring the operating hours of such family day care home or group family daycare home.b. The site supervisor of a school-age child care program shall provide thatat least one employee who holds a valid certification in a course of study infirst aid knowledge and skills and cardiopulmonary resuscitation, with anemphasis on providing that aid to children, as approved by the commissionerof the office of children and family services, be on premises during theoperating hours of such school-age child care program.c. The director of a child day care center shall provide that at least oneemployee who holds a valid certification in a course of study in first aidknowledge and skills and cardiopulmonary resuscitation, with an emphasis onproviding that aid to children, as approved by the commissioner of the officeof children and family services, be on premises during the operating hours ofsuch child day care center.* NB Effective December 11, 2010

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§ 390-b. Criminal history review of child care providers, generally.

1.(a) Notwithstanding any other provision of law to the contrary, and subject to rules and regulations of the division of criminal justice services, the office of children and family services shall perform a criminal history record check with the division of criminal justice services regarding any operator, employee or volunteer of a child day care center or school age child care provider, as defined in paragraphs (c) and (f) of subdivision one of section three hundred ninety of this title. Child day care center operators, school age child care operators and any employees or volunteers, who previously did not have a criminal history record check performed in accordance with this subdivision shall have such a criminal history record check performed when the child day care center or school age child care provider applies for license or registration renewal. Child day care centers which are not subject to the provisions of section three hundred ninety of this title, shall not be subject to the provisions of this section. The provisions of this section shall apply to a volunteer only where the volunteer has the potential for regular and substantial contact with children enrolled in the program. (b) Notwithstanding any other provision of law to the contrary, and subject torules and regulations of the division of criminal justice services, the office ofchildren and family services shall perform a criminal history record checkwith the division of criminal justice services regarding the operator, anyassistants, employees or volunteers of a group family day care home or familyday care home, as defined in paragraphs (d) and (e) of subdivision one ofsection three hundred ninety of this title, and any person age eighteen or overresiding on the premises of the group family day care home or family day carehome which is to be licensed or registered in accordance with section threehundred ninety of this title. Group family day care home operators, family daycare home operators, any assistants, employees or volunteers, and personswho are age eighteen or over residing on the premises of a licensed groupfamily day care home or registered family day care home who previously did nothave a criminal history record check performed in accordance with thissubdivision shall have such a criminal history record check performed whenthe group family day care home or family day care home applies for renewal ofthe home's license or registration. The provisions of this section shall apply toa volunteer only where the volunteer has the potential for regular andsubstantial contact with children enrolled in the program.

2. (a) As part of the provider's application for, or renewal of, a child day carecenter or school age child care license or registration, the provider shallfurnish the office of children and family services with fingerprint cards of anyoperator of a child day care center or school age child care program, andany employee or volunteer, who previously did not have a criminal historyrecord check performed in accordance with this section, together with such

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other information as is required by the office of children and family services and the division of criminal justice services. (b) Every child day care center or school age child care provider shall obtain a set of fingerprints for each prospective employee or volunteer and such other information as is required by the office of children and family services and the division of criminal justice services. The child day care center or school age child care program shall furnish to the applicant blank fingerprint cards and a description of how the completed fingerprint cards will be used. The child day care center or school age child care program shall promptly transmit such fingerprint cards to the office of children and family services. (c) As part of the provider's application for, or renewal of, a group family day care home license or family day care home registration, the provider shall furnish the office of children and family services with fingerprint cards of any operator of a group family day care home or family day care home, and any assistant, employee or volunteer, and any person age eighteen or over residing on the premises of the group family day care home or family day care home, who previously did not have a criminal history record check performed in accordance with this section, together with such other information as is required by the office of children and family services and the division of criminal justice services. (d) Every group family day care home or family day care home provider shall obtain a set of fingerprints for each prospective assistant, employee, volunteer and any person age eighteen or over who will be residing on the premises of the group family day care home or family day care home, and such other information as is required by the office of children and family services and the division of criminal justice services. The group family day care home or family day care home provider shall furnish to the applicant blank fingerprint cards and a description of how the completed fingerprint cards will be used. The group family day care home or family day care home provider shall promptly transmit such fingerprint cards to the office of children and family services. (e) The office of children and family services shall pay the processing fee imposed pursuant to subdivision eight-a of section eight hundred thirty-seven of the executive law. The office of children and family services shall promptly submit the fingerprint cards and the processing fee to the division of criminal justice services for its full search and retain processing. (f) A licensed or registered child day care center, school-age child care program, group family day care home or family day care home may temporarily approve an applicant to be an employee, assistant or volunteer for such provider while the results of the criminal history record check are pending, but shall not allow such person to have unsupervised contact with children during such time. 3. Notwithstanding any other provision of law to the contrary, after reviewing any criminal history record information provided by the division of criminal justice services, of an individual who is subject to a criminal history record

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check pursuant to this section, the office of children and family services and the provider shall take the following actions: (a)

(i) Where the criminal history record of an applicant to be an operator ofa child day care center, school age child care program, group familyday care home, family day care home, or any person over the age ofeighteen residing in such a home, reveals a felony conviction at any timefor a sex offense, crime against a child, or a crime involving violence, ora felony conviction within the past five years for a drug-related offense,the office of children and family services shall deny the applicationunless the office determines, in its discretion, that approval of theapplication will not in any way jeopardize the health, safety orwelfare of the children in the center, program or home; or(ii) Where the criminal history record of an applicant to be an operatorof a child day care center, school age child care program, group familyday care home, family day care home, or any person over the age ofeighteen residing in such a home, reveals a conviction for a crimeother than one set forth in subparagraph (i) of this paragraph, the officeof children and family services may deny the application, consistentwith article twenty-three-A of the correction law; or(iii) Where the criminal history record of an applicant to be an operatorof a child day care center, school age child care program, groupfamily day care home, family day care home, or any other person overthe age of eighteen residing in such a home, reveals a charge for anycrime, the office of children and family services shall hold theapplication in abeyance until the charge is finally resolved.

(b) (i) Where the criminal history record of a current operator of a child daycare center, school age child care program, group family day care home,family day care home, or any other person over the age of eighteenresiding in such a home, reveals a conviction for a crime set forth insubparagraph (i) of paragraph (a) of this subdivision, the office ofchildren and family services shall conduct a safety assessment of theprogram and take all appropriate steps to protect the health and safety ofthe children in the program. The office of children and family servicesshall deny, limit, suspend, revoke, reject or terminate a license orregistration based on such a conviction, unless the office determines, inits discretion, that continued operation of the center, program or homewill not in any way jeopardize the health, safety or welfare of the childrenin the center, program or home;(ii) Where the criminal history record of a current operator of a childday care center, school age child care program, group family day carehome, family day care home, or any other person over the age ofeighteen residing in such a home, reveals a conviction for a crime otherthan one set forth in subparagraph (i) of paragraph (a) of thissubdivision, the office of children and family services shall conduct a

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safety assessment of the program and take all appropriate steps to protect the health and safety of the children in the program. The office may deny, limit, suspend, revoke, reject or terminate a license or registration based on such a conviction, consistent with article twenty-three-A of the correction law; (iii) Where the criminal history record of a current operator of a childday care center, school age child care program, group family day carehome, family day care home, or any other person over the age ofeighteen residing in such a home, reveals a charge for any crime, theoffice of children and family services shall conduct a safety assessment ofthe program and take all appropriate steps to protect the health andsafety of the children in the program. The office may suspend a license orregistration based on such a charge where necessary to protect the healthand safety of the children in the program.

(c) (i) Where the criminal history record of an applicant to be an employeeor volunteer at a child day care center or school age child careprogram reveals a conviction for a crime set forth in subparagraph (i) ofparagraph (a) of this subdivision, the office of children and familyservices shall direct the provider to deny the application unless the officedetermines, in its discretion, that approval of the application will not inany way jeopardize the health, safety or welfare of the children in thecenter or program;(ii) Where the criminal history record of an applicant to be anemployee or volunteer at a child day care center or school age childcare program reveals a conviction for a crime other than one set forth insubparagraph (i) of paragraph (a) of this subdivision, the office of childrenand family services may, consistent with article twenty-three-A of thecorrection law, direct the provider to deny the application;(iii) Where the criminal history record of an applicant to be anemployee or volunteer at a child day care center or school age childcare program reveals a charge for any crime, the office of children andfamily services shall hold the application in abeyance until the charge isfinally resolved.

(d) (i) Where the criminal history record of a current employee or volunteerat a child day care center or school age child care program reveals aconviction for a crime set forth in subparagraph (i) of paragraph (a) ofthis subdivision, the office of children and family services shallconduct a safety assessment of the program and take all appropriatesteps to protect the health and safety of the children in the program.The office shall direct the provider to terminate the employee orvolunteer based on such a conviction, unless the office determines, inits discretion, that the continued presence of the employee orvolunteer in the center or program will not in any way jeopardize thehealth, safety or welfare of the children in the center or program;

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(ii) Where the criminal history record of a current employee or volunteer at a child day care center or school age child care program reveals a conviction for a crime other than one set forth in subparagraph (i) of paragraph (a) of this subdivision, the office of children and family services shall conduct a safety assessment of the program and take all appropriate steps to protect the health and safety of the children in the program. The office may direct the provider to terminate the employee or volunteer based on such a conviction, consistent with article twenty-three-A of the correction law; (iii) Where the criminal history record of a current employee or volunteer at a child day care center or school age child care program reveals a charge for any crime, the office of children and family services shall conduct a safety assessment of the program and take all appropriate steps to protect the health and safety of the children in the program.

(e) (i) Where the criminal history record of an applicant to be an employee, assistant or volunteer at a group family day care home or family day care home reveals a conviction for a crime set forth in subparagraph (i) of paragraph (a) of this subdivision, the office of children and family services shall direct the provider to deny the application unless the office determines, in its discretion, that approval of the application will not in any way jeopardize the health, safety or welfare of the children in the home; (ii) Where the criminal history record of an applicant to be an employee, assistant or volunteer at a group family day care home or family day care home reveals a conviction for a crime other than one set forth in subparagraph (i) of paragraph (a) of this subdivision, the office of children and family services may, consistent with article twenty-three-A of the correction law, direct the provider to deny the application; (iii) Where the criminal history record of an applicant to be an employee, assistant or volunteer at a group family day care home or family day care home reveals a charge for any crime, the office of children and family services shall hold the application in abeyance until the charge is finally resolved.

(f) (i) Where the criminal history record of a current employee, assistant or volunteer at a group family day care home or family day care home reveals a conviction for a crime set forth in subparagraph (i) of paragraph (a) of this subdivision, the office of children and family services shall conduct a safety assessment of the program and take all appropriate steps to protect the health and safety of the children in the home. The office of children and family services shall direct the provider to terminate the employee, assistant or volunteer based on such a conviction, unless the office determines, in its discretion, that the continued presence of the employee, assistant or volunteer in the home

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will not in any way jeopardize the health, safety or welfare of the children in the home; (ii) Where the criminal history record of a current employee, assistant or volunteer at a group family day care home or family day care home reveals a conviction for a crime other than one set forth in subparagraph (i) of paragraph (a) of this subdivision, the office of children and family services shall conduct a safety assessment of the home and take all appropriate steps to protect the health and safety of the children in the home. The office may direct the provider to terminate the employee, assistant or volunteer based on such a conviction, consistent with article twenty-three-A of the correction law; (iii) Where the criminal history record of a current employee, assistant or volunteer at a group family day care home or family day care home reveals a charge for any crime, the office of children and family services shall conduct a safety assessment of the home and take all appropriate steps to protect the health and safety of the children in the home.

(g) Advise the provider that the individual has no criminal history record. 4. Prior to making a determination to deny an application pursuant to subdivision three of this section, the office of children and family services shall afford the applicant an opportunity to explain, in writing, why the application should not be denied. 5. Notwithstanding any other provision of law to the contrary, the office of children and family services, upon receipt of a criminal history record from the division of criminal justice services, may request, and is entitled to receive, information pertaining to any crime contained in such criminal history record from any state or local law enforcement agency, district attorney, parole officer, probation officer or court for the purposes of determining whether any ground relating to such criminal conviction or pending criminal charge exists for denying a license, registration, application or employment. 6. The notification by the office of children and family services to the child day care provider pursuant to this section shall include a summary of the criminal history record, if any, provided by the division of criminal justice services. 7. Where the office of children and family services directs a child day care provider to deny an application based on the criminal history record, the provider must notify the applicant that such record is the basis of the denial. 8. Any safety assessment required pursuant to this section shall include a review of the duties of the individual, the extent to which such individual may have contact with children in the program or household and the status and nature of the criminal charge or conviction. Where the office of children and family services performs the safety assessment, it shall thereafter take all

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appropriate steps to protect the health and safety of children receiving care in the child day care center, school age child care program, family day care home or group family day care home. 9. Any criminal history record provided by the division of criminal justice services, and any summary of the criminal history record provided by the office of children and family services to a child day care provider pursuant to this section, is confidential and shall not be available for public inspection; provided, however, nothing herein shall prevent a child day care provider or the office of children and family services from disclosing criminal history information at any administrative or judicial proceeding relating to the denial or revocation of an application, employment, license or registration. The subject of a criminal history review conducted pursuant to this section shall be entitled to receive, upon written request, a copy of the summary of the criminal history record provided by the office of children and family services to the child day care provider. Unauthorized disclosure of such records or reports shall subject the provider to civil penalties in accordance with the provisions of subdivision eleven of section three hundred ninety of this title. 10. A child day care provider shall advise the office of children and family services when an individual who is subject to criminal history record review in accordance with subdivision one or two of this section is no longer subject to such review. The office of children and family services shall inform the division of criminal justice services when an individual who is subject to criminal history review is no longer subject to such review so that the division of criminal justice services may terminate its retain processing with regard to such person. At least once a year, the office of children and family services will be required to conduct a validation of the records maintained by the division of criminal justice services. * § 390-c. Notice of pesticide applications. 1. For the purposes of this section the following terms shall have the meanings set forth below: (a) "Pesticide" shall have the same meaning as in subdivision thirty-five of section 33-0101 of the environmental conservation law. (b) "Daycare facility" shall mean licensed and registered child daycare homes, programs and facilities. 2. Each daycare facility shall be subject to the following notice requirements when pesticides are used at such facility: (a) A notice of each pesticide application shall be posted in a common area of the facility which is conspicuously visible to persons dropping off or picking up

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children from the facility. Such notice shall be posted not less than forty-eight hours prior to the pesticide application. (b) The notice required to be posted pursuant to paragraph (a) of this subdivision shall include at a minimum:

(i) The location and specific date of the application at the daycare facility. In case of outdoor applications the notice must provide a specific date, and may include two alternative dates in case the application cannot be made due to weather conditions. (ii) The product name and pesticide registration number assigned by the United States Environmental Protection Agency. (iii) The following statement "This notice is to inform you of a pending pesticide application at this facility. You may wish to discuss with a representative of the daycare facility what precautions are being taken to protect your child from exposure to these pesticides. Further information about the product or products being applied, including any warnings that appear on the label of the pesticide or pesticides that are pertinent to the protection of humans, animals or the environment, can be obtained by calling the National Pesticide Telecommunications Network Information at 1-800-858-7378 or the New York State Department of Health Center for Environmental Health Info line at 1-800-458-1158". (iv) The name of a representative of the daycare facility and contact number for additional information.

(c) For purposes of this section the following pesticide applications shall not be subject to the notification posting requirements:

(i) The application of anti microbial pesticides and anti microbial products as defined by FIFRA in 7 U.S.C. §136 (mm) and 136q (h) (2); (ii) The use of an aerosol product with a directed spray, in containers of eighteen fluid ounces, or less, when used to protect individuals from an imminent threat from stinging and biting insects including venomous spiders, bees, wasps and hornets. This section shall not exempt from notification the use of any fogger product or aerosol product that discharges to a wide area; (iii) Any application where the daycare facility remains unoccupied for a continuous seventy-two hour period following the application of the pesticide; (iv) Non volatile rodenticides in tamper resistant bait stations or in areas inaccessible to children; (v) Silica gels and other nonvolatile ready-to-use, paste, foam or gel formulations of insecticides in areas inaccessible to children; (vi) Non volatile insecticidal baits in tamper resistant bait stations or in areas inaccessible to children; (vii) application of a pesticide classified by the United States Environmental Protection Agency as an exempt material under section 40 CFR Part 152.25; (viii) Boric acid and disodium octaborate tetrahydrate;

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(ix) The application of a pesticide which the United States Environmental Protection Agency has determined satisfies its reduced risk criteria, including a biopesticide; or (x) any emergency application of a pesticide when necessary to protect against an imminent threat to human health, provided however, that prior to any such emergency application, the person making such application shall make a good faith effort to supply the written notice required pursuant to this section. Upon making such an emergency application, the person making such application shall notify the commissioner of health, using a form developed by such commissioner for such purposes that shall include minimally the name of the person making the application, the pesticide business registration number or certified applicator number of the person making such application, the location and date of such application, the product name and USEPA registration number of the pesticide applied and the reason for such application. The commissioner of health shall review such form to ensure that the circumstance did warrant such emergency application. Such forms shall be kept on file at the department of health for three years from the date of application and shall be available to any individual upon request.

3. Any person, other than a daycare facility, who contracts for the application of a pesticide at a daycare facility shall provide to such facility operator information required to be contained in the posting pursuant to subdivision two of this section at least forty-eight hours prior to such application. 4. (a) Any daycare facility that violates the provisions of subdivision two of this section shall, for a first such violation of this section, in lieu of penalty, be issued a written warning and shall also be issued educational materials pursuant to subdivision two of section 33-1005 of the environmental conservation law. Such facility shall, however, for a second violation, be liable to the people of the state for a civil penalty not to exceed one hundred dollars, and not to exceed two hundred fifty dollars for any subsequent violation, such penalties to be assessed by the commissioner after a hearing or opportunity to be heard. (b) Any person who violates subdivision three of this section shall, for a first such violation of this section, in lieu of penalty, be issued a written warning, and shall also be issued educational materials pursuant to subdivision two of section 33-1005 of the environmental conservation law. Such person shall, however, for a second violation, be liable to the people of the state for a civil penalty not to exceed one hundred dollars, and not to exceed two hundred fifty dollars for any subsequent violation, such penalties to be assessed by the commissioner of environmental conservation after a hearing or opportunity to be heard. * NB There are 2 § 390-c's

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* §390-c. Additional powers and duties of the office of children and familyservices.

1. The commissioner of children and family services is authorized and directedto promulgate necessary rules and regulations to ensure that, whenever achild day care provider is licensed or registered pursuant to section threehundred ninety of this article, the police department and fire department of themunicipality wherein such licensee or registrant is authorized to operate andthe state police shall be notified of the existence of the child day care center,its location and the fact that children are likely to be at that location in the eventof an emergency. In those cases where the local municipality does not have apolice department or a fire department, the sheriff of the appropriate county shallbe notified in lieu thereof.

2. The commissioner of children and family services is authorized and directedto conduct a study to determine the best method of compiling an accurate andaccessible central record of information regarding the safe operation of each daycare center licensed or registered within the state. Such record should includebut not be limited to complaints by parents or guardians, internal incidentreports, reports by police or fire departments, local or state building codeviolations, any relevant information gathered from utility providers or othervisitors to the day care center and any additional information held by anotherstate or local agency regarding a day care provider or a day care center locationwhich could affect safe operation of a day care center.

3. On or before the thirtieth day of June in the year next succeeding the year inwhich this section takes effect, the commissioner of children and familyservices shall report to the governor, the temporary president of the senateand the speaker of the assembly regarding the results of the study undertakenpursuant to subdivision two of this section.* NB There are 2 § 390-c's

§ 390-d. Requiring barriers to be placed around swimming pools andbodies of water on the grounds of family day care homes or group familyday care homes.

1. For the purposes of this section the following terms shall have the meaningsset forth below:

(a) "Grounds of a family day care home or group family day care home"shall mean in, on or within any building, structure or land containedwithin the real property boundary line of a family day care home or agroup family day care home.(b) "Swimming pool" shall mean any outdoor pool or tub intended forswimming, bathing or wading purposes.

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(c) "Bodies of water" shall include, but not limited to, ponds, springs, streams, creeks, lakes, rivers and oceans. (d) "Barriers" shall mean all fences, enclosures or other materials sufficient to form an obstruction to the free passage of persons through such materials.

2.

(a) Any swimming pool or body of water located on the grounds of a family day care home or group family day care home shall be surrounded by a barrier sufficient to form an obstruction to the free passage of children through such barrier into such swimming pool or body of water. Such barrier shall be adequate to make such swimming pool or body of water inaccessible to children which, including gates thereto, shall be at least four feet high from the adjacent ground. All such gates shall include a locked barrier which shall be located at least four feet high above the adjacent ground or otherwise made inaccessible to children from the outside. (b) Where a body of water is present and not wholly contained within the grounds of family day care home or group family day care home, the grounds of such home must be surrounded and enclosed by a barrier sufficient to make such body of water inaccessible to children. (c) All pathways, walkways, decks or any other connecting entrance to such swimming pool or body of water shall be obstructed by a barrier sufficient to impede the free passage of children into or around the area immediately adjacent to such swimming pool or body of water. (d) Swimming pools or bodies of water that are entirely covered by a solid object which is secured by sufficient weight, locking apparatus, and/or other device that would prevent a child in care from removing the solid object and accessing the swimming pool or body of water, shall be considered a sufficient barrier for the purposes of this section. (e) As an alternative to surrounding the pool or other body of water located on the grounds of a family day care home or group family day care home with a barrier as described in paragraph (a) of this subdivision, the day care provider may use the property for day care if the provider bars access to such pool or other body of water by surrounding a part of the grounds not including such pool or other body of water with a barrier as described in paragraph (a) of this subdivision provided that:

(i) There is no unsecured means of egress from the home by which children could gain access to the pool or other body of water. For purposes of this paragraph, the day care provider may secure a door or other means of egress that is remotely located from the pool or other body of water by use of an alarm device or system that will alert the day care provider if the door or other means of egress is opened;

29

(ii) All children in care are directly and closely supervised by the provider or an assistant at all times the children are outside the home or other dwelling where the day care is provided; and (iii) The parents or guardians of each child in care have submitted to the provider a written acknowledgment that the pool or other body of water exists, that a barrier as otherwise required by this section has not been provided, and that the children will have the potential for access to the pool or other body of water.

(f) Where a natural barrier or other obstacle located on the property lies between the pool or body of water and the building in which the family or group family day care is provided such that the natural barrier or other obstacle prevents access by children in care to the pool or body of water, a fence or additional barrier as otherwise required by this section shall not be required and the day care provider may use the property for day care provided that:

(i) There is no unsecured means of egress from the home by which children could gain access to the pool or other body of water. For purposes of this paragraph, the day care provider may secure a door or other means of egress that is remotely located from the pool or other body of water by use of an alarm device or system that will alert the day care provider if the door or other means of egress is opened; (ii) All children in care are directly and closely supervised by the provider or an assistant at all times the children are outside the home or other dwelling where the day care is provided; and (iii) The parents or guardians of each child in care have submitted to the provider a written acknowledgment that the pool or other body of water exists, that a barrier as otherwise required by this section has not been provided, and that the children will have the potential for access to the body of water. In determining what constitutes a natural barrier or other obstacle for purposes of this paragraph, the presence of natural and artificial terrain features or constructs may be considered along with the distance between the building in which the family or group family day care is provided and the pool or body of water.

3. Where a swimming pool or body of water is located on a property adjacent to a family or group family day home, the child day care provider must take suitable precautions to prevent the children in care from having access to the adjacent swimming pool or body of water, including taking any precautions specifically required by the office of children and family services to protect the safety of children receiving day care. 4. Nothing in this section shall preclude local authorities with enforcement jurisdiction of the applicable sanitation, health, fire safety or building

30

construction code from making appropriate inspections to assure compliance with such standards. § 390-e. Criminal history review; mentoring programs. 1. For the purposes of this section, the following words shall have the following meanings: (a) "Prospective employee" shall mean a person being considered for employment by a mentoring program. (b) "Prospective mentor" shall mean an individual who is currently applying to volunteer to help a child or a group of children in a mentoring program for a period of time. Such help shall include, but not be limited to, being a positive role model for youth, building relationships with youth, and providing youth with academic assistance and exposure to new experiences and examples of opportunity that enhance the ability of children to become responsible adults. (c) "Mentoring program" shall mean a formalized program, operated by a corporation which has been incorporated pursuant to subparagraph five of paragraph (a) of section one hundred two of the not-for-profit corporation law or pursuant to subparagraph four of paragraph (a) of section one hundred two of the business corporation law, or operated by an educational institution or school district, that matches youth with adult volunteers with the purpose of providing such youth with positive role models to enhance their development. (d) "Office" shall mean the office of children and family services. 2. Mentoring programs may perform a criminal history record check on all prospective employees and mentors. 3. Notwithstanding any other provision of law to the contrary, subject to the rules and regulations of the division of criminal justice services, mentoring programs may apply for a criminal history record check with the division of criminal justice services regarding any prospective employee or any prospective mentor who may engage in unsupervised activities with youth or in activities with youth in a setting without constant agency or parental oversight. Each mentoring program that chooses to complete such criminal background checks on prospective employees or on prospective mentors shall establish a policy for completing criminal background checks on such prospective employees or mentors. Such policy shall apply one uniform standard for the completion of criminal background checks for all prospective employees and one uniform standard for the completion of criminal background checks for all prospective mentors. Any mentoring program that chooses to complete criminal background checks on both prospective employees and prospective mentors may utilize the same uniform process for the completion of the criminal background checks on prospective employees and prospective mentors or they may choose one uniform

31

process for prospective employees and another uniform process for prospective mentors.

4. Every mentoring program that chooses to apply for a criminal historybackground check with the division of criminal justice services shall obtain a setof fingerprints from each individual for whom a criminal background check isto be completed and such other information as is required by the office and thedivision of criminal justice services. For each prospective employee ormentor for whom the mentoring program completes a criminal backgroundcheck, the mentoring program shall provide the applicant with blank fingerprintcards and a description of how the completed fingerprint card will be usedupon submission to the mentoring program. The mentoring program shallpromptly transmit such fingerprint card and the processing fee to the office. Theoffice shall promptly submit the fingerprint card and the processing fee, imposedpursuant to subdivision eight-a, of section eight hundred thirty-seven of theexecutive law, to the division of criminal justice services for its full search andretain processing.

5. Upon receipt of a criminal history record from the division of criminal justiceservices, the office shall promptly provide to the mentoring program thecriminal history record, if any, with respect to the prospective employee ormentor, or a statement that the individual has no criminal history record.

6. Upon receipt of the results of a criminal background check pursuant to thissection, the mentoring program shall determine whether or not the prospectiveemployee or mentor shall be offered employment or the opportunity tovolunteer with the program. Such determination shall be made in accordancewith the criteria established in section seven hundred fifty-two of the correctionlaw.

7. Upon the request of any person previously convicted of one or more criminaloffenses who has been denied employment pursuant to subdivision six of thissection, the mentoring program shall provide, within thirty days of such request,a written statement setting forth the reasons for such denial. Any such persondenied employment pursuant to subdivision six of this section shall be affordedthe opportunities for enforcement available pursuant to section seven hundredfifty-five of the correction law.

8. Notwithstanding the provisions of this section, with the exception of a sexoffense or a crime against a child, a custodial parent or guardian may sign awaiver authorizing a mentor to work with his or her child regardless of a criminalcharge or crime related to a mentor. Such process shall only be initiated upon theconsent of the prospective mentor, and be on a form and of a content to bedeveloped by the office. Where applicable, a mentoring program may notify acustodial parent or guardian of his or her waiver right, but a waiver shallonly be authorized by a custodial parent or guardian.

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9. Any criminal history record provided to a mentoring program pursuantto this section shall be confidential pursuant to the applicable federal andstate laws, rules and regulations, and shall not be published or in any waydisclosed to persons other than authorized personnel, unless otherwiseauthorized by law.

10. Every mentoring program shall provide each custodial parent or guardianof every child participating in its mentoring program with a description of thekind of criminal background checks conducted by the mentoring program onits prospective employees and mentors. Such description shall includeidentification of the source utilized to obtain criminal background historieson prospective employees and mentors, a list of crimes that would lead theprogram to deny employment or the opportunity to volunteer as a prospectiveemployee or mentor, and any other process utilized to determine whether ornot a prospective employee or mentor with a conviction record shall be offeredemployment or the opportunity to volunteer. Such description shall clearlystate whether or not prospective employees or mentors may be hired or offeredthe opportunity to volunteer despite the existence of a conviction history.

§ 390-f. Report on child care insurance.The commissioner of the office of children and family services inconsultation with the superintendent of insurance, shall undertake astudy of the availability, accessibility, and affordability of insurance policies tochild care providers. The study shall include, but not be limited to, a review ofhomeowner insurance policies and health insurance policies. The study shallbe completed and a report submitted no later than January first, two thousandnine, to the governor, the commissioner of the office of children and familyservices, the temporary president of the senate and the speaker of theassembly.

* § 390-g.Pesticide alternatives.

1. For purposes of this section the following terms shall have the meanings setforth below:(a) "Day care" shall apply to all child day care centers or head start day carecenters, as defined in section three hundred ninety of this title.(b) "Pesticide" shall have the same meaning as set forth in subdivisionthirty-five of section 33-0101 of the environmental conservation law,provided however that it shall not include:

(i) The application of anti-microbial pesticides and anti-microbial productsas defined by FIFRA in 7 U.S.C. Section 136(mm) and 136 q(h)(2);(ii) The use of an aerosol product with a directed spray, incontainers of eighteen fluid ounces or less, when used to protect

33

individuals from an imminent threat from stinging and biting insects, including venomous spiders, bees, wasps and hornets; (iii) The use of non-volatile insect or rodent bait in a tamper resistant container; (iv)The application of a pesticide classified by the United States Environmental Protection Agency as an exempt material under 40 CFR Part 152.25; (v) The use of boric acid and disodium octaborate tetrahydrate; or (vi) the use of horticultural soap and oils that do not contain synthetic pesticides or synergists.

2. No day care shall apply pesticide to any playgrounds, turf, athletic or playing fields, except that an emergency application of a pesticide may be made as determined by the county health department or for a county not having a health department such authority as the county legislature shall designate, the commissioner of health or his or her designee, the commissioner of environmental conservation or his or her designee, or, in the case of a public school, the school board. * NB Effective November 14, 2010 Effective Date: 11/14/2010 § 390-h. Notice requirement before closing certain day care centers. 1. For the purposes of this section, the following terms shall have the following meanings: (a) "Child day care center" shall mean a child day care center as defined in paragraph (c) of subdivision one of section three hundred ninety of this title. (b) "Person legally responsible" shall mean a person legally responsible as defined in subdivision (g) of section one thousand twelve of the family court act. 2. (a) Notwithstanding any other provision of law to the contrary, in a city having a population of one million or more, if the social services district seeks to close a child day care center under contract with such district, it shall provide at least six months written notice to the child day care center and the parents or persons legally responsible for children enrolled in such centers, prior to the closing. (b) Paragraph (a) of this subdivision shall not apply in cases where a local social services district seeks to close a child day care center for violating the regulations of the office of children and family services, or for health and safety reasons. (c) Paragraph (a) of this subdivision shall not apply in cases where a local social services district seeks to close a child day care center on an expedited basis for

34

reasons of public safety, criminal behavior by the center, breach of contract with the local social services district, suspension or revocation of the center's license for non-economic reasons. § 391. Violation; injunction. Violations of any provision of this title may be prohibited by injunction. Whenever the commissioner has reason to believe that any provision of this title is being violated, or is about to be violated, he may maintain and prosecute, in the name of the people of this state, an action in the supreme court for the purpose of obtaining an injunction restraining such violation. Notwithstanding any limitation of the civil practice law and rules, such court may, on motion and affidavit, and upon proof that such violation is one which reasonably may result in injury to any person, whether or not such person is a party to such action, grant a preliminary injunction or interlocutory injunction upon such terms as may be just. No security on the part of the people of this state shall be required.

New York Code, Rules and Regulations, Title 18, Part 415

Child Care Services (Excerpt)

18 NYCRR 415 Regulations (Excerpt) - 1 - Revised August 2018

COMPILATION OF CODES, RULES AND REGULATIONS OF THE STATE OF NEW YORK* TITLE 18. DEPARTMENT OF SOCIAL SERVICES

CHAPTER II. REGULATIONS OF THE DEPARTMENT OF SOCIAL SERVICES SUBCHAPTER C. SOCIAL SERVICES

ARTICLE 2. FAMILY AND CHILDREN'S SERVICES PART 415. CHILD CARE SERVICES

Contents

415.1 Definitions ........................................................................................................................ 2

415.4 Local district responsibility ............................................................................................... 5

415.9 Rates ............................................................................................................................... 21

415.12 Eligible provider responsibilities. ................................................................................... 24

*This is an unofficial compilation of 18 NYCRR 415

415.1 415.1(g)(6)

18 NYCRR 415 Regulations (Excerpt) - 2 - Revised June 2018

Section 415.1. Definitions For purposes of this Part and instruction of the department pertaining thereto, the following definitions of terms shall apply:

(a) Child care services means care for an eligible child provided on a regular basis either in or away from the child's residence for less than 24 hours per day which is provided by an eligible provider as defined in subdivision (g) of this section. Child care services may exceed 24 consecutive hours when such services are provided on a short-term emergency basis or in other cases where the caretaker's approved activity necessitates care for 24 hours or more on a limited basis, if the district has indicated in its consolidated services plan or integrated county plan that it will provide for such care.

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(g) Eligible provider means one of the following:

(1) a validly licensed or properly registered day care center or a properly registered school- age child care program operated by a voluntary non-profit corporation or association or an authorized child caring agency; or

(2) a validly licensed or properly registered child day care center or a properly registered

school-age child care program operated by a private proprietary corporation or organization or by an individual; provided, however, that for child care services provided under Title XX of the Federal Social Security Act or provided as child protective services or preventive services that are funded other than under the New York State Child Care Block Grant Program, such a provider will be an eligible provider only with the prior approval of the commissioner of the Office of Children and Family Services upon the demonstration by the social services district that conveniently accessible non-profit facilities are unavailable or unable to provide the required care; or

(3) a public school district operating a child care program which meets State and Federal requirements; or

(4) a family day care home properly registered with the department to provide child care services to children; or

(5) a group family day care home issued a valid license by the department to provide child care services to children; or

(6) a caregiver of informal child care as defined in subdivision (h) of this section who is enrolled with the social services district in accordance with section 415.4(f) of this Part; provided, however, that such a caregiver is not an eligible provider for child care services provided under title XX of the Federal Social Security Act or provided as child protective services or preventive services that are funded other than under the New York State Child Care Block Grant Program; or

415.1(g)(7) 415.1(h)(2)(i)


(7) a caregiver of legally-exempt group child care as defined in subdivision (i) of this section which is enrolled with the social services district in accordance with section 415.4(f) of this Part; provided, however, that such a caregiver is not an eligible provider for child care services provided under title XX of the Federal Social Security Act or provided as child protective services or preventive services that are funded other than under the New York State Child Care Block Grant Program except as provided in paragraph (3) of this subdivision.

(h) Informal child care includes legally-exempt family child care and legally-exempt in- home child care. Members of the child's or the caretaker's public assistance unit, and other adult members of the child care service unit except the child's siblings, are not eligible to provide subsidized child care.

(1) Legally-exempt family child care means:

(i) child care for one or two children provided outside the child's own home in a

residence by a caregiver who is at least 18 years of age, or who is less than 18 years of age and meets the requirements for the employment of minors as set forth in article 4 of the New York State Labor Law, and who is chosen and whose services are monitored by the child's caretaker; or

(ii) child care for more than two children provided outside the child's own home in a residence by a caregiver who is at least 18 years of age, or who is less than 18 years of age and meets the requirements for the employment of minors as set forth in article 4 of the New York State Labor Law, who provides such care for less than three hours per day and who is chosen and whose services are monitored by the child's caretaker; or

(iii) child care provided by a relative within the third degree of consanguinity of the

parent(s) or step-parent(s) of the child or children except where such relative is a person legally responsible for, or the caretaker relative of, such child or children. Relatives within the third degree of consanguinity of the parent(s) or step-parent(s) of the child include: the grandparents of the child; the great-grandparents of the child; the great-great-grandparents of the child; the aunts and uncles of the child, including the spouses of the aunts and uncles; the great-aunts and great-uncles of the child, including the spouses of the great-aunts and great- uncles; the siblings of the child; and the first cousins of the child, including the spouses of the first cousins.

(2) Legally-exempt in-home child care means:

(i) child care furnished in the child's own home by a caregiver who is chosen and

monitored by the child's caretaker and who is at least 18 years of age, or who is less than 18 years of age and meets the requirements for the employment of minors as set forth in article 4 of the New York State Labor Law; provided, however, that the child's caretaker must provide the caregiver with all employment benefits required by State and/or Federal law, and must pay the caregiver at least the minimum wage, if required.

415.1(i) 415.1(s)


(i) Legally-exempt group child care means care provided by those caregivers, other than caregivers of informal child care as defined in subdivision (h) of this section, which are not required to be license by or registered with the department or licensed by the City of New York but which meet all applicable State or local requirements for such child care programs. Caregivers of legally-exempt group child care include, but are not limited to:

(1) pre-kindergarten and nursery school programs for children three years of age or older,

and programs for school-age children conducted during non-school hours, operated by public school districts or by private schools or academies which provide elementary or secondary education or both in accordance with the compulsory education requirements of the Education Law, provided that such pre-kindergarten, nursery school or school-age programs are located on the premises or campus where the elementary or secondary education is provided;

(2) nursery schools and programs for pre-school-aged children operated by non-profit

agencies or organizations or private proprietary agencies which provide services for three or less hours per day;

(3) summer day camps operated by non-profit agencies or organizations or private

proprietary agencies in accordance with Subpart 7-2 of the State Sanitary Code; (4) day care centers, family day care homes and other child care programs located on

Federal property which are operated in compliance with the applicable Federal laws and regulations for such child care programs; and

(5) day care centers, family day care homes and other child care programs located on tribal

property which are operated in compliance with the applicable tribal laws and regulations for such child care programs.

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(r) Office means the New York State Office of Children and Family Services. (s) Legally-exempt caregiver enrollment agency means the agency under contract with the office

to enroll caregivers of legally-exempt child care to provide subsidized services under the New York State Child Care Block Grant. For each district in New York State except for the City of New York, the legally-exempt caregiver enrollment agency will be the applicable child care resource and referral agency under contract with the office to serve that district. For the City of New York, the legally-exempt caregiver enrollment agency will be an entity or entities identified by the office in consultation with the New York City Human Resources Administration and the New York City Administration for Children's Services.

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415.4 415.4(c)(9)(iii)(c)


Section 415.4. Local district responsibility. Each local social services district shall be responsible for compliance with the following requirements:

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(c) Child care services requirements.

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(9) (i) The social services district shall allow, disallow, or defer a claim for

reimbursement, submitted by an eligible provider to the social services district, for the purpose of providing child care services pursuant to this Part within 30 days of receiving such claim.

(ii) The social services district may defer a claim for reimbursement only in the following circumstances:

(a) upon the recommendation of a federal, state, or local agency, when the

agency has informed the social services district that continued payments of such claims place the social service district at risk of making payments for services that were not provided in accordance with the applicable state regulations; or

(b) after an initial review of the claim by the social services district revealed

inaccuracies in the claim that warrant a more detailed review; or

(c) upon notification of the existence of a pending criminal charge involving fraud.

(iii) The social services district may disallow payment for claims for services provided to any and all children receiving a child care subsidy for the time period in which:

(a) an enrolled provider is found by the office to be operating or have

operated a child care program, required to be licensed or registered with the office, without obtaining such license or registration; or

(b) a licensed or registered provider is found by the office to be operating or

have operated over its licensed or registered capacity; or (c) an enrolled informal provider is found by the office to be caring or have

cared for more children than the limits defined in section 415.1(h) of this Part.

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415.4(f) 415.4(f)(3)(ii)


(f) Enrollment of caregivers of informal and legally-exempt group child care. A social services district may only make payments for child care provided by caregivers of informal or legally-exempt group child care if the caregiver has been enrolled by a legally-exempt caregiver enrollment agency on either a temporary or final basis in accordance with this subdivision. Each social services district must provide a child's caretaker that has applied for or is receiving child care subsidies under the New York State Child Care Block Grant and who is interested in using a caregiver of legally-exempt child care with an enrollment package and notify the caretaker that the completed package must be submitted to the applicable legal-exempt caregiver enrollment agency.

(1) Each legally-exempt caregiver enrollment agency must establish procedures for

enrolling, for payment purposes, a caregiver of informal child care or a caregiver of legally-exempt group child care, as defined in section 415.1 of this Part, who or which chooses to provide child care services under the New York State Child Care Block Grant Program. Such enrollment procedures must: (i) collect only such information about the caregiver as determined by the Office of

Children and Family Services to be necessary to make payments and to furnish information to the caregiver or to a recipient;

(ii) facilitate appropriate and prompt payments; and

(iii) permit the caregiver to enroll with the legally-exempt caregiver enrollment agency after selection by a recipient.

(2) Each legally-exempt caregiver enrollment agency must distribute health and safety information as specified by the office to all newly enrolled caregivers of informal child care and caregivers of legally- exempt group child care.

(3)

(i) Prior to enrolling or re-enrolling a caregiver of informal child care or a caregiver of legally-exempt group child care, the legally-exempt caregiver enrollment agency must review the enrollment package obtained from the caregiver and determine, within 10 days of receiving the enrollment package, whether the enrollment package is complete and the caregiver is exempt from the State's child day care licensing and registration requirements.

(ii) If the caregiver is exempt from the State's child day care licensing and registration requirements, and the completed checklist and attestations in the enrollment package do not raise any immediate concerns, the legally-exempt caregiver enrollment agency must enroll the caregiver on a temporary basis until the legally-exempt caregiver enrollment agency completes a full review of the package. The legally-exempt caregiver enrollment agency must notify the applicable social services district of the enrollment of the legally-exempt caregiver on a temporary basis.

415.4(f)(3)(iii) 415.4(f)(6)


(iii) The legally-exempt caregiver enrollment agency must complete a full review of the enrollment package within 40 days of receiving the completed enrollment package to determine whether the caregiver meets the enrollment requirements including the basic health and safety requirements set forth in paragraph (7) of this subdivision and the additional requirements for informal child care caregivers set forth in paragraph (8) of this subdivision, if applicable. The legally-exempt caregiver enrollment agency must notify the applicable social services district of its final determination regarding the enrollment of the legally-exempt caregiver.

(iv) Caregivers enrolled with a social services district on or before the effective date of these regulations, must document compliance with the requirements set forth in paragraph (7) of this subdivision and the additional requirements for informal child care caregivers in paragraph (8) of this subdivision, if applicable, before or as part of the next redetermination of eligibility for child care services for a child in the caregiver's care.

(v) Enrollment information must be updated and reviewed at least annually and at

any other time when a change in circumstances warrants such a review including but not limited to when the caregiver seeks to serve another child. The legally-exempt caregiver enrollment agency only must verify any changes that have occurred to the caregiver's enrollment information since the last enrollment package was submitted.

(4) If the caregiver is exempt from the licensing and registration requirements and the caregiver otherwise meets the qualifications set forth in section 415.1(h) or (i) of this Part, and meets the basic health and safety requirements set forth in paragraph (7) of this subdivision and the additional requirements for informal child care set forth in paragraph (8) of this subdivision, if applicable, or integrated county plan, then the legally-exempt caregiver enrollment agency must enroll the caregiver for the purpose of providing child care services to eligible families under the New York State Child Care Block Grant Program unless the applicable social services district informs the legally-exempt caregiver enrollment agency that the caregiver does not meet a locally-defined additional requirement set forth in the social services district's consolidated services plan or integrated county plan in accordance with subdivision (h) of this section.

(5) A caregiver of informal child care or a caregiver of legally-exempt group child care must

be enrolled with the legally-exempt caregiver enrollment agency before payment is made to such caregiver by a district for providing child care services under the New York State Child Care Block Grant Program.

(6) Each legally-exempt caregiver enrollment agency must maintain an automated roster, in the New York State Child Care Facilities System, of the caregivers of informal child care and caregivers of legally-exempt group child care enrolled with such legally-exempt caregiver enrollment agency including the name and address of each such caregiver and information about the caregiver's compliance with the enrollment requirements at such time and in manner and form required by the office.

415.4(f)(7) 415.4(f)(7)(ii)


(7) Basic health and safety requirements for caregivers of informal or legally-exempt group child care.

(i) At the time of applying for enrollment and for re-enrollment, the caregiver must furnish a sworn statement indicating whether, to the best of his or her knowledge, such caregiver, any employee of the caregiver, and any volunteer who has the potential for regular and substantial contact with children in care, and, for caregivers of legally-exempt family child care, each household member age 18 or older, has ever been convicted of a misdemeanor or a felony in New York State or any other jurisdiction. Prior to furnishing the caretaker and the legally-exempt caregiver enrollment agency with such information, the caregiver shall inquire of each such employee, volunteer and household member regarding whether that person has ever been convicted of a misdemeanor or any felony in New York State or any other jurisdiction.

(a) When a caregiver, indicates that he or she or such an employee, volunteer or household member has been convicted of a crime, the caregiver must give the caretaker and the legally-exempt caregiver enrollment agency true and accurate information about the crime which will enable the caretaker and the legally-exempt caregiver enrollment agency to evaluate whether the criminal background poses an unreasonable risk to the safety or welfare of the child(ren). Such information must include, but is not limited to, the nature of the crime, the penalties imposed as a result of the conviction, and the length of time which has elapsed since the conviction.

(b) No person convicted of a felony or misdemeanor against children or, for

caregivers of legally-exempt family child care, whose household includes an individual convicted of such a crime may be enrolled by a legally-exempt caregiver enrollment agency as a child care caregiver.

(c) No legally-exempt informal child care program or legally-exempt group

child care program which employs an individual or uses a volunteer convicted of a felony or misdemeanor against children may be enrolled by a legally-exempt caregiver enrollment agency as a child care caregiver.

(d) A legally-exempt caregiver enrollment agency may enroll a caregiver who

has been convicted or whose employee, volunteer or household member has been convicted of other felony or misdemeanor offenses, consistent with guidelines issued by the office for evaluating applicants with criminal conviction records.

(ii) The caregiver must furnish the child's caretaker with true and accurate information, in writing, indicating whether, to the best of the caregiver's knowledge, such caregiver, any employee of the caregiver, any volunteer who has the potential for regular and substantial contact with children and, for caregivers of legally-exempt family child care, any household member age 18 or older, has ever been the subject of an indicated report of child abuse or maltreatment in

415.4(f)(7)(ii) 415.4(f)(7)(iv)(a)


New York State or any other jurisdiction. Prior to furnishing the caretaker with such information, the caregiver shall inquire of each such employee, volunteer and household member regarding whether that person has ever been the subject of an indicated report of child abuse or maltreatment. The caregiver must furnish the child's caretaker with information regarding any such indicated report including a description of the incident, the date of the indication and any other relevant information.

(iii) To be enrolled by a legally-exempt caregiver enrollment agency to provide child care services under the New York State Child Care Block Grant Program, a caregiver of informal child care or a caregiver of legally-exempt group child care which is not required to be operated under the auspices of another Federal, State or local government agency must attest and certify in writing:

(a) whether, to the best of his or her knowledge, the caregiver has ever been denied a license or registration to operate a school-age child care program, day care center, family day care home or group family day care home, or had such a license or registration suspended or revoked. If a caregiver indicates that he or she has been denied such a license or registration or had such a license or registration suspended or revoked, the caregiver must provide true and accurate information to the child's caretaker and the legally-exempt caregiver enrollment agency about the reasons for the denial, suspension or revocation. A legally-exempt caregiver enrollment agency must determine whether to enroll a caregiver who has had such a license or registration denied, suspended or revoked, based on guidelines issued by the office; and

(b) whether the caregiver has ever had his or her parental rights terminated,

or had a child(ren) removed from his or her care by court order under article 10 of the Family Court Act. If a caregiver indicates that he or she has had his or her parental rights terminated or has had a child(ren) removed from his or her care by court order under article 10 of the Family Court Act, the caregiver must provide true and accurate information regarding the reasons underlying the loss of parental or custodial rights. A legally-exempt caregiver enrollment agency must determine whether to enroll a caregiver who has had his or her parental rights terminated or has lost custody of a child(ren) by court order under article 10 of the Family Court Act, based on guidelines issued by the office.

(iv) To be enrolled with a legally-exempt caregiver enrollment agency to provide child care services under the New York State Child Care Block Grant Program, a caregiver of legally-exempt group child care must attest and certify in writing either that:

(a) the caregiver is legally operating under the auspices of another Federal, State or local government agency; or

415.4(f)(7)(iv)(b) 415.4(f)(7)(v)(f)


(b) if the caregiver of legally-exempt group child care is not required to operate under the auspices of another Federal, State or local governmental agency, then the caregiver must meet the additional health and safety requirements set forth in section 415.4(f)(7).

(v) To be enrolled by a legally-exempt caregiver enrollment agency to provide child care services under the New York State Child Care Block Grant Program, a caregiver of informal child care or a caregiver of legally-exempt group child care which is not required to be operated under the auspices of another Federal, State or local governmental agency also must attest and certify in writing, and the child's caretaker must attest and certify in writing, that the caregiver meets and has agreed to continue to meet the following basic health and safety requirements:

(a) The caregiver and all children have two separate and remote ways to escape in an emergency.

(b) Rooms for children are well-lighted and well-ventilated. Heat, ventilating

and lighting equipment are adequate for the protection of the health of the children.

(c) The caregiver will use barriers to restrict children from unsafe areas. Such areas include, but are not limited to, swimming pools, open drainage ditches, wells, holes, wood and coal burning stoves, fireplaces and permanently installed gas space heaters.

(d) Where child care is provided on floors above the first floor, windows on

floors above the first floor are protected by barriers or locking devices to prevent children from falling out of the windows.

(e) Adequate and safe water supply and sewage facilities are provided and comply with State and local laws. Hot and cold running water is available and accessible at all times.

(f) The caregiver certifies that the caregiver and each employee and each volunteer with the potential for regular and substantial contact with children in care is physically fit to provide child care and are free of any communicable disease and, for caregivers of legally-exempt family child care, that all persons residing in the home are free of any communicable disease unless the caregiver's or household member's health care provider has indicated that the presence of a communicable disease does not pose a risk to the health and safety of the children in care. If the legally-exempt caregiver enrollment agency has reasonable cause to suspect that the information provided by the caregiver is incorrect, the legally-exempt caregiver enrollment agency may require that the caregiver submit a statement from a physician, physician's assistant or nurse practitioner verifying the information.

415.4(f)(7)(v)(g) 415.4(f)(7)(v)(s)


(g) Suitable precautions will be taken to eliminate any conditions in areas accessible to children that pose a safety hazard.

(h) All matches, lighters, medicines, drugs, cleaning materials, detergents, aerosol cans and other poisonous or toxic materials are stored in their original containers and used in such a way that they will not contaminate play surfaces, food or food preparation areas or constitute a hazard to children. Such materials will be kept in a place inaccessible to children.

(i) The caregiver will ensure that each child receives meals and snacks in accordance with the plan developed jointly by the caregiver and the child's caretaker.

(j) Perishable food, milk and formula will be kept refrigerated.

(k) When the caregiver cares for infants, formula, breast milk and other food items for infants will not be heated in a microwave oven.

(l) The caretaker of a child will have unlimited access to the child, and to the premises when the child is in care and to written records regarding the child.

(m) Evacuation drills will be conducted at least monthly with the children during the hours that children are in care.

(n) The caregiver will never use corporal punishment or allow others to use corporal punishment while children are in care.

(o) The caregiver will never use or be under the influence of alcohol or drugs while children are in care and will make sure that children are not exposed to individuals using drugs or alcohol while in care.

(p) The caregiver will not smoke or allow smoking in indoor areas while children are in care or in vehicles while children are being transported.

(q) The caregiver will never leave children unsupervised or in the care of individuals who are not authorized to supervise the children.

(r) The caregiver has either a working telephone or immediate access to one. Emergency telephone numbers for the fire department, local or State Police or sheriff's department, poison control center and ambulance service are posted conspicuously on or adjacent to the telephone.

(s) Protective caps, covers or permanently installed obstructive devices are

used on all electrical outlets that are accessible to young children.

415.4(f)(7)(v)(t) 415.4(f)(7)(v)(z)


(t) Paint and plaster are in good repair so that there is no danger of children putting paint or plaster chips in their mouths or of it getting into their food.

(u) There is one operating smoke detector on each floor of the home or facility. Such detectors will be checked regularly to insure proper operation.

(v) The home or facility is equipped with a portable first aid kit that is accessible for emergency treatment. The first aid kit is stocked to treat a broad range of injuries and situations and will be restocked as necessary. The first aid kit and any other first aid supplies are kept in a clean container or cabinet not accessible to children.

(w) The caregiver shall not provide child care to any child unless the caregiver has been furnished with a statement signed by a physician or other authorized individual who specifies that the child has received age appropriate immunizations in accordance with New York State Public Health Law or a statement signed by a physician or other authorized individual who indicates that one or more of the immunizations would be detrimental to the child's health, or the child's caretaker provides a statement indicating that the child has not been immunized due to the caretaker's religious beliefs.

(x) Stairs, railings, porches and balconies are in good repair.

(y) The caretaker and the caregiver certified in writing that to the best of their knowledge, all statements made on the enrollment or re-enrollment form and any attachments thereto are accurate and true. Any false information, certified and attested to by the caregiver or the caretaker on either the enrollment or re-enrollment form or any attachment thereto, may result in the caregiver being denied enrollment or the termination of the caregiver's enrollment by the legally-exempt caregiver enrollment agency and/or the social services district terminating child care subsidy payments and/or taking legal action against the caregiver or caretaker.

(z) The caregiver may not administer medication to any child in his or her care except to the extent that the caregiver is authorized under the Education Law to administer medications or has met the requirements for the administration of medications as defined in section 418-1.11 of this Title.

415.4(f)(7)(vi) 415.4(f)(7)(vi)(d)


(vi) To be enrolled by or to maintain enrollment with a legally-exempt caregiver enrollment agency to provide child care services to families receiving child care subsidies under the New York State Child Care Block Grant Program, every legally exempt caregiver, employee with a caregiving role, and volunteer with the potential for regular and substantial contact with children in care, except for a grandparent, great grandparent, sibling (if living in a separate residence),aunt, or uncle providing care pursuant to 415.1(h), must complete Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

(a) For informal child care programs enrolled at the time this regulation becomes effective, the required individuals must complete the Office-approved training by September 30, 2017.

(b) For applicants seeking to be enrolled as an informal child caregiver after this regulation becomes effective, the required individuals must complete the Office-approved training pre-service or by September 30, 2017, whichever is later.

(c) For legally-exempt group child care programs enrolled at the time this

regulation becomes effective, the required individuals must complete the Office-approved training by September 30, 2017. Any individual who does not complete the training by September 30, 2017 must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

(d) For applicants seeking to be enrolled as a legally-exempt group child care

program after this regulation becomes effective, the required individuals must complete the Office-approved training pre-service or by September 30, 2017, whichever is later. Any required individual who has not completed the training by September 30, 2017 must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

415.4(f)(8) 415.4(f)(8)(ii)(a)(2)


(8) Additional health and safety requirements for caregivers of informal child care. (i) A legally-exempt caregiver enrollment agency must refer a caregiver of informal

child care to the child and adult care food program (42 USC 1758, 1759[a], 1762[a], 1765, and 1766) at initial enrollment of any caregiver not currently enrolled, or at the annual re-enrollment of any currently enrolled caregiver. If the caregiver is or becomes a participant in the child and adult care food program, the caregiver must provide the legally-exempt caregiver enrollment agency with a copy of documentation of participation in the program. A legally-exempt caregiver enrollment agency must verify the caregiver's documentation to determine whether the caregiver is a participant in the child and adult care food program.

(ii) Upon applying for enrollment, and as part of the annual re-enrollment process, a legally-exempt caregiver enrollment agency must verify the information in the attestation of each caregiver of informal child care to determine if the caregiver's parental rights have been terminated, or if a child(ren) was removed from his or her care by court order under article 10 of the Family Court Act.

(a) The legally-exempt caregiver enrollment agency will request that the applicable social services district conduct a child welfare database check of the caregiver and provide the applicable social services district with such available information about the caregiver as is necessary to complete the database check to determine whether the caregiver has had his or her parental rights terminated or had a child removed from his or her care by court order under article 10 of the Family Court Act. The district must provide the legally-exempt caregiver enrollment agency with the results of the child welfare database check within 15 days of receiving the request.

(1) When the check of the district's child welfare data base reveals that

the caregiver has had his or her parental rights terminated or had a child removed from his or her care by court order under article 10 of the Family Court Act, the district shall provide the specific office mandated information on the foster care and/or court records concerning the caregiver's termination of parental rights and the removal of the child from the caregiver's home to the legally-exempt caregiver enrollment agency for the purposes of determining whether to enroll the caregiver.

(2) When the check of the district's child welfare data base reveals that the caregiver has had his or her parental rights terminated or had a child removed from his or her care by court order under article 10 of the Family Court Act, the caregiver must provide the caretaker and the legally-exempt caregiver enrollment agency true and accurate information regarding the reasons underlying the loss of parental or custodial rights, if such information has not already been provided to the caretaker and the legally-exempt caregiver enrollment agency. A legally-exempt caregiver enrollment agency must determine, based on

415.4(f)(8)(ii)(a)(2) 415.4(f)(8)(iv)


guidelines issued by the office, whether to enroll a caregiver who has had such a loss of parental or custodial rights.

(iii) Upon applying for enrollment, and as part of the annual re-enrollment process, a legally exempt caregiver enrollment agency will:

(a) Check each caregiver against the office's child care facility system to determine whether the caregiver has ever been denied a child day care license or registration or had a child day care license or registration suspended or revoked. When the check of the office's child care facility system reveals that the caregiver has been denied a child day care license or registration or had a child day care license or registration revoked or suspended, the caregiver must provide the caretaker and the legally-exempt caregiver enrollment agency true and accurate information regarding any such denial, revocation or suspension, including a description of the reason for denial, revocation or suspension, the date of the denial, revocation or suspension, and any other relevant information, if such information has not already been provided to the caretaker and the legally-exempt caregiver enrollment agency. A legally-exempt caregiver enrollment agency must determine whether to enroll a caregiver who has had such a license or registration denied, suspended or revoked based on guidelines issued by the office.

(b) Check each caregiver of informal child care, any employee of the caregiver, any volunteer who has the potential for regular and substantial contact with children in care, and for caregivers of legally-exempt family child care, each household member age 18 or older against the New York State Sex Offender Registry maintained by the New York State Division of Criminal Justice Services, via the Registry's toll free telephone number to determine if such caregiver, any employee of the caregiver, any volunteer who has the potential for regular and substantial contact with children in care, and for caregivers of legally-exempt family child care, each household member age 18 or older is listed on the New York State Sex Offender Registry. When the New York State Sex Offender Registry reveals that a caregiver, any employee of the caregiver, any volunteer who has the potential for regular and substantial contact with children in care, or for caregivers of legally-exempt family child care, a household member is listed on the Sex Offender Registry for committing a sex offense, the legally-exempt caregiver enrollment agency may not enroll such a caregiver.

(iv) On an annual basis, the applicable legally-exempt caregiver enrollment agency

must conduct on-site inspections including reviewing the immunization records of at least 20 percent of the currently enrolled legally-exempt family child care caregivers, as defined in this Part, in the applicable district who do not participate in the child and adult care food program to determine whether such caregivers are in compliance with the health and safety standards set forth in this section.

415.4(f)(8)(iv)(a) 415.4(f)(9)(i)(b)(1)


(a) The office will provide by January 31st of each year to the legally-exempt caregiver enrollment agency instructions for compiling a list of the caregivers that must be inspected and a minimum unduplicated number of providers that must be inspected. The legally-exempt caregiver enrollment agency must complete the inspections and report the results of the inspections in a manner and format as specified by the office by December 31st of each year.

(b) If the legally-exempt caregiver enrollment agency finds that a caregiver is non-compliant with any requirements of this section, the legally-exempt caregiver enrollment agency will assist the caregiver in working towards compliance, in the manner and according to the timeframes established by the office. If the caregiver does not come into compliance with the requirements within the required timeframes, the legally-exempt caregiver enrollment agency will terminate the enrollment of the caregiver and notify the appropriate district of that the caregiver's enrollment has been terminated.

(9) Additional health and safety requirements for caregivers of legally-exempt

group child care. (i) Each enrolled legally-exempt group child care program must meet and

maintain the following minimum staff-to-child supervision ratios and maximum group size requirements, unless a more stringent standard is required by law:

(a) for three-year-old children:

(1) there must be one employee with a caregiving role for every 20 children when engaged in activities where children will be seated while working on a particular activity or skill;

(2) there must be one employee with a caregiving role for every 10 children when children are not engaged in seated activities or skills; and

(3) the maximum group size is 30 children.

(b) for four-year-old children:

(1) there must be one employee with a caregiving role for every 20 children when engaged in activities where children will be seated while working on a particular activity or skill;

415.4(f)(9)(i)(b)(2) 415.4(f)(9)(iv)(c)


(2) there must be one employee with a caregiving role for every 12 children when children are not engaged in seated activities or skills; and


(c) for children ages five through 12 years of age:

(1) there must be one employee with a caregiving role for every 25 children; and


(d) When children younger than five years of age are cared for in mixed age groups, the staff-to-child supervision ratio and maximum group size applicable to the youngest child in the group must be followed.

(ii) Group size refers to the number of children cared for together as a unit. Group size is used to determine the minimum staff-to-child supervision ratio based upon the age of the children in the group.

(iii) The office and its designees, applicable social services district and its designees, and the applicable legally-exempt caregiver enrollment agency are authorized to inspect any legally-exempt group child care program that is enrolled or applying for enrollment.

(iv) Child care assistance cannot be authorized for a child under three years of age for child care provided in a legally-exempt group child care program, except for:

(a) child care programs located on Federal property which are operated in compliance with the applicable Federal laws and regulations for such child care programs;

(b) child care programs located on tribal property which are operated in compliance with the applicable tribal laws and regulations for such child care programs; or

(c) a child who is at least two years of age at the beginning of the school year but will turn three years of age on or before the applicable calendar date for which a child must be at least five years of age to be eligible for admission to school; such a child shall be considered three years of age for the purposes of staff-to-child ratio and maximum group size.

415.4(g) 415.4(h)(2)(i)(e)


(g)

(1) Where a social services district is subsidizing child care services pursuant to any of the provisions of this Part, the district may submit to the office justification for a need to impose additional requirements on child care providers providing subsidized child care services and a plan to monitor compliance with such additional requirements. A social services district may make participation in the child and adult care food program a condition of enrollment for each caregiver of informal child care who will be providing an average in excess of 30 hours of care per week to one or more subsidized children provided the district sets forth this requirement in the district's consolidated services plan or integrated county plan. No such additional requirements or monitoring may be imposed without the written approval of the office.

(2) To the extent that a social services district has established any additional standards for caregivers of legally-exempt child care, the district's monitoring process must include procedures for notifying the applicable legally-exempt caregiver enrollment agency if the district determines that such a caregiver is not in compliance with an additional standard. Any such procedures established by the social services district may not extend the timeframes set forth in subdivision (f) of this section for legally-exempt caregiver enrollment agency to review an enrollment package.

(h)

(1) A social services district may refuse to allow a child care provider that is not in compliance with this section and regulations promulgated by the office, or any approved additional requirements of the social services district, to provide subsidized child care services to a child.

(2) (i) A social services district may disqualify a provider from receiving payment for

child care services provided under the child care subsidy program if a provider:

(a) is criminally convicted of fraud;

(b) is found to be civilly liable for fraud;

(c) has voluntarily admitted to filing a false claim for reimbursement for child care services;

(d) has been disqualified from the Child and Adult Care Food Program, by the New York State Department of Health and/or its sponsoring agency, for submission of false information on the application, submission of a false claim for reimbursement or failure to keep required records;

(e) has failed to comply with the terms of a repayment plan with the social services district; or

415.4(h)(2)(i)(f) 415.4(h)(2)(ii)(e)


(f) has a conviction of any activity that occurred in the past seven (7) years that indicated a lack of business integrity; or

(g) has been found by a social services district, after the social services district has conducted an administrative review in accordance with subparagraph (ii) of this paragraph, to have submitted a false claim(s) to a social services district for reimbursement.

(ii) An administrative review by a social services district must include the following:

(a) A review of the claims submitted to the social services district and any other information or documentation obtained by the social services district to determine the accuracy of the information contained in the claims; and if a social services district determines after such a review that a provider submitted inaccurate information in the claims, then a preliminary review report must be prepared by a social services district and sent to the child care provider that is the subject of the review for a response.

(b) A child care provider must be given 20 days, from the date the district sent the preliminary review report to respond to the report. A child care provider may respond in writing presenting evidence and arguments that the provider believes refute the findings of the preliminary review report, or may request a formal review by a social services district, which allows a provider, in person, to present evidence and arguments in support of his/her position.

(c) If no response from a provider is received by a social services district within

20 days from the date of the postmark of the preliminary review report, the report may be finalized by a social services district. A final report, issued under this subclause, may be the basis for a social services district to disqualify a provider from providing subsidized child care.

(d) If a response from a provider is received by a social services district within 20 days from the date of the postmark of the preliminary report, the social services district must review and evaluate the response and may make appropriate changes based on the response from the provider, before issuing a final review report. Upon completion of the review, the social services district shall issue a final review report, such report must be sent to the child care provider that is the subject of the review.

(e) A child care provider, upon receipt of a final review report, must be given 10 days from the date of the postmark of the final review report to respond, and to request a formal review by the social services district. A final review report issued under this subclause, where a provider does not request a formal review within the 10-day specified timeframe, or does not provide a response that disproves the findings of said report, may be the basis for a social services district to disqualify a provider from providing subsidized child care.

415.4(h)(2)(ii)(f) 415.4(h)(4)


(f) A social services district, upon receipt of a request for a formal review by a provider found in a final review report to have submitted inaccurate claims, must conduct such a review within 30 days of receipt of the request.

(g) A social services district at a formal review must allow a provider, in person, to present evidence and arguments in support of the provider’s position.

(h) A social services district, after a formal review and after reviewing the evidence and arguments supplied by a provider at a formal review must make a final determination of whether a provider submitted false claims. A final determination that a provider submitted false claims may be the basis for a social services district to disqualify a provider from providing subsidized child care.

(iii) A provider who has been disqualified from receiving payment for child care services provided under the child care subsidy program by a social services district under subparagraph (i) of this paragraph is ineligible to receive such payments through any social services district for five years from the date of the disqualification, if such a provider made full restitution of any and all falsely obtained funds to the social services district. If such a provider did not make full restitution to a social services district, then the provider will remain ineligible to provide subsidized child care.

(iv) A social services district that disqualifies a provider from receiving a payment for child care services provided under the child care subsidy program must provide appropriate information concerning the disqualification to the appropriate regional office of the Office’s Division of Child Care Services if the provider is a licensed or registered day care provider, or to the appropriate legally-exempt caregiver enrollment agency if the provider is a legally-exempt child care provider.

(3) In accordance with a plan approved by the office, a social services district will have the right to make announced or unannounced inspections of the records and premises of any provider that provides care for subsidized children, including the right to make inspections prior to subsidized children receiving care in a home where the inspection is for the purpose of determining whether the child care provider is in compliance with applicable laws and regulations and any additional requirements imposed on such a provider by the social services district. A social services district must notify the office immediately of any violations of regulations and must provide the office with an inspection report documenting the results of such inspection.

(4) Nothing contained in this Part will diminish the authority of the local social services district from referring a matter to the appropriate district attorney or law enforcement agency.

415.9 415.9(h)(4)


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Section 415.9. Rates

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(g) The rate of payment for child care services provided to a child determined to have special needs is the actual cost of care up to the statewide limit of the highest weekly, daily, part-day or hourly market rate for child care services in the State, as applicable, based on the amount of time the child care services are provided per week regardless of the type of child care provider used or the age of the child.

(h) (1) A social services district may establish a differential payment rate for child care services

provided by licensed or registered child care providers that have been accredited by a nationally recognized child care organization. Legally-exempt child care providers are not eligible for a differential payment rate under this paragraph. If the social services district chooses to provide a differential rate, the differential rate must be at least five percent higher than the actual cost of care or the applicable market rate, whichever is less. The differential rate may not exceed 15 percent of the actual cost of care or the applicable market rate, whichever rate is less.

(2) A social services district must establish differential payment rates for any eligible child

care provider as defined in section 415.1(g) of this Part for child care services provided during nontraditional hours (evening, night or weekend hours). The differential rate must be at least five percent higher than the actual cost of care or the applicable market rate, whichever is less. The differential rate may not exceed 15 percent of the actual cost of care or the applicable market rate, whichever is less.

(3) A social services district must establish differential payment rates for licensed and

registered child care providers for child care services provided to a child experiencing homelessness. A social services district may establish differential payment rates for legally-exempt child care providers for a child experiencing homelessness. The differential rate for licensed and registered child care providers must be at least five percent higher than the actual cost of care or the applicable market rate, whichever is less. There is no minimum differential rate for legally-exempt child care providers. The differential rate may not exceed 15 percent of the actual cost of care or the applicable market rate, whichever is less.

(4) The differential payment rates the district sets may be different for each category established in this subdivision. The social services district must indicate in the district's consolidated services plan or integrated county plan the percentage that it will provide for each category. The social services district must indicate the rate that it will provide for child care providers that qualify for multiple differential payment rates, pursuant to this section. The total percentage must not exceed 25 percent of the applicable market rate or the actual cost of care. A social services district may request a waiver from the Office to establish a payment rate that is in excess of 25 percent above the applicable

415.9(h)(4) 415.9(i)(3)


market rate upon a showing that the 25 percent maximum is insufficient to provide access within the district to such child care providers or services, as applicable.

(i) There may be multiple market rates for legally-exempt group child care, the standard market rate, and the opportunity for an enhanced market rate as provided in this subdivision.

(1) The standard market rate of payment for caregivers of legally-exempt group child care is the actual cost of care up to 75 percent of the applicable market rate for day care center providers as set forth in this section.

(2) A social services district may establish one or both of the following categories of enhanced rates for child care services provided by legally-exempt group child care programs: (i) A social services district may establish an enhanced market rate for child care

services provided by eligible legally-exempt group child care programs up to 81 percent of the applicable market rate for day care center providers if:

(a) the program prepares a health care plan that meets the specifications of paragraph (2) of subdivision (c) of section 418-1.11 of this Title; and

(b) the program has at least one employee with a caregiving role in each classroom during the program’s operating hours who holds a valid certificate in cardio-pulmonary resuscitation (CPR), appropriate to the ages of the children in the classroom.

(ii) A social services district may establish an enhanced market rate for child care services provided by eligible legally-exempt group child care programs up to 81 percent of the applicable market rate for day care center providers, if:

(a) the caregiver of the legally-exempt group child care program completes the Health and Safety: Competencies in Child Care for Day Care Center, School-Age Child Care, and Enrolled Legally Exempt Group Program Directors course or other course as approved by the office, and a minimum of 15 fifteen hours of training annually in areas approved by the office; and

(b) each employee with a caregiving role at the legally-exempt group child care program completes a minimum of five hours of training annually in the areas approved by the office, in addition to the training required by subdivision (f) of section 415.4 of this part.

(3) When a social services district establishes an enhanced market rate for child care services provided by eligible legally-exempt group child care programs in accordance with subparagraphs (i) and (ii) of paragraph (2) of this subdivision, the district may pay up to 87 percent of the applicable market rate for day care centers when all requirements of both subparagraphs are met.

415.9(i)(4) 415.9(j)(2)


(4) An enhanced market rate established pursuant to this subdivision will only be available to those legally-exempt group child care programs that have submitted documentation to the applicable legally-exempt caregiver enrollment agency verifying compliance with: (i) the requirements set forth in this subdivision required to qualify for the enhanced

rate; and;

(ii) all applicable health and safety requirements set forth in subdivision (f) of section 415.4 of this part.

(5) The applicable social services district and its designees, or applicable legally-exempt caregiver enrollment agency shall inspect any legally-exempt group child care program that requests or receives an enhanced market rate pursuant to this subdivision.

(6) The social services district must indicate in the district’s consolidated services plan or integrated county plan the percentage and category of any enhanced market rate it will provide for child care services provided by eligible legally-exempt group child care programs.

(7) A legally-exempt group child care program may receive an enhanced market rate pursuant to this subdivision and one or more differential rates pursuant to this section, provided however, that the total payment made to a legally-exempt group child care program must not exceed either 100 percent of the applicable market rate for day care centers as set forth in this section, or the actual cost of care, whichever is less.

(j)

(1) Effective June 1, 2016, the following are the local market rates for each social services

district set forth by the type of provider, the age of the child and the amount of time the child care services are provided per week.

(2) Upon the effective date of these regulations, there will be two market rates for the legally-exempt family child care and in-home child care categories, a standard market rate and an enhanced market rate. The standard market rate for legally-exempt family child care and in-home child care categories will be 65 percent of the applicable registered family day care market rate. The enhanced market rate for legally-exempt family child care and in-home child care categories will be 70 percent of the applicable registered family day care market rate. The enhanced market rate will apply to those caregivers of legally-exempt family child care and in-home child care who have provided notice to, and have been verified by, the applicable legally-exempt caregiver enrollment agency or by the district for those portions of the district that are not covered by a legally-exempt caregiver enrollment agency, as having completed 10 or more hours of training annually in the areas set forth in section 390-a(3)(b) of the Social Services Law. A social services district has the option, if it so chooses in the child care portion of its child and family services plan, to increase the enhanced market rate for eligible legally-exempt family child care and in-home child care categories to up to 75 percent of the applicable registered family day care market rate:

415.9(j)(2)(i) 415.12(a)(4)


(i) for all such providers;

(ii) for those providers who were receiving the enhanced rate on the date of the regulations but only for the remainder of their current one-year enrollment period; or

(iii) for those providers who were receiving the enhanced rate on the date of the regulations for the remainder of the time they remain enrolled and continue to meet the 10 hour annual training requirement. The standard market rate will apply to all other caregivers of legally-exempt family child care and in-home child care.

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Section 415.12 Eligible provider responsibilities

(a) An eligible provider that provides child care services to families receiving child care subsidies

must comply with the following requirements:

(1) An eligible provider must operate their child care program in compliance with the applicable Office regulations. Failure to operate in compliance with the Office regulations may result in the Office taking enforcement action pursuant to section 413.3 of this Title.

(2) An eligible provider, on a daily basis, must maintain current and accurate attendance

records for each child showing the date of attendance with the time of arrival and departure. Full day absences must also be noted.

(3) An eligible provider must certify that all documentation and information provided to

a social services district is accurate and true. Any false or fraudulent claims for payments by a provider may result in the deferral or disallowance of payment for such claims with a social services district, a referral to the Office for the revocation of a provider's registration or license, and/or referral for criminal prosecution.

(4) An eligible provider must not charge more for subsidized child care than the provider

charges for non-subsidized care.

Attachment 9: Legally-Exempt Enrollment

Standard Performance Levels

Appendix B

Professional Development Program Appendix B

ATTACHMENT 9: Legally-Exempt Enrollment Standard Performance Levels

Quarterly Standard Performance Level – 20% Inspections

OCFS will provide the legally-exempt caregiver enrollment agency, by January 31st of each year,

instructions for compiling a list of caregivers of legally-exempt family child care and a minimum

unduplicated number of caregivers from which at least 20% must be inspected. The on-site inspections

of the currently enrolled legally-exempt family child caregivers, who are deemed to be “not

participating” in CACFP must include a review of the immunizations records to determine whether such

caregivers are in compliance with health and safety standards as set forth in New York State’s Title 18

NYCRR Section 415.4. The legally-exempt caregiver enrollment agency must complete the inspections

in the manner and format detailed by OCFS in the annually-issued instructions referenced above.

The legally-exempt caregiver enrollment agency must record each completed inspection in CCFS, to the

fullest extent possible, within 7 days following the completion of the inspection.

In the case where a caregiver is found non-compliant, and the concerns do not preclude re-enrollment,

the legally-exempt caregiver enrollment agency must assist the caregiver in working towards

compliance in the manner and according to the timeframes established by OCFS. If the caregiver does

not come into compliance within the required timeframes, the legally-exempt caregiver enrollment

agency will terminate the enrollment of the caregiver and notify the caregiver, applicable district and

parent/caretaker of this termination.

The Quarterly Standard Performance Level of 20% inspections to be completed by December 31st of

each year based on OCFS’ consistent sampling framework for an acceptable level of compliance is 95%.

If OCFS determines that the legally-exempt caregiver enrollment agency has not met at least 95% of the

previous quarter’s Quarterly Standard Performance Level for 20% Inspections, a maximum of up to 5%

of the basic quarterly legally-exempt allocation amount will be withheld.

Instructions for Completing the 20% Annual Inspection

Requirement of Legally-Exempt Family Child Care Providers Not

Participating in the Child and Adult Care Food Program

NEW YORK STATE OFFICE OF CHILDREN AND FAMILY SERVICES, DIVISION OF CHILD CARE SERVICES

INSTRUCTIONS FOR COMPLETING THE 20% ANNUAL INSPECTION REQUIREMENT OF LEGALLY-EXEMPT FAMILY CHILD

CARE PROVIDERS NOT PARTICIPATING IN THE CHILD AND ADULT CARE FOOD PROGRAM (JANUARY 2017)

I. Background

The Office of Children and Families (OCFS) Division of Child Care Services (DCCS) contracts with Enrollment Agencies (EA) for the enrollment of child care providers to provide subsidized child care. EA’s are responsible for monitoring compliance of enrolled providers with health and safety regulations. As part of this monitoring, for each social services district served, each EA must annually inspect at least 20 percent of the enrolled legally-exempt family child care (LEFCC) providers who are not participating in CACFP.

II. Regulatory Basis for Inspections

The applicable regulations from Title 18 New York Codes Rules and Regulations are:

415.4(f)(8)(v) On an annual basis, the applicable legally-exempt caregiver enrollment agency must conduct on-site inspections including reviewing the immunization records of at least twenty percent of the currently enrolled legally-exempt family child care caregivers, as defined in this part, in the applicable district who do not participate in the child and adult care food program to determine whether such caregivers are in compliance with the health and safety standards set forth in this section.

(a) The Office will provide by January 31st of each year to the legally-exempt caregiver enrollment agency instructions for compiling a list of the caregivers that must be inspected and a minimum unduplicated number of providers that must be inspected. The legally-exempt caregiver enrollment agency must complete the inspections and report the results of the inspections in a manner and format as specified by the Office by December 31st of each year.

(b) If the legally-exempt caregiver enrollment agency finds that a caregiver is non-compliant with any requirements of this section, the legally-exempt caregiver enrollment agency will assist the caregiver in working towards compliance, in the manner and according to the timeframes established by the Office. If the caregiver does not come into compliance with the requirements within the required timeframes, the legally-exempt caregiver enrollment agency will terminate the enrollment of the caregiver and notify the appropriate district that the caregiver’s enrollment has been terminated.

III. Timeframes for Conducting and Recording Inspections

The inspections must be conducted between January 1, 2017 and December 31, 2017. It is recommended that each inspection be recorded in Child Care Facility System (CCFS) by the following business day; however, it is required that each inspection be fully documented in CCFS within 7 calendar days of the inspection. CCFS does not support the untimely recording of inspections.

It is recommended that each agency meet five percent of its annual inspection target(s) on a quarterly basis, for each social services district it serves. The quarters are:

January 1, 2017-March 31, 2017

April 1, 2017-June 30, 2017

July 1, 2017-September 30, 2017

October 1, 2017-December 31, 2017

2016 INSTRUCTIONS FOR 20% ANNUAL INSPECTIONS OF LEGALLY-EXEMPT FAMILY CHILD CARE PROVIDERS

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IV. Determining the Number of Providers to be Inspected Each Quarter

Each EA must utilize the CCFS generated report, LE M5: 20% Inspections Targets, to retrieve its inspections targets, the number of providers to be inspected. The LE M5: 20% Inspections Targets report specifies the quarterly and annual inspections targets per district for the EA. The inspections targets are the minimum number of required inspections of active, enrolled LEFCC programs not participating in CACFP. When an EA provides enrollment services for multiple social services districts, inspections targets will be provided for each district served by the EA.

The inspection target numbers for each quarter are easily accessible to every enrollment agency. The inspection targets are generated by CCFS based on the provider database as of the first day of each quarter, in accordance with the rules explained in this document. They are retrievable in CCFS as early as the 2nd day of each quarter. Target numbers are calculated quarterly to account for variation in the number of enrolled LEFCC providers encountered by some EA’s during the year and this provides a more valid number of inspections to be conducted than a single, annual target.

The district-specific, quarterly target numbers provided by DCCS to the EA’s identify the number of inspections recommended of the EA for each quarter in 2017. The quarters have been specified previously in this document. The total number of inspections required of the EA for calendar year, 2017, is the sum of the four quarterly target numbers.

EA’s that have a quarterly target of zero, because they have so few LEFCC providers enrolled, must assume they will be responsible for at least one LEFCC inspection for the calendar year.

V. Determining Which LEFCC Providers are Eligible for a Qualifying Inspection

The CCFS report, Family Child Care Programs Eligible For 20% Inspection, identifies LEFCC providers who qualify for a 20% annual inspection, using current information in CCFS. The report accurately identifies eligible programs only to the extent that the EA is keeping provider records up-to-date. When using the Family Child Care Programs Eligible For 20% Inspection report to select an eligible provider for inspection, the report must be run immediately prior to selecting a provider for inspection, because when new data is entered into CCFS, a provider’s eligibility for inspection may change.

VI. Qualifying Child Care Providers

Inspections of LEFCC providers that count toward meeting the 20% inspection requirement are those LEFCC providers who meet the following criteria at the time the inspection is recorded:

Have a Program Type of FCC.

Are enrolled. This includes LEFCC providers who are currently operating with the approval of the EA. Such providers will have a status of:

o Enrolled Temporary

o Enrolled

o Enrolled: In Renewal

o Enrolled: Expired (in Renewal), or

o Enrolled: Expired.


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Are actively caring for at least one subsidized child. Therefore, the provider cannot be in the status of Enrolled: Inactive or Enrolled: Temporary-Inactive.

Have a value of “Not Participating” in the Child and Adult Care Food Program (CACFP). For the purposes of this requirement, “not participating” means the provider is documented in CCFS as “Not Participating” in CACFP at the time of the inspection and at the time the inspection is recorded. See illustration below.

Have not already had a qualifying inspection within the current calendar year. If multiple inspections are conducted for a given provider during the calendar year, only one inspection of the provider will count toward the annual requirement.

VII. Notification Requirement

Inspections are an important tool in monitoring regulatory standards, and failure to cooperate with an inspection can lead to termination of the enrollment. Therefore, it is critical that the EA make reasonable efforts to inform the provider of the obligation to cooperate with the inspection process and the consequences of failing to cooperate. The Notice of Scheduled Inspection informs the provider of the consequences of non-cooperation.

The EA must provide the Notice of Scheduled Inspection to each provider it inspects as follows:

When an inspection is “announced,” with 7 or more days1 notice to the provider, the EA must print and mail the Notice of Scheduled Inspection to the provider.

When an inspection is “announced” with less than 7 days’ notice, the EA must deliver the notice at the time of the site visit/inspection, or, if circumstances preclude the EA from delivering the notice directly to the provider, the EA must mail the notice to the provider no later than 7 days from the site inspection or visit date and document the reason in CCFS.

When an inspection is “unannounced”, the EA must deliver the notice at the time of the site visit/inspection, or, if circumstances preclude the EA from delivering the notice directly to the provider, the EA must mail the notice to the provider no later than 7 days from the site inspection or visit date and document the reason in CCFS.

VIII. Required Components of a “Complete” Inspection

In order to meet the 20% annual inspection requirement, an inspection must be complete, which means that the scope of the inspection includes an assessment of all regulatory requirements. It may be necessary to conduct multiple visits to achieve a “complete” inspection if all requirements cannot be assessed at the first visit.

1 Calendar days


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To be considered a “complete” inspection, countable towards the 20% annual requirement, the following criteria must2 be met:

1) The inspector is given access to the premises where child care is provided. Note that as a condition of enrollment, the provider must cooperate with the inspection.

2) The provider and at least one subsidized child are present.

3) The inspector must complete the required documentation while on-site:

a) The OCFS-LDSS-7028, Home Inspection Report for Legally Exempt Family Child Care Provider must be completed.

b) The OCFS-LDSS-7028-1, Home Inspection Report Summary must be completed, signed by the inspector and the provider; and, a copy must be left on site with the provider at the time of inspection.

c) The OCFS-LDSS-7028-3, Attachment to the Home Inspection Report for Legally Exempt Family Child Care Provider - OCFS Authorized to Administer Medication must be completed whenever the provider is OCFS authorized under a Health Care Plan for the Administration of Medication.

d) The OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider (CAP) must be completed whenever non-compliance is found; signed by the inspector and the provider; and, a copy must be left on site with the provider at the time of inspection.

4) The EA must conduct an exit interview with the child care provider during an inspection, which will include, but not be limited to:

a) An explanation of any observed violations and any possible violations that the EA will consider or determine once leaving the premises, and

b) A review of the corrective action agreed to.

c) Signing of the OCFS-LDSS-7028-1, Home Inspection Report Summary by the inspector and the provider. If the provider refuses to sign, the EA inspector must document such by: recording “refused to sign” and the inspector’s initials on the provider signature line.

d) When applicable, signing of the OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider by the inspector and provider. If the provider refuses to sign, the EA inspector must document such by: recording “refused to sign” and the inspector’s initials on the provider signature line.

5) The EA must leave a completed copy of the following completed documents, which are available from the OCFS warehouse in “no carbon required” (NCR) format, with the provider at the time of the inspection.

a) the OCFS-LDSS-7028-1, Home Inspection Report Summary

b) the OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider, when applicable.

6) The EA inspector must submit the inspections documents to the EA supervisor for review. The EA Supervisor must review and sign the OCFS-LDSS-7028-1, Home Inspection Report Summary.

2 Note the exception given on number 11 of this list.


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7) Hard copies of documentation, including the inspection report on the OCFS issued forms, CAP, and any field notes, must be retained in the agency’s paper file on the provider.

8) The EA must fully document the inspection in CCFS, the system of record, in accordance with these instructions and those given at OCFS trainings, at the earliest opportunity, but not later than 7 calendar days. Areas of non-compliance must be documented accurately. Changes to the Family Decision(s), Provider Status and any other applicable system data fields must be changed as appropriate.

9) The following additional notifications must be issued:

a) When an inspection is done concurrently with a complaint investigation, the inspector must present or mail the Notice of Complaint to the provider and parent.

b) The Notice of Non-Compliance must be printed when non-compliance is found and issued to the provider and parent within seven days of the inspection.

c) The Notice of Non-Compliance Corrected must be printed when non-compliance is corrected and issued to the provider and parent within 7 days of the non-compliance being corrected.

d) Any applicable notices pertaining to Status Changes or Family Decisions must be issued to providers and parents as required by CCFS.

10) The EA must carry out other actions which are integral to investigating non-compliance or monitoring compliance. Examples include conducting monitoring inspections or making contact with other agencies.

11) An exception to the above criteria for components of a “complete” inspection may occur as follows:

i) An incomplete inspection may meet the 20% annual inspection requirement inspection when the site visit results in the EA obtaining proof that either:

(1) the child care site as represented on the enrollment form does not exist,

OR

(2) the enrolled provider is not providing care for children at the site specified on the enrollment form,

OR

(3) A complaint investigation site visit resulted in a finding of imminent danger, preventing an inspection from being completed,

AND

ii) Proof of the findings in (1), (2) or (3), above, is appropriately documented:

(1) By completion of the OCFS-LDSS 7028 Home Inspection Report for Legally Exempt Family Child Care Provider and the OCFS-LDSS-7028-1, Home Inspection Report Summary AND

(2) In the CCFS notepad, specifically describing the exception reason,

(3) In CCFS, in accordance with the instructions for documenting inspections and non-compliance, including but not limited to: Last Inspection Date, and the other items listed in Section IX. Documentation of Inspection and Non-Compliance in CCFS.

AND


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iii) The EA terminates the provider’s enrollment no later than the first business day after the inspection,

AND

iv) The site visit otherwise qualifies according to the basic rules for selection described under “VI. Qualifying Child Care Providers”.

IX. Documentation of Inspections and Non-Compliance in CCFS

CCFS will support appropriate decision-making only when inspections and non-compliance issue are documented correctly in CCFS. New events and changes must always be documented accurately, in a timely manner and chronologically. The inspection date, summary information and details of any non-compliance found must be recorded and saved in CCFS prior to making any: status change, modality change, CACFP participation value change, or, any other event occurring after the inspection or as a result of the inspection. CCFS records a “snapshot” of the data at the time the inspection is saved. Based on the pertinent data values in the record at the time of the snapshot, CCFS calculates whether the inspection will “count” or “not count” towards the agency’s inspection requirement. Failure to promptly record the inspection in CCFS and failure to record events in the proper chronological sequence may negatively impact the agency’s performance milestone.

A. The Inspection Scheduled

To generate the required Notice of Scheduled Inspection, the EA must first record the Next Inspection Scheduled Date in CCFS. Once the Next Inspection Scheduled Date is recorded, the Notice of Scheduled Inspection will become available in the CCFS Letters Window, for the EA to mail or deliver to the provider.

B. The Inspection Completed Date and Summary Information

Take the following actions in CCFS to document a completed Inspection.

1. Record in the Health and Safety Compliance window:

i. The date of the completed inspection (Path: Requirements>Health and Safety Compliance>Current Compliance Overall Group-box>Last Inspection Date.)

ii. In the notepad, record The Summary of Findings from the OCFS-LDSS-7028-1, Home Inspection Report for Legally Exempt Family Child Care Provider, Section II (Path: Requirements>Health and Safety Compliance>Current Compliance Overall>(Open Green) Notepad). The information to be recorded in the notepad includes:

i. The date of the inspection that the note applies to

ii. A brief description of the reason(s) of the inspection

iii. Whether the provider was found to be compliant or non-compliant;

iv. The severity level of non-compliance found (Imminent danger/risk, serious, non-emergency, or no concerns), if non-compliant,);

v. The corrective action status;

vi. The impact on enrollment status, if any;

vii. Follow up plan to verify corrections have been made; and


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viii. Any additional contacts made or to be made in relation to the findings.

2. Upon saving the inspection date, CCFS will record the inspection and determine whether the inspection may count towards the 20%, based on all criteria documented in CCFS at that point in time.

C. Specific Regulatory Violations

Non-compliance must always be documented in the specific CCFS window where the regulatory requirement is tracked. Record all non-compliance issues, changes to site people, children in care and any other information tracked, in the appropriate windows of CCFS, including, but not limited to:

Child Care Decision: Document the provider is overcapacity including the number of children in the provider’s care.

Person Maintenance: document other site persons.

Program Characteristics includes “the amount you charge subsidized parents”.

Legally-Exempt Verification: document the program is not legally-exempt.

Health and Safety Compliance Window: Includes everything on the Health and Safety Checklist.

Compliance: document “other” non-compliance issues

Documentation in CCFS must include both updating the applicable value in CCFS and recording a note specific to the EA’s observations, documentation and findings. When supportive documentation has been obtained, the specific items must be identified in the accompanying note. Once the non-compliance issue is recorded and saved in CCFS, CCFS creates a period of non-compliance which displays on the Compliance Window. Note that previously recorded Dates of Last Inspection are saved to the Inspection History Window.

D. Status Changes

Changes to provider statuses or family decisions must only be done after the basis for such status change decision is fully documented in CCFS.

E. Updates to Compliance Information

When non-compliance is corrected, you must record and save the change in the appropriate CCFS window. When all non-compliance is corrected in CCFS, the Period Of Non-Compliance will end, and the Notice of Non-Compliance Corrected must be printed and mailed to the provider and parent.

X. Timeframes for Providers to Come into Compliance

Corrective action should be taken in an expedient manner. The maximum period a child care provider may be given to correct non-compliance is 30 days. It is recommended in most cases that the corrective action target date be no greater than 2 weeks, to allow time for the follow up inspection and additional corrective action prior to the 30 day maximum non-compliance period. When a provider does not come into compliance within 30 days, the enrollment must be terminated.


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XI. Multi-purpose Inspections

Inspections may be multi-purpose. An inspection of a LEFCC provider conducted for the primary purpose of investigating a complaint or monitoring compliance may qualify as a 20% annual inspection when a complete inspection is done and the provider meets the requirements stated in section VI. Qualifying Child Care Providers, and/or under the limited exceptions explained in Section VIII, Required Components of a Complete Inspection.

When an inspection is done concurrently with a complaint investigation, the inspector must present or mail the Notice of Complaint to the provider and parent.

XII. Reporting Inspections Results to DCCS

The EA is required to report its inspection results to DCCS by recording the inspections results in CCFS in a timely manner-that is within 7 days of conducting the inspection. Inspections which are not recorded timely and/or those for who the applicable CCFS notices were not issued will not count towards the annual requirement.

XIII. Tracking Completed Qualifying Inspections

DCCS uses CCFS data to provide the EA with a cumulative list of LEFCC providers whose inspections qualify towards the 20% annual inspection requirement. Inspections which were conducted but were not properly recorded in CCFS within 7 calendar days of the inspection date, do not “qualify”.

XIV. Case File Review

DCCS reserves the right to perform desk audits or other reviews to determine the accuracy of the information in CCFS and the agency’s compliance with performance standards. All inspection documentation is subject to review during the quarterly case file review and the EA must have the inspections documentation readily available for review by OCFS staff during the applicable quarter.

Memo: Guidance on Complaints Involving

Legally-Exempt Providers When the Complaint Violation is Alleging

Illegal Care, Child Abuse and Maltreatment, or Both

1


Memo To: Licensors, Registrars

From: Jim Hart, Kathleen Pickel

CC: Janice Molnar, Renee Rider, Regional Office Managers, ROS unit, Ed Watkins, Craig Sunkes, Child

Care Subsidy Unit, ROS Unit, Legally Exempt Enrollment Agencies

Date: March 15, 2013 2013

Re: Guidance on complaints involving legally- exempt providers when the complaint violation is alleging

illegal care, child abuse and maltreatment or both.

_______________________________________________________________________________________

The purpose of this guidance memo is to:

A. Define the terms used to identify types of legally- exempt child care providers;

B. Clarify which agency is responsible for conducting an investigation when a legally-exempt provider is

providing care for which a license or registration is required;

C. Clarify which agency is tasked with responding to child protective reports; and

D. Clarify when information may or may not be shared between the licensor/registrar and staff from the

legally-exempt enrollment agency and local districts.

The term licensor/registrar shall be used in this memo to identify all Office of Children and Family

Services’ inspectors, upstate and Long Island registrars, and staff from the Department of Health and

Mental Hygiene (DOHMH) contracted to provide child day care inspection services in New York

City (NYC).

A. Terminology

Day care licensors and registrars have generally used the term “provider” to identify licensed or

registered caregivers but, in fact, the term provider is also used in reference to legally-exempt

caregivers. The following terms are used to describe different types of legally-exempt providers.

These terms will be used in this memo, so it is important to understand their meaning.

A legally-exempt child care provider or program: is any child care provider or program that

operates in a manner or by an entity not requiring licensure or registration. One example of this type

of legally-exempt provider is a person who cares for two children at his/her home and receives full

2

payment for his/her services from the parent. Another example is a nursery school that operates under

three hours and registration is paid by the parent.

An enrolled legally-exempt child care provider is a legally-exempt child care provider or program, as

described above, but in this case, the provider or program has enrolled with a Legally-Exempt

Caregiver Enrollment Agency (Enrollment Agency) to provide legally-exempt child care services and

collects child care subsidies for this care. The difference between a legally-exempt child care provider

and an enrolled legally-exempt child care provider is that an enrolled legally- exempt provider has

officially enrolled for the purpose of receiving child care subsidy funds for services rendered. As part

of the enrollment process, the legally-exempt provider must meet health and safety requirements set

forth in 18 NYCRR 415. The legally-exempt provider who has not enrolled is not eligible to provide

subsidized child care.

A legally-exempt child care provider in the process of enrollment is a person who has submitted an

enrollment form (OCFS-4699 or OCFS-4700) to an Enrollment Agency to become an enrolled

legally-exempt provider and a decision to allow or disallow the enrollment has not yet been made.

Enrolled providers are easily identified in CCFS as all enrolled statuses begin with the word

“Enrolled”. A legally-exempt child care provider in the process of enrollment may have a CCFS

status of “Intake”, “Preliminary Review” or “Under Full Review”. If you are unsure of the meaning

of any CCFS status, call the associated enrollment agency.

Enrollment Agency: In accordance with the conditions of the federal Child Care Development Fund

(CCDF), enrollment agencies are contracted by New York State Office of Children and Family

Services to promote the health and safety of children receiving subsidies under CCDF and child care

services from legally-exempt child care providers The Enrollment Agency is responsible for

reviewing enrollment forms, determining whether legally-exempt child care providers meet the health

and safety requirements set forth under 18 NYCRR 415, enrolling legally-exempt child care

providers which do meet the health and safety requirements and monitoring the compliance of

enrolled legally-exempt child care providers with 18 NYCRR 415.

B. Determining Responsibility for Complaint Investigations Concerning Illegal Care

Licensors and Registrars:

The Division of Child Care Services licensors and registrars are responsible for the investigation of all

complaints containing the allegation of illegal care. To be clear, this includes complaints against

enrolled legally-exempt child care providers, providers in the process of enrollment and all other

categories of child caregivers when the allegation is that they are providing care, which would by

statute, require a license or registration. An investigation of an enrolled or in the process of enrollment

legally-exempt provider is handled exactly as a licensor/registrar would investigate any other alleged

illegal program. The requirement to become licensed or registered as a child care program does not

change or shelter a legally-exempt, enrolled legally exempt or in the process of enrolling as a legally

exempt provider from law or regulations requiring programs that meet the definitions of day care to be

licensed or registered.

The process for investigating and determining whether illegal care is occurring is the same regardless

of whether or not the name or address is listed in CCFS as an enrolled legally exempt provider or

provider in the process of enrolling. Refer to Policy Statement # 05-2, dated December 19, 2005

3

Cease and Desist Policy Decisions, the Desk Reference “How can I tell whether or not a program

needs to be licensed or registered by OCFS?” and the Complaint Investigation Desk Reference for

more detailed instructions.

Because the enrollment agency does not have authorization to conduct an investigation into an

allegation of illegal child care, it must involve the Regional Office or NYC DOHMH from the

beginning when any of the following situations arise:

o The Enrollment Agency receives written documentation which in itself raises concerns that the

provider is/was operating illegally. Examples of such documentation includes: children’s current

schedules submitted with the enrollment form, Child and Adult Care Food Program (CACFP)

current attendance forms, Local Social Services District (LSSD) current attendance forms.

o When the provider is alleged to be caring for a large number of unrelated children.

o When the assessment of risk of the alleged numbers of children in care places any child in

imminent danger.

Enrollment Agencies reporting an illegal provider may generally have more information to report than

the general public has when making that claim. When an enrollment agency staff reports a program as

operating illegally, the licensor/registrar assigned to the complaint intake call should begin the

investigation by asking pertinent questions of the Enrollment Agency staff. Here are a few suggested

questions:

Is the program operating now? (An allegation or determination of illegal care cannot be made on

the basis of an enrollment form for subsidy funds.)

How many children are currently in care?

Are any of the children in care related to the applicant/provider? (Care for eight related children,

or a total of eight children with two being unrelated, is not illegal.)

What are the hours of operation? and

How long is each child in care for?

The Legally Exempt Provider “profile” page in CCFS (LM01) is a good source of basic information

about enrolled legally- exempt providers and those in the process of enrolling including contact

information for the provider and enrollment agency, the number of subsidized children in care, other

affiliated agencies, hours of operation, etc.

Policy requires that a licensor/registrar go to the site and perform an inspection that includes seeing

and counting children, collecting names, hours of care, and relationships to the provider, however, a

signed statement from the provider taken by the licensor/registrar that attests to operating illegally

could be the basis for determining that the program is illegal, and will be enough to substantiate the

complaint.

If a complaint is reported to the regional office that concerns allegations that do not allege illegal care

but rather contain specific public health and safety concerns when the subject of the allegation is listed

4

in CCFS as an enrolled legally-exempt provider or a provider in the process of enrollment,

licensors/registrar should direct the reporter to the Enrollment Agency with jurisdiction.

Steps for Licensors and Registrars to Take Regarding an Illegal Care Allegation

When a complaint call is made that alleges that illegal care is being provided, the licensor or registrar

will take the following steps:

1. Enter the complaint in the Child Care facility System (CCFS) as prescribed by policy and procedure;

2. Conduct a search of CCFS. If a match is found, examine the Legally Exempt Provider “Profile” page

of the CCFS file for further information

3. Contact or attempt to contact the source;

4. Inspect the program per procedure to determine if the provider is operating illegally (see policy

statement 05-2 C&D Policy Decisions);

5. If you make a determination that the program is operating illegally, and the provider is an enrolled

legally-exempt provider or is in the process of becoming enrolled, contact the local enrollment agency

by phone or email and report your finding(s).

Enrollment agencies for all upstate enrolled legally exempt providers are the Child Care Resource and

Referral Agencies in the county in which the provider is operating. In any of the New York City

boroughs the current enrollment agency is The Women’s Housing and Economic Development

Company (WHEDco) and you may contact WHEDco using the following telephone numbers:

(347)708-7746 or (347)708-7750;

6. If the allegation of illegal care is unsubstantiated but there are health and safety concerns regarding an

enrolled legally-exempt caretaker or those in the process of enrolling, report those issues to the

enrollment agency as well. Child abuse and maltreatment concerns must also be reported to the State

Central Register using the mandated reporter phone line at 1(800) 635-1522.

Steps for Enrollment Staff:

The Regional Office investigation concerning illegal operation does not take the place of any

investigation which the Enrollment Agency may be required to conduct based on its responsibilities

for monitoring compliance with health and safety requirements for enrollment in 18 NYCRR, part

415. When an allegation of illegal care exists concurrently with allegations of health and safety

violations of 18 NYCRR, part 415, each agency must concurrently investigate the allegations falling

within each agency’s jurisdiction

Enrollment Agencies are required to investigate complaints on issues of health and safety concerning

two groups of caregivers: enrolled legally- exempt child care providers and those who are in the

process of enrollment. Enrollment agencies are responsible for the investigation of all complaints

concerning enrollment requirements set forth in 18 NYCRR § 415. If during the inspection of health

and safety issues an enrollment agency becomes aware that an enrolled legally exempt provider or one

5

in the process of enrollment may be providing illegal care, they are required to refer this issue to the

Division of Child Care Services, Regional Offices or, in New York City, the NYC DOHMH, for

follow-up. The Enrollment Agency will refer these cases to the Regional Offices and NYC DOHMH

through the Child Care Compliant line at 1 (800) 732-5207.

Providers or programs that are operating in the legally-exempt category and not as an enrolled legally-

exempt provider or a provider in the process of enrolling as a legally- exempt provider are overseen by

neither the Division of Child Care Services nor the Enrollment Agency. Complaints (unless they are

allegations of operating illegally) on this group of caregivers can be referred, when appropriate, to the

Child Abuse and Maltreatment Register and/or the local police.

In summary, licensors/registrars investigate non-regulated providers or programs when the allegation

against a provider or program is illegal operation, Enrollment Agencies investigate complaints

concerning enrolled legally- exempt providers or persons in the process of enrolling on issues

concerning health and safety program requirements. Providers operating within the law as legally-

exempt providers, who are suspected of child abuse and maltreatment must be referred to the State

Central Register as only child protective has authority to investigate these providers and only in

situations of abuse or neglect.

C. Investigations Concerning State Central Register (SCR) Reports

On occasion, the Division receives a report from the State Central Register of Child Abuse and

Maltreatment (SCR) that alleges that a child attending a “child care program” has been harmed or is

at risk of harm. The reported program may or may not be found in CCFS as a regulated program or

an enrolled legally-exempt provider or a legally exempt provider in the process of enrollment. In any

case, the licensor/registrar has the responsibility to begin an investigation based on its State Central

Register (SCR) assignment to the Division as a child care case. Finding the person in CCFS as an

enrolled legally-exempt provider is not cause to refer the complaint on to the enrollment agency

without first initiating an investigation into whether or not the program is operating illegally.

Division policy is to presume, until proven otherwise by investigation, that programs coded as

child care on an SCR report are operating at numbers that require a license or registration. SCR reports registered on licensed or registered programs are investigated for the abuse and

maltreatment allegations they contain. SCR reports taken on a legally-exempt, enrolled legally-

exempt provider or provider in the process of enrollment are investigated to substantiate or un-

substantiate the status of the program as operating illegally and not the allegation contained in

the SCR report.

Steps in the process:

In all cases when a provider is operating illegally and CPS/OSI is involved, a request for a formal

cease and desist (C&D) action must be referred to Home Office or NYCRO in NYC. The operation as

an illegal program is the focus of our investigation, the Division has no role in investigating the

allegations of abuse or maltreatment when the program is operating illegally and because of this, the

licensor/registrar will confine their attention to this matter only when collaborating with CPS/OSI.

The licensor/registrar may continue to share whatever information they have on the illegal program

6

with CPS/OSI but the Division’s investigation begins and ends with compliant and inspection of the

program as an illegal program. Follow-up inspections are conducted per procedure for a program

substantiated as illegal but there is no follow-up or violation entered in CCFS for the allegation of

child abuse and maltreatment [10(a)].

Upon investigation, if the program reported to the SCR is found to be an enrolled legally-exempt

program or is in the process of enrollment as a legally-exempt provider and is operating illegally, the

licensor/registrar will substantiate the complaint (of illegal care)and complete required follow-up

inspections. The licensor/registrar will end whatever collateral investigation they may have had with

CPS/OSI. In addition, the licensor/registrar will contact the enrollment agency and report that the

program is over the numbers of children permitted in law for legally-exempt caretakers and that a

serious complaint was lodged against the program (the SCR report may not be shared with the

Enrollment Agency). The licensor/registrar will continue to follow-up on the complaint of operating

illegally as per procedure, but no follow-up action takes place and no violation is ever entered in

CCFS for the allegation of child abuse and maltreatment [10(a)].

Upon investigation, if the program is found to be an enrolled legally-exempt program or is in the

process of enrollment as a legally-exempt provider and is operating within its legal limits, the

licensor/registrar will un-substantiate the complaint and ends her/his collateral investigation with

CPS/OSI. In addition, the licensor/registrar will contact the enrollment agency and report that a

serious complaint was lodged against a program that they oversee. The licensor/registrar may share

the details of the complaint allegation such as corporal punishment, lack of supervision, drug abuse or

unsafe conditions in the home. Enrollment agencies investigate violations of 18 NYCRR 415.1 and

415.4 in accordance with the guidance issued separately by the Office. There is no follow-up action

or violation entered in CCFS for the allegation of child abuse and maltreatment [10(a)].

Upon investigation, if the program is found to be operating within the legal definition of a legally-

exempt program, but the provider is not enrolled and not in the process of enrolling as a legally-

exempt provider, the complaint of operating illegally is unsubstantiated and we end our collateral

work with CPS/OSI. No contact with an enrollment agency is required and there is no follow-up

action or violation entered in CCFS for the allegation of child abuse and maltreatment [10(a)].

Death of a Child in Care

If a licensor/registrar learns of a death of a child who was in the care of a legally –exempt provider,

enrolled legally-exempt provider or a provider in the process of enrollment, the licensor/registrar must

share this information with Home Office management (NYCRO in NYC) and the appropriate

enrollment agency. If a suspicion of abuse or maltreatment is learned the State Central Register (SCR)

must also be notified.

7

D. Sharing of Information

When either agency (DCCS or the enrollment agency) has historical records, they may share pertinent

historical information (exceptions below) with each other. Historical information might include any

past licensing history such as complaints or violations, years of operation, addresses, etc.

When requested, the licensing, registration and/or enrollment agency must share non-CPS

relevant information with local social services districts which are monitoring payments,

investigating fraud or performing other functions related to their responsibilities. Information

requests generally are numbers of enrolled children, maximum capacity, attendance sheets,

violation history, Child and Adult Food Program (CACFP) issues or licensing status.

Exceptions to Sharing Information

Some information must not be shared between agencies or within an agency when staff perform

different functions. Child welfare information is highly confidential and access is restricted by law

and regulation.

a. Registrars and licensors must not share with enrollment agencies any information regarding the

existence of reports of child abuse or maltreatment or the activities of the Child Protective

Services (CPS) or in New York City, the Office of Special Investigations (OSI). In addition, the

licensor or registrar may not share who the reporter or source of child protective information

is. This information is confidential by law. However, if a licensor or registrar is in receipt of a

child protective report, the licensor/registrar must enter that information into the Child Care

Facility System (CCFS) as a complaint. The complaint will be entered as one of illegal care only

when the program is not a registered or licensed program. An allegation of child abuse and

maltreatment is not entered [no 10(a)] on complaints of illegal care.

Licensors/registrars are permitted to share the substance of the complaint with the enrollment

agency, even when that substance is identical to what he/she learned from the child protective

report. For example, the licensor/registrar who learns of a child protective report concerning a

child wandering alone through a neighborhood may share information with the enrollment

agency such as: The Division received a complaint regarding an enrolled legally-exempt

provider (name and demographics) that alleges serious supervision concerns in which the child

was found wandering alone in the neighborhood.

b. Enrollment agencies must not share with registrars or licensors information regarding

termination of parental rights or court-ordered removal of a child under Family Court Act Article

10.

Questions concerning this memo may be directed to your supervisor, manager and/or the Regional

Office Support Unit or NYCRO in NYC.

Legally-Exempt Family and In-Home Child Care

Enrollment Form and Attachments

OCFS-LDSS-4699, Enrollment Form for Provider of

Legally-Exempt Family Child Care and Legally-Exempt In-

Home Child Care

OCFS-LDSS-4699.1, Employment of Minors

OCFS-LDSS-4699.2, Legally-Exempt In-Home Child Care

Provider Agreement Form

OCFS-LDSS-4699.3, Legally-Exempt Child Care Provider

Training Record Form

OCFS-4915, History of Criminal Convictions and Parental

Acknowledgement

OCFS-4916, History of Daycare Enforcement and

Parental Acknowledgement

OCFS-4917, History of Termination of Parental Rights

and/or Court-Ordered Article 10 Removal of a Child and

Parental Acknowledgement

OCFS-LDSS-4699 (Rev 6/2011) Page 1 of 16

NEW YORK STATE OFFICE OF CHILDREN AND FAMILY SERVICES

ENROLLMENT FORM FOR PROVIDER OF LEGALLY-EXEMPT FAMILY CHILD CARE AND LEGALLY-EXEMPT IN-HOME CHILD CARE

Child Care providers who are not required by NYS law to be licensed or registered to operate a day care program use this form to enroll with a legally-exempt caregiver enrollment agency to provide subsidized child care.

Instructions: Please use black/blue pen.

Provider: Complete the “Child Care Provider Section” of this form.

Parent/caretaker: Complete the “Parent Information Section” of this form.

The provider and parent/caretaker walk though and inspect the site, review sections of the form, then sign and date where indicated.

Submit the completed form to the enrollment agency serving the location where the child care is being provided.

I. CHILD CARE PROVIDER SECTION

A . C H I L D C A R E P R O V I D E R A N D P R O G R A M

1. Child Care Provider Name:

Mr. Mrs. Ms. Last First MI Suffix

Other names known by: Maiden, married, aliases, etc.

2. Identifying and Contact Information:

Enrollment Number: Site Phone: ( ) Listed Unlisted

(If Applicable)

Date of Birth: / / Home Phone: ( ) Listed Unlisted (mm/dd/yyyy)

Gender (M or F): Cell Phone: ( )

Social Security # 1: E-Mail Address2

: No E-Mail Address

3. Child Care Location: Give address where child care is provided.

House Number Street Apt.

Address Line 2 Floor

City State Zip County

4. Home Address: Is your home address the same as the child care location given above? Yes. No. If No, give address below.




(For Enrollment Agency Use)

Received Date: ___________

Complete Date:

(For Local District Use) WMS

Parent’s Case No.:_______________________ Type: Local

LSSD Office/Unit/Wkr. No.: / /

1 The social security number is required when the local social services district issues child care subsidy payments directly to a child care provider.

Failure to provide the social security number may delay payment. The social security number of provider is optional when a local social services

district issues child care subsidy checks to the subsidy recipient (parent/ caretaker). If the social security number is provided, it may be used by

federal, State and local agencies for federal reporting, to prevent the duplication of services and to prevent fraud. 2 The E-mail address if given may be used by the enrollment agency to contact you.


5. Mailing Address: Is your mailing address the same as the child care location or home address given above? Yes, same as child care location. Yes, same as home address. No. If No, give address below.




6. Were you previously enrolled as a legally-exempt child care provider? Yes. If Yes, give year enrolled, ________, and county where you resided, _____________________. No.

7. List below the Counties/Districts issuing subsidy payments for child care that you currently provide.

District: Local ID/Vendor Number3 if any:

District: Local ID/Vendor Number, if any:

District: Local ID/Vendor Number, if any:

8. Do you read English? Yes. No. If No, what language do you read best? ____________________.

9. Do you speak English? Yes. No. If No, what language do you speak best? ____________________.

10. Does any other person provide child care at the SAME location you intend to provide child care? Yes. Describe: ____________________________________________________________________ No.

B . T Y P E O F L E G A L L Y - E X E M P T C H I L D C A R E T H A T Y O U P R O V I D E :

1. Choose the statement which describes the child care services you provide. Check A, B, or C. Provide additional information as indicated.

A) I am an “In-Home Child Care” Provider. I provide care in the child’s home and l care only for children who live in the home. (Provider and parent/caretaker: Please read the OCFS-LDSS-4699.2A, then complete and ATTACH the OCFS-LDSS-4699.2, Agreement For Legally-Exempt In-Home Child Care form.)

B) I am a “Family Child Care” Provider. I provide care in my own home, or another person’s home. I care for at least one child who does not live in the home where care is given. (Choose 1, 2, or 3 below, whichever describes your situation best.)

1) Relative Care- I am either the grandparent, great-grandparent, great-great-grandparent, aunt/uncle, great aunt/great uncle, brother/sister or first cousin of ALL the children in care; OR

2) I care for no more than 2 children (not counting my own children or any children older than 13 years); OR

3) I care for 3 or more children. However, I never have more than 2 children in care at the same time for more than three hours a day.

C) Other--I provide care other than choices A or B above. Explain: ___________________________

______________________________________________________________________________

______________________________________________________________________________

(You cannot be enrolled until you prove that you are legally-exempt from the licensing and registering requirements).

2. Are you less than 18 years of age?

Yes. You must comply with the NYS Department of Labor’s requirements. Provide the documents listed below to show you meet the requirements. Check to show item is attached.

I have ATTACHED the OCFS-LDSS-4699.1, Employment of Minors Form (Rev. 2010).

I have ATTACHED a copy of my working papers which are required if I am a minor providing Family Child Care. (Not required for “In-Home” child care providers.)

No.

3 Provider/Vendor Number is an identifying number assigned and used by the local social services district to track the provider.


C . P E O P L E W H O M A Y B E P R E S E N T A T C H I L D C A R E L O C A T I O N

People who are present at the child care location when child care is provided and may have contact with child(ren) you care for must have background checks as required by NYS health and safety regulations. These checks apply to the following people:

An employee-a person you hire to work at the child care location.

A volunteer-a person who is sometimes at the child care location and who may have contact with the children you provide care for.

For family child care, a household member-a person who lives in the home where care is provided.

NOTE: The enrolled child care provider is the person authorized to care for the subsidized child(ren). The enrolled child care provider must be present and supervising at all times. Employees, volunteers and household members CANNOT substitute for

the provider in caring for the child(ren) and cannot be left alone with the child(ren).

1. Do you have any employees or volunteers, as described above? No. Yes. If yes, list all in Table 1, below and attach more sheets as necessary.

TABLE 1-CHILD CARE PROVIDER'S VOLUNTEERS AND EMPLOYEES

NAME (INCLUDE AND SPECIFY MAIDEN NAME AND ANY OTHER ALIAS NAMES BY WHICH VOLUNTEERS

AND EMPLOYEES MAY BE KNOWN)

ROLE: EMPLOYEE,

OR

VOLUNTEER

GENDER

(M OR F)

DATE OF

BIRTH

A) / / Last First MI Suffix

B) / / Last First MI Suffix

C) / / Last First MI Suffix

D) / / Last First MI Suffix

E) / / Last First MI Suffix

2. Only “Family Child Care” providers must answer this following question: Are there any adults, age 18 and older, (not including the child care provider) living in the residence where child care is given? This includes: family members, non-family members, renters sharing the home, apartment mates, adults placed in your care, and any other adult person who lives in the residence where child care is provided.

No. Yes. Identify in Table 2 below everyone who lives in the residence where care is provided. Attach more sheets

as necessary.

TABLE 2-HOUSEHOLD MEMBERS AGE 18 AND OVER, LIVING AT CHILD CARE SITE

NAME (INCLUDE AND SPECIFY MAIDEN NAME AND ANY OTHER ALIAS NAMES BY WHICH HOUSEHOLD MEMBERS

MAY BE KNOWN)

GENDER (M OR F)

DATE OF

BIRTH

A) / / Last First MI Suffix

B) / / Last First MI Suffix

C) / / Last First MI Suffix

D) / / Last First MI Suffix

E) / / Last First MI Suffix

F) / / Last First MI Suffix


D . O T H E R Q U A L I F I C A T I O N S & P R O G R A M C H A R A C T E R I S T I C S

1. PROVIDER ’S ELIGIBILITY FOR ENH ANCED RATE BASED ON TR AINING

Have you completed in the past 12 months, 10 hours of training aimed at improving the quality of the care you provide?

Yes. If Yes, you may be eligible to receive an enhanced rate. ATTACH the OCFS-LDSS-4699.3- Legally-Exempt Child Care Provider Training Record and your training certificates.

No.

2. FEDER AL FOOD PROGRAM ASSISTANCE

The Child and Adult Care Food Program (CACFP) helps Family Child Care programs to pay for meals and snacks served to child(ren) in care. Are you currently participating in CACFP?

A) No. If you want information about CACFP call: 1(800) 942-3858. B) Yes. If “yes”, provide information about your participation in CACFP and ATTACH proof of your participation

dated within the past 12 months below:

1) Sponsor Agency Name: _____________________________________________

2) Sponsoring Agency ID Number (if known): _______________________________________

3) Your CACFP Provider Number:________________________________________

4) Agreement Number: ________________________________________________

5) Proof of Participation: Type of Proof: (Check below to show proof attached)

Date on Proof:_____________ CACFP Claim Reimbursement Stub

CACFP Monitoring Checklist (DOH-4118)

CACFP Continuous Application and Agreement (DOH-3705)

3. AM OUNT YOU CH ARGE

Do you charge parents receiving subsidy the same amount that you charge parents for non-subsidy child(ren) of the same age and similar care?

A) Yes.

B) No. If, No choose the statement below which describes the amount you charge.

1) I charge parents receiving subsidy less than I charge other parents.

2) I charge parents receiving subsidy more than I charge other parents.

4. ADMINISTR ATION OF MEDIC ATION

NYS Law restricts the right to administer medication other than over-the-counter topical ointments, sunscreen and topically applied insect repellent to specific medical professionals who are authorized by NYS to administer medication. Some individuals are exempt from this requirement based on their relationship to the child, family, or household and are permitted to administer medications, including:

The child’s parent/caretaker, step-parent, legal custodian, legal guardian, or member of the child’s household,

A child care provider employed by the parent/caretaker to provide child care in the child’s home,

Family members who are related within the 3rd

degree of consanguinity to the child’s parent or step parent. This includes the child’s grandparent, great-grandparent, great-great grandparent, aunt/uncle (and spouse), great aunt/uncle (and spouse), first cousin (and spouse), and brother /sister.

Child care providers who are trained and authorized by the Office of Children and Family Services (OCFS) under the Health Care Plan for Administration of Medication, approved by a qualified health care consultant, and who are:

o Operating in compliance with the NYS regulation which includes receiving training on medication administration,

o Authorized by the child’s parent/caretaker, step parent, legal guardian, or legal custodian to administer medication, and

o Administering medication to subsidized children in care. To receive OCFS authorization to administer medication, a child care provider must be at least 18 years of age and literate in the language in which the parental permissions and health care provider’s instructions will be given. Any person who is NOT AUTHORIZED by NYS Law or NOT EXEMPT from this legal requirement, may ONLY administer over-the-counter topical ointments, sunscreen and topical insect repellent. Examples of medication they MAY NOT ADMINISTER include, but are not limited to: Tylenol, Ritalin, insulin, antibiotics, and ear, eye, or nose drops.


A) Are you, your employees or volunteers LEGALLY PERMITTED to administer medication to child(ren) in subsidized care? Check all statements that apply to you. Provide all other information as it applies.

1) Yes. I am RELATED within the 3rd degree by blood or marriage to the child(ren)’s parent or step-parent. Therefore, I am allowed to administer medication to the child(ren) following the health care provider’s instructions and when I have appropriate permission from the parent.

I am grandparent of:

I am great-grandparent of:

I am great-great-grandparent of:

I am aunt/uncle of (includes spouse) of:

I am great aunt/great uncle (includes spouse) of:

I am first cousin (includes spouse) of:

I am brother/sister of:

2) Yes. I am PROVIDING CARE IN THE HOME of the following child(ren): ___________________ _____________________________________________________________________. Therefore, I am PERMITTED to administer medication to these children when I have appropriate permission from the parent and I am following the health care provider’s instructions.

3) Yes. I am a NYS medical professional AUTHORIZED BY NYS DEPARTMENT OF EDUCATION (NYSED) to administer medication. Therefore, I am allowed to administer medication to child(ren) in my care when there are appropriate permissions from the parent and when following the health care provider’s instructions.

a) My profession is (check one): Registered Nurse Nurse Practitioner Physician Physician Assistant

b) License number: ________________________ I have attached a copy of my current NYS professional medical license. (Required).

4) Yes. I HAVE a Health Care Plan for the Administration of Medication (OCFS-LDSS-7000) approved within the past 2 years. Therefore, the qualified medications administrant named below is AUTHORIZED BY OCFS to administer medication to subsidized children in my care according to the health care provider’s instructions and when there are appropriate permissions from the parent.

a) Plan approval date: _____________________ I have attached a copy of the first page AND the approval page of my Health Care Plan for

the Administration of Medication (OCFS-LDSS-7000). b) Name of the qualified Medications Administrant: _________________________________. c) Health Care Consultant (HCC) name: __________________________________________. d) Health Care Consultant Profession (check one):

Registered Nurse Nurse Practitioner Physician Physician Assistant

e) License Number: _________________________________.

5) No. None of the above permissions apply to me. I am not authorized by OCFS or NYSED. I understand I cannot administer medication to the child(ren) in care, except: Over-the-counter topical ointments, sunscreen, and topically applied insect repellent.

B) Are you interested in seeking authorization to administer medication to child(ren) in subsidized care?

Yes. I want to learn how to start the process. Please send me the OCFS-LDSS-7007, Obtaining Authorization to Administer Medication to Children in Legally-Exempt Care.

No. I will not be seeking authorization to administer medication at this time.

C) I agree I will administer medication in compliance with NYS Law and only to the extent that I am permitted by NYS Law which I have indicated by my choice on this page above. Yes. No.

D) If I have employees or volunteers, I will make sure that each of my employees and volunteers administers medication in compliance with NYS Law and only to the extent permitted by NYS Law. Yes. No.


5. HOURS OF OPER ATION

What hours do you generally provide care? Check all that apply.

Mornings Afternoons Evenings Overnight Back-Up Only

Before School After School

Weekends Saturday Sunday

Weekdays Monday Tuesday Wednesday Thursday Friday

E . V E R I F I C A T I O N O F L E G A L L Y E X E M P T S T A T U S

1. CHILD CARE SCHEDULE S

A) For each subsidized child you provide child care for or plan to provide care for, provide ALL the requested information.

B) For each non-subsidized child provide the same information, except DO NOT provide the Child’s LAST name.

CHILD INFORMATION AND CHILD CARE SCHEDULES

CHILD NAME: CHILD NAME: CHILD NAME:

CHILD AGE: CHILD AGE: CHILD AGE:

PARENT NAME: PARENT NAME: PARENT NAME:

PROVIDER’S RELATIONSHIP TO THE CHILD: PROVIDER’S RELATIONSHIP TO THE CHILD:

PROVIDER’S RELATIONSHIP TO THE CHILD:

SUBSIDY CASE? YES NO SUBSIDY CASE? YES NO SUBSIDY CASE? YES NO

SCHEDULE OF CHILD CARE SCHEDULE OF CHILD CARE SCHEDULE OF CHILD CARE

DROP OFF PICK UP HRS / DAY DROP OFF PICK UP HRS / DAY DROP OFF PICK UP HRS / DAY

MONDAY AM AM AM AM AM AM

PM PM PM PM PM PM

TUESDAY AM AM AM AM AM AM

PM PM PM PM PM PM

WEDNESDAY AM AM AM AM AM AM

PM PM PM PM PM PM

THURSDAY AM AM AM AM AM AM

PM PM PM PM PM PM

FRIDAY AM AM AM AM AM AM

PM PM PM PM PM PM

SATURDAY AM AM AM AM AM AM

PM PM PM PM PM PM

SUNDAY AM AM AM AM AM AM

PM PM PM PM PM PM

TOTAL HOURS PER WEEK TOTAL HOURS PER WEEK TOTAL HOURS/ PER WEEK

CHILD INFORMATION AND CHILD CARE SCHEDULES

CHILD NAME: CHILD NAME: CHILD NAME:

CHILD AGE: CHILD AGE: CHILD AGE:

PARENT NAME: PARENT NAME: PARENT NAME:

PROVIDER’S RELATIONSHIP TO THE CHILD: PROVIDER’S RELATIONSHIP TO THE CHILD:

PROVIDER’S RELATIONSHIP TO THE CHILD:

SUBSIDY CASE? YES NO SUBSIDY CASE? YES NO SUBSIDY CASE? YES NO

SCHEDULE OF CHILD CARE SCHEDULE OF CHILD CARE SCHEDULE OF CHILD CARE

DROP OFF PICK UP HRS / DAY DROP OFF PICK UP HRS / DAY DROP OFF PICK UP HRS / DAY

MONDAY AM AM AM AM AM AM

PM PM PM PM PM PM

TUESDAY AM AM AM AM AM AM

PM PM PM PM PM PM

WEDNESDAY AM AM AM AM AM AM

PM PM PM PM PM PM

THURSDAY AM AM AM AM AM AM

PM PM PM PM PM PM

FRIDAY AM AM AM AM AM AM

PM PM PM PM PM PM

SATURDAY AM AM AM AM AM AM

PM PM PM PM PM PM

SUNDAY AM AM AM AM AM AM

PM PM PM PM PM PM

TOTAL HOURS PER WEEK TOTAL HOURS PER WEEK TOTAL HOURS/ PER WEEK


2. CHILD(REN) IN THE PROVIDER ’S CARE

A) How many of your own child(ren) do you care for at this child care location during child care hours? Give numbers below. Do not leave spaces blank. Write “zero,” if applicable.

1) Age newborn through 4 years: _______.

2) Age 5 through 12 years old: _______.

B) Are you caring for any children, other than your own, who are NOT receiving child care subsidy funds?

1) Yes. If yes, indicate the number of non-subsidized children, other than your own, below.

a) Number of relative non-subsidized children:_________.

b) Number of non-relative non-subsidized children: _________.

Note: All non-subsidized children in care MUST be listed on the preceding schedule page.

2) No.

C) Have you started providing child care for all of the children whose schedules you listed above?

1) Yes.

2) No. If No, when care will begin? ___________________________________________________

NOTE: Any changes in the number of children you care for, the hours you provide care and the location where you provide care may affect your eligibility as a legally-exempt child care provider and/or require that you become licensed or registered to operate a day care program. Such changes must be reported to the enrollment agency immediately.

F . H E A L T H A N D S A F E T Y C H E C K L I S T

The provider and parent/caretaker inspect the child care location and complete this section together. I meet and agree to continue to meet the basic health and safety requirements listed below. Check an answer for each item below.

YES NO The provider meets the following basic health and safety requirements before caring for children:

1. The provider and all children have two separate & remote ways to leave the building in an emergency.

2. The rooms for children at my child care location are well-heated, well-lighted and well-ventilated.

3. My child care location is free of unsafe areas (such as swimming pools, open drainage ditches, wells, holes, wood or coal burning stoves, fireplaces, and gas space heaters). If there are unsafe areas, sturdy barriers are in place around the areas that keep the child(ren) from getting to them.

4. If child care is provided above the first floor, there are barriers or locks on the windows so the child(ren) cannot fall out.

5. The water supply at my child care location is safe. I have working toilets. There is hot and cold running water all the time.

6. I, all employees, and volunteers who are likely to have regular contact with the child(ren) are physically, emotionally and mentally able to provide child care.

7. I, all employees, and volunteers who are likely to have regular contact with the child(ren) are free from any communicable diseases that pose a risk to the health and safety of the child(ren) in care. If I, any employee, or volunteer who is likely to have regular contact with the child(ren) has a communicable disease, I must have a statement from such person’s health care provider that indicates that the presence of a communicable disease does not pose a risk to the health and safety of the child(ren) in care.

I have ATTACHED a doctor’s statement, if I, any employee or volunteer who is likely to have regular contact with the child(ren) has a communicable disease and that such disease does not pose a risk to the health and safety of the child(ren) in care.


8. My child care location is free of any dangerous or unsafe conditions that could hurt a child(ren). This includes but is not limited to: Knives and other sharp objects are out of the reach of child(ren).

Small rugs, runners, and electrical cords are held in place so a child won’t trip.

Electrical cords do not run under furniture or rugs and are out of the reach of small children.

Extension cords are not overloaded.

Any guns and other firearms are unloaded and stored in a locked drawer or cabinet and the key is kept in a safe place. Ammunition is locked separately.

Cords to window blinds and shades are out of the reach of child(ren).

Hot liquids are out of the reach of children.

Small items that the child(ren) could choke on are out of the child(ren)'s reach.

Carbon monoxide detectors are installed where the child(ren) that I provide care for sleep or nap and on each story of the home where care is provided where a carbon monoxide source is located.

9. All matches, lighters, medicines, drugs, cleaning materials, detergents, aerosol cans, and other poisonous or toxic materials are stored in their original containers. Care is taken so that they do not come in contact with child(ren), where food is prepared, or otherwise may be a danger to the child(ren). I store all of these materials safely away from the child(ren).

10. I will give each child(ren) meals and snacks according to what the parent/caretaker and I have agreed.

11. I will refrigerate milk, formula and any other food that goes bad if not refrigerated.

12. I agree not to heat formula, breast milk and other food items for infants in a microwave oven.

13. I will always allow the custodial parent/caretaker or caretaker to have unlimited access to his/her child(ren) in care, to the program site while the child(ren) is in care, and to any written records concerning the child(ren).

14. I will hold fire/evacuation drills monthly with child(ren) during hours that the child(ren) are in care so that the child(ren) and I will know what to do in the case of an emergency.

15. I have a working telephone OR can get to one very quickly in an emergency. Emergency telephone numbers for the fire department, local or State police or sheriff's department, poison control center and ambulance service are posted near the phone and are easy to see.

16. I will use protective caps, covers or permanently installed safety devices on all electrical outlets that a child(ren) could reach when I am caring for a child(ren) under 5 years old.

17. Paint and plaster are in good repair so that there is no danger of a child(ren) putting paint or plaster chips in their mouths or of it getting into food.

18. I have at least one operating smoke detector on each floor of my child care location. I will check regularly to make sure all detectors work.

19. I have a portable first aid kit at my child care location that is easy to get to in an emergency and my first aid supplies are kept in a clean container or cabinet away from child(ren). It is stocked to treat common childhood injuries and problems. I will always replace things in the first aid kit as soon as possible after something has been used or is too old to be used.

20. I have RECEIVED from the child(ren)’s parent/caretaker:

Signed proof from a doctor or other health care provider that: the child(ren) has received all of the immunizations appropriate for the child(ren)’s age; OR

Proof that one or more of the immunizations would harm the child(ren)'s health; OR

A statement saying that the child(ren) has not been immunized due to the parent/caretaker's religious beliefs.

21. The stairs, railings, porches and balconies are in good repair.

Only Family Child Care providers must answer question number 22 below.

YES NO The provider meets the following basic health and safety requirements before caring for the child(ren):

22. All persons living in the home where care is given are free of any communicable diseases. If any person living in the home does have a communicable disease, I must have a statement from the person’s health care provider that indicates that the presence of a communicable disease does not pose a risk to the health and safety of the child(ren) in care.

I have attached a doctor’s statement, if any person living in home has a communicable disease and that such disease does not pose a risk to the health and safety of the child(ren) in care.


G . P R O V I D E R B E H A V I O R A L C O N D I T I O N S

All child care providers must answer the questions below.

YES NO The provider meets and agrees to continue to meet the following basic health and safety requirements before caring for the child(ren):

1. I understand and agree that I will never use physical punishment or let others use physical punishment while child(ren) are in my care. Physical punishment means doing things directly to a child(ren)’s body to punish child, such as:

Spanking, biting, slapping, shaking, twisting, or squeezing;

Making the child(ren) do physical exercises beyond what is normal;

Forcing the child(ren) to stay still for long periods of time;

Making the child(ren) stay in positions that hurt the child or are bizarre;

Bathing the child(ren) in unusually hot or cold water; and

Forcing child(ren) to eat or have in child(ren)'s mouth soap, foods, hot spices or foreign substances.

2. I understand and agree that I will never use or be under the influence of alcohol or drugs while children are in care and will make sure that child(ren) being cared for do not have contact with people using drugs or alcohol.

3. I understand and agree that I will not smoke or allow smoking in indoor areas or other enclosed areas, such as cars or other vehicles, when child(ren) are present.

4. I understand and agree that I will never leave child(ren) alone or unsupervised.

5. I understand and agree that I will ALWAYS be present when the child(ren) are in the care of employees, volunteers and if care is provided in a home other than the child’s home, household members.

H . R E L E V A N T H I S T O R Y - P E O P L E A T T H E C H I L D C A R E L O C A T I O N

1. PROVIDER ONLY

A) PROVIDER TERMINATION OF PARENTAL RIGHTS

I certify and attest that (check one):

1) I have never had my parental rights terminated under Social Services Law 384-b or equivalent legal authority.

2) I have had my parental rights terminated under Social Services Law 384-b or equivalent legal authority.

I have ATTACHED the OCFS-LDSS-4917, History of Termination of Parental Rights and/or Court Ordered Article 10-Removal of a Child and Parental Acknowledgement form

4 .

B) PROVIDER COURT ORDERED ARTICLE 10 REMOVAL

I certify and attest that (check : one):

1) I have never had a child(ren) removed from my care by court order in a proceeding under Article 10 (child protective) of the Family Court Act.

2) I have had a child(ren) removed from my care by court order in a proceeding under Article 10 (child protective) of the Family Court Act.

I have ATTACHED the OCFS-LDSS-4917, History of Termination of Parental Rights and/or Court Ordered Article 10-Removal of a Child and Parental Acknowledgement form

4.

C) PROVIDER DAY CARE ENFORCEMENT

Note: A child “day care” program includes licensed or registered day care centers, family day care homes, group family day care homes, small day care centers and/or school age child care programs.

1) I certify and attest that (check : one): I have had an application for a license or registration to operate a child day care program denied.

I have not had an application for a license or registration to operate a child day care program denied.

2) I certify and attest that (check : one): I have had a license or registration to operate a child day care program revoked or suspended.

I have not had a license or registration to operate a child day care program revoked or suspended.

3) If you have been denied a license or registration to operate a child day care program, or if you have had a license or registration to operate a child day care program revoked or suspended, complete the following:

a) Program Name and Location:______________________________________________________ OCFS-LDSS-4699 (Rev 6/2011) Page 10 of 16

4 If you need a copy of this form, please contact your local social services district or your legally-exempt caregiver enrollment agency.

b) I have ATTACHED the OCFS-LDSS-4916, History of Day Care Enforcement and Parental Acknowledgement

4 .

2. PROVIDER , EMPLOYEES , VOLUNTEERS , AND HOUSEHOLD MEMBERS

A) CRIMINAL HISTORY

1) I have listed on subsection I. C of this form: ALL employees, volunteers, and if I provide care in a home other than the child’s home, all of the household members, 18 years of age or older who are likely to have regular contact with the child(ren) in care.

Yes. No.

2) If I provide care in a home other than the child(ren)’s home, I also have listed all household members on subsection I. C of this form.

3) I certify that I have asked the following people if they have been convicted of a crime:

Each person living in the home (other than the child(ren)’s own home) who is age 18 or over,

Each volunteer who is likely to have regular contact with child(ren) in care, and

Each employee. Yes. No.

4) Have you, your employee, or your volunteer ever been convicted of a crime in New York State or any other place?

Yes. Give name(s) of person(s) convicted ___________________________________________. I have ATTACHED a completed OCFS-LDSS-4915, History of Criminal Convictions and Parental

Acknowledgement for each person with a criminal history.

No.

5) For provider type of Family Child Care only: has any person living in the home where care is given and who is 18 years of age or older been convicted of a crime in New York State or any other place?

Yes. Give name(s) of person(s) convicted: ________________________________________.

I have ATTACHED a completed OCFS-LDSS-4915, History of Criminal Convictions and Parental Acknowledgement for each household member with a criminal history.

No.

B) INDICATED REPORTS OF CHILD ABUSE AND MALTREATMENT

I have asked ALL employees, volunteers, and individuals who may be helping to care for or who have regular contact with the child(ren), and, if I provide care in a home other than the child(ren)’s home, all household members 18 years of age or older, if they have been the subject of an indicated report of child abuse or maltreatment. I have informed the parent/caretaker whether I or any of these individuals have been the subject of any indicated reports of child abuse or maltreatment. When an indication of child abuse or maltreatment exists, I have given the parent/caretaker, in writing, true and accurate information, including:

a description of the incident(s), and

the date of the indication(s), and

any other relevant information regarding the indication(s).

Yes.

No.

I . P R O V I D E R A G R E E M E N T S A N D C E R T I F I C A T I O N S

1. SUBMITTING UPDATES AND CHANGES OF ENROLLMENT INFORMATION I will immediately submit a new enrollment form to the enrollment agency if I start providing child care at a child

care location different from the one given on this form.

I will inform the enrollment agency immediately if there are changes in:

my contact information,

the child(ren) I care for, or, the hours that I provide care,

the people who have contact with the child(ren) in my care,

any information provided on the enrollment form or changes to the attachments.

I will inform the enrollment agency immediately when:

Any person 18 years or older moves into the household where “Family Child Care” is provided or stays there for more than a few days (Family Child Care only).


Any child(ren) living in the household where “Family Child Care” is provided, turns 18. (Family Child Care only)

I hire or receive help caring for the child(ren).

2. HEALTH AND SAFETY REQUIREMENTS

I understand that I cannot be enrolled and payment cannot be made until all items marked “No” on the Health and Safety Checklist and Provider Behavioral Conditions Checklist have been corrected.

I will continue to meet all the basic health and safety requirements listed on the checklists and

The parent/caretaker and I have inspected the home and completed the Health and Safety Checklist and Provider Behavioral Conditions Checklists together.

I will notify and provide documentation to the enrollment agency when any item on the checklists has been corrected or changed.

3. INFORMATION SHARING AND DATABASE CHECKS I authorize the enrollment agency and the Child and Adult Care Food Program (CACFP) to exchange

information regarding my child care enrollment status and my participation in the CACFP. I understand the enrollment agency and the local social services district will exchange information regarding

my child care enrollment status. I understand that the local social services district will check its child welfare database for my history of any

court ordered removal of a child under Family Court Act (FCA) Article 10 and any termination of parental rights.

I understand that the enrollment agency will check the New York State Sex Offender Registry to determine if I, any volunteer who is likely to have regular contact with child(ren) in care, any employee, and for the legally-exempt family child care provider, any person living in the home where child care is provided, age 18 years or older is listed on the Sex Offender Registry.

I understand that the enrollment agency will check the New York State Child Care Facility System to determine whether I have ever been denied a child day care license or registration or had a child day care license or registration suspended or revoked.

4. ELIGIBILITY AND PAYMENT I understand I cannot be paid as a legally-exempt child care provider if I am the child(ren)’s parent, stepparent,

adoptive parent, legal guardian or other person legally responsible for that child(ren), or, if I live in the same household and have a child(ren) in common with the parent.

I agree to collect the family share (fee) if instructed to do so by the local social services district. I will immediately notify the local social services district if the parent/caretaker fails to pay the required family share.

I agree to provide accurate attendance records in a timely manner, as required by the local social services district.

I understand that I will not be paid by the local social services district for any child care that I provide to a child(ren) receiving a child care subsidy while I am deemed an ineligible provider by the enrollment agency.

I understand that I must be enrolled with the enrollment agency before any payment may be made. I understand that I may not be eligible to provide child care AND that the local social services district may not

be able to pay me when:

I have a history of Article 10 (child protective) removal of a child by family court order, or

I have a history of termination of parental rights, or

I have a history of denial, revocation and/or suspension of a license or registration to operate a child day care program or

I, any volunteer who is likely to have regular contact with the child(ren), any employee, or, for family child care, any person age 18 years or older living in the home has been convicted of a crime.

I understand I am not eligible to provide child care if I, any volunteer who is likely to have regular contact with the child(ren), any employee, or person living in the home (other than the child(ren)’s home) age 18 years or older has been convicted of a crime against a child or is listed on the Sex Offender Registry.

I understand that if the enrollment agency determines I cannot be enrolled, then the local social services district cannot issue payment for care that I have provided. The parent/caretaker has the right and responsibility to decide whether he/she wants to use my child care services. If the parent/caretaker chooses to use my child care services when I cannot be enrolled, the parent/caretaker is responsible to pay me for the child care.


5. OTHER AGREEMENTS I understand and agree to allow representatives of the enrollment agency, the local social services district and

the State of New York access to the premises where subsidized child care is provided to confirm that information on my enrollment form and/or on attendance forms is true and accurate and that child care services are being provided as listed on these forms. I understand that if I do not allow such access, then I will be considered an ineligible provider, my enrollment will be terminated and I will not be paid by the local social services district.

I understand that if I am denied enrollment I may request that the enrollment agency review any extenuating circumstances to determine if an exception could be made to allow me to provide child care. If I request an exception, I must provide all documents or references required by the enrollment agency.

I understand and agree to meet all of the conditions stated on this form for as long as I am providing child care. I understand that I am required to inform the enrollment agency and the parent/caretaker if there is a change in the information stated on the enrollment form.

6. PROVIDER CERTIFICATION

By signing this form I certify to the best of my knowledge that:

I understand and agree to continue to meet all of the conditions stated above. I have reviewed the “Parent Information Section” of this form. I understand the decision to enroll me is based on the facts provided and attested to on the enrollment form.

Providing false information or deliberately concealing information may result in an inaccurate determination of my eligibility to provide subsidized child care, and/or a denial or termination of enrollment. If I provide child care services while enrolled under false pretenses, or while I am an ineligible child care provider, the Local Social Services District may refuse to issue child care subsidy payments, terminate child care subsidy payments, take legal action against me or the parent/caretaker and I may be required to repay any money I receive for such services.

Under the penalty of perjury, I agree that to the best of my knowledge all statements made on this enrollment form and any attachments to it are true and accurate.

PROVIDER SIGNATURE:

X

DATE:


ENROLLMENT FORM FOR PROVIDER OF LEGALLY-EXEMPT FAMILY

CHILD CARE AND LEGALLY-EXEMPT IN-HOME CHILD CARE

II. PARENT INFORMATION SECTION The parent/caretaker receiving or applying for child care subsidy must complete this section AND review the “Child Care Provider” Section.

A . P A R E N T / C A R E T A K E R5 I N F O R M A T I O N

1. Parent/Caretaker’s Name:

Mr. Mrs. Ms. Last First MI Suffix

Other names known by: Maiden, married, aliases, etc.

2. Identifying and Contact Information:

Date of Birth: / / Home Phone: ( ) Listed Unlisted (mm/dd/yyyy)

Work Phone: ( )

Cell Phone:( )

E-Mail Address6: No E-Mail Address

3. Do you read English? Yes. No. If No, what languages do you read best? ___________________. 4. Do you speak English? Yes. No. If No, what languages do you speak best? ___________________. 5. Is the child care provided in your home? Yes. No.

6. Give your home address below

Home Address:



City State Zip County/Borough

7. Mailing Address: Is your mailing address the same as your home address? Yes. No. If your mailing address is different from your home address please give your mailing address below.



City State Zip

8. Provide information about your Child Care Subsidy case:

Subsidy Paying County: Temporary Assistance No.7:

Subsidy Case Number7: Parent’s CIN Number

7:

5 Caretaker means the child’s parent, legal guardian, caretaker relative or any other person with whom a child lives who has assumed responsibility

for the day-to–day care and custody of the child. 6 The e-mail address if given may be used by the enrollment agency to contact you.

7 The temporary assistance number, subsidy case number and parent’s CIN (client identification number) are optional. If provided, they will be used

to facilitate information sharing with the local social services district regarding your eligibility and payment for child care.


B . Y O U R C H I L D ( R E N ) I N T H E P R O V I D E R ’ S C A R E

1. L IST YOUR CHILD(REN) TH AT THE PROVIDER CARES FOR

Add additional sheets if necessary.

A) Child’s Name:

Date of Birth: / / Last First (mm/dd/yyyy)

Provider’s Relationship to Child: Child’s CIN8:

B) Child’s Name: Date of Birth: / / Last First (mm/dd/yyyy)

Provider’s Relationship to Child: Child’s CIN:

C) Child’s Name: Date of Birth: / / Last First (mm/dd/yyyy)


D) Child’s Name: Date of Birth: / / Last First (mm/dd/yyyy)


2. MY CHILD(REN) ’S MEDIC ATION NEEDS

I understand that child care providers cannot administer medication to the child(ren) except as follows:

o Any child care provider may administer only over-the-counter topical ointments, insect repellent, and sunscreen with the parent’s permission.

o When the child care provider provides care in the child(ren)’s home, the provider may administer over-the-counter medicine and prescription medication with the permission of the parent and following physician’s instructions.

o When the child care provider is related to the child(ren)’s parent or stepparent within the 3rd

degree of consanguinity (blood or marriage), the provider may administer over-the-counter medicine and prescription medication with the permission of the parent and following physician’s instructions. The child care provider must have one of the following relationships to be considered a relative within the 3

rd degree.

o the child’s grandparent, o the child’s great-grandparent,

o the child’s great-great-grandparent, o the child’s aunt/uncle (and spouse),

o the child’s great aunt/great uncle (and spouse), o the child’s brother/sister

o the child’s first cousin (and spouse),

o When the child care provider is a licensed physician, physician’s assistant, registered nurse, or nurse practitioner, the provider can administer prescription and over-the-counter medication to subsidized child(ren) with the parent’s permission parent and following physician’s instructions.

o When the child care program is authorized by OCFS and following a Health Care Plan for the Administration of Medication, the medications administrant designated in the Health Care Plan for the Administration of Medication may administer over-the-counter medication and some prescription medication to subsidized child(ren) with the permission of the parent and following physician’s instructions.

8 Client Identification Number (CIN) is optional, if given, it will be used to facilitate information sharing with the local social services

district regarding your eligibility and payment for child care.


I have read the “Provider’s Qualifications to Administer Medication” in Provider Section I, and “My Child(ren)’s Medication Needs”, above, and I understand the extent to which my child care provider is legally permitted to administer medication to my child(ren). My child care provider and I have agreed that:

The parent will be responsible for the medication needs of the following child(ren):

_______________________________________________________________________________.

The provider will be responsible for the medication needs of the following child(ren):

________________________________________________________________________________.

3. MY CHILD(REN) ’S MEALS AND SN ACKS

For each child(ren) listed on the preceding page, either the parent or the provider must provide meals and snacks. Who will provide meals and snacks for your child(ren) while in care?

The parent will be responsible for the meals and snacks for the following child(ren):

______________________________________________________________________________.

The provider will be responsible for the meals and snacks for the following child(ren):

______________________________________________________________________________.

C . R E L E V A N T H I S T O R Y O F P R O V I D E R A N D P E O P L E A T T H E C H I L D C A R E

L O C A T I O N

1. I understand the child care provider must tell me whether the following people, who may be in contact with my child(ren), have been the subject of an indicated report of child abuse or maltreatment:

the provider,

volunteers who are likely to have regular contact with child(ren) in care,

employees, and

if care is not provided in my home, persons living in the home age 18 years or older. Yes. No.

I have specifically asked the provider if the provider, volunteers who are likely to have regular contact with child(ren) in care, employees, and if care is provided in the provider’s home, persons living in the home age 18 years or over, have been the subject of an indicated report of child abuse or maltreatment.

The provider has informed me whether any indicated reports of child abuse or maltreatment exist, who was the subject of the report: the provider, employees, volunteers who are likely to have regular contact with child(ren) in care, and, if care is provided in the provider’s home, persons living in the home age 18 years or over.

When an indication of child abuse or maltreatment exists, the provider has given me written information regarding such indication of child abuse or maltreatment. I understand I have the right to select another provider. I agree that I have carefully considered the information on child abuse and maltreatment indications that I have been given and I am selecting this provider.

Yes.

No.

D . P A R E N T A L A C K N O W L E D G E M E N T S A N D A G R E E M E N T S

1. PARENT RESPONSIBILITIES TO MONITOR QU ALITY OF CARE

I certify that I have selected this provider to care for my child(ren). I have reviewed each item on the Health and Safety Checklist and the Provider Behavioral Conditions

Checklist with the provider, located in the Child Care Provider Section, and all information on the checklist is true and accurate.

I understand it is my responsibility to monitor the quality of care my child(ren) receives from the child care provider.

I understand that these agreements apply for as long as this provider is caring for my child(ren).

2. CH ANGES TO ENROLLMENT INFORM ATION

I will notify the enrollment agency immediately if:

My address or phone number changes

I have any concerns about the health and safety of my child(ren) in the provider’s care.


3. ELIGIBILITY AND PAYMENT ISSUES

I will immediately notify the local social services district and my provider if the hours that I need child care or other circumstances related to my need or eligibility for child care change.

I agree to pay my family share (fee), if any, as directed by the local social services district. I understand a child care provider who is the child(ren)’s parent, stepparent, adoptive parent, legal guardian or

other person legally responsible for that child(ren) or who lives in my same household and has a child(ren) in common with me cannot be paid.

I understand that the provider must be accepted for enrollment with the enrollment agency before any payment can be made.

I understand a provider is not eligible to provide child care if the provider, any volunteer who is likely to have regular contact with my child(ren), any employee, or, for family child care, any person 18 years or older who is living in the home where child care is provided:

Has been convicted of a crime against a child(ren) or

Is listed on the Sex Offender Registry.

I understand that my provider may not be eligible to provide child care and that the local social services district may not be able to pay the provider when:

The provider has a history of termination of parental rights, or

The provider has a history of Article 10 (child protective) removal of a child(ren) by family court order, or

The provider had a license or registration to operate a child day care program denied, revoked and/or suspended, or

The provider, any volunteer who is likely to have regular contact with my child(ren), any employee, or, for family child care, any person 18 years or older who is living in the home where child care is provided, has been convicted of a crime.

I understand that if the provider is denied enrollment or has his or her enrollment terminated, the provider will be considered ineligible to provide child care.

The local social services district cannot pay the provider or issue payment for care given by a provider who cannot be enrolled or who is ineligible. If I choose to use an ineligible provider, I am responsible to pay for the child care myself. I understand I have the right to select another provider.

4. HE ALTH AND SAFETY REQUIREMENTS

I understand that payment cannot be made until all items marked “No” on the Health and Safety Checklist and Provider Behavioral Conditions Checklist have been corrected.

I understand that the provider must continue to meet all the basic health and safety requirements and behavioral conditions listed on the checklists.

The provider and I have inspected the home, completed the Health and Safety Checklist and the Provider Behavioral Conditions Checklists together.

All statements on the checklists are true and accurate.

The provider and I will notify and provide documentation to the enrollment agency when any item on the checklists has been corrected or changed.

5. PARENT CERTIFIC ATION

By signing this form I certify to the best of my knowledge that:

I have reviewed the “Child Care Provider Section” of this form. I understand and agree to continue to meet all conditions stated above. I understand the decision to enroll my provider is based on the facts provided and attested to on the enrollment

form. Providing false information or deliberately concealing information may result in an inaccurate determination of my provider’s eligibility to provide subsidized child care, and/or a denial or termination of enrollment. If my provider provides child care services while enrolled under false pretenses, or while he or she is an ineligible child care provider, the Local Social Services District may refuse to issue child care subsidy payments, terminate child care subsidy payments, take legal action against me or the child care provider.

Under the penalty of perjury, I agree that to the best of my knowledge all statements made on this enrollment form and any attachments to it are true and accurate.

PARENT/CARETAKER SIGNATURE

DATE

This enrollment form is a legal agreement. Make a copy of this form for your records. Return this form and its attachments to:

OCFS -LDSS-4699.1 (Rev. 9/2010)


EMPLOYMENT OF MINORS

This form must be completed by any child care provider who is under 18 years of age. PROVIDER NAME :

DATE OF BIRTH:

1) I agree to the following conditions:

I am at least 14 years old.

I do not and will not provide child care during the hours I am required to be in school.

I understand additional restrictions may apply to me based on the type of care I provide, and they are listed below.

2) The type of care I provide is:

A.) I provide In-Home Child Care. I provide care in the home of the children. I provide care ONLY for children who live in the home where the care is provided. Working papers are not required. However, if at any time I begin to provide Family Child Care I must follow the requirements listed below.

OR

B.) I provide Family Child Care. I provide care in a residence and I provide care for at least one child who does NOT live in that residence.

1) I am required to have working papers. I have attached a copy of my working papers (Required for all minors providing

family child care).

2) The Family Child Care is provided in the following residence:

a. In my home. My parent/caretaker has signed below.

b. In a home other than the home of the children and other than my home. The adult in charge of the residence has signed below.

3) The hours I work are restricted based on my age and whether I am enrolled in school.

a. I am 14 or 15 years old and enrolled in school. While school is in session, I do not provide care between the hours of 7:00 PM and 7:00 AM; and I work no more than 3 hours on any school day; no more than 8 hours on a Saturday, Sunday or holiday; and, no more than 18 hours per week; AND When school is not in session (during school vacations), I do not provide care between the hours of 9:00 PM and 7:00 AM; and, I work no more than 8 hours per day and 40 hours per week.

b. I am 16 or 17 years old and enrolled in school. While school is in session, I do not provide care between the hours of 10:00 PM to 6 AM. However, with the written consent of my parent and a certificate of good academic standing from my school, I may work additional hours from 10:00 PM up to midnight. I work no more than 4 hours on any school day, except Friday; no more than 8 hours a day on Friday, Saturday, Sunday and holidays; and, no more than 28 hours per week, AND When school is not in session (during school vacations), I do not provide care between midnight and 6:00 AM; and, I work no more than 8 hours per day and 48 hours per week.

c. I am 16 or 17 years old and I am not enrolled in school. I can work full time

throughout the year. I do not provide care between midnight and 6:00 AM; and, I work no more than 8 hours per day and 48 hours per week.

By signing this form I agree that all of the above statements are true and accurate.

PROVIDER SIGNATURE: DATE:

SIGNATURE OF PARENT/CARETAKER OF MINOR PROVIDER OR ADULT IN CHARGE OF THE HOME: DATE:

PRINT NAME OF PARENT/CARETAKER OF MINOR OR ADULT IN CHARGE OF THE HOME:

DATE:

OCFS-LDSS-4699-2 (Rev. 7/2006)


LEGALLY-EXEMPT IN-HOME CHILD CARE PROVIDER AGREEMENT FORM

This form must be completed whenever legally-exempt in-home care is provided.

1. Parent Certification

I understand that I can choose who will provide child care for my child.

I understand that if I choose someone to come into my home to provide child care, that I am the sole

employer of this person.

I understand that as the employer, I am responsible for paying minimum wage and benefits to my employee

and I may have other responsibilities to my employee.

I understand that it is my obligation to find out what I am responsible for as an employer and make sure I

am doing what is required of me as an employer, including but not limited to paying all applicable Federal

and State employment taxes required to be paid by me as an employer.

I understand that any child care benefit for which I am eligible may only cover a portion of my child care

costs.

I understand that I am responsible for any child care costs that my child care benefit does not cover.

PARENT/CARETAKER SIGNATURE:

DATE:


2. In-Home Provider Certification

I have been hired by to provide child care in

(NAME OF PARENT/CARETAKER)

home. My work schedule and wages are determined by


, who is my employer. I understand that as my employer, it is


‘s responsibility to pay my wages, benefits, and all applicable


Federal and State employment taxes required to be paid by my employer.

I understand and acknowledge that I am not an employee of

County Department of Social Services. I further understand that child care payments that I receive directly or

indirectly for providing child care will not make me an employee of that county.

By signing this form, the parent and provider agree to all of the requirements listed above. No payment will

be made unless the parent and the provider sign this form.

PROVIDER SIGNATURE:

DATE:

PROVIDER NAME (PRINT):

OCFS-LDSS-4699.3 (04/2017)


Page 1 of 2

LEGALLY-EXEMPT CHILD CARE TRAINING RECORD FORM

See instructions on page 2 for who needs to complete this form and where to submit it. TRAINING PARTICIPANT NAME

PROVIDER INFORMATION NAME OF PROVIDER /PROGRAM DIRECTOR

ENROLLMENT (CCFS) ID NUMBER1

PHONE NUMBER

( )

PROGRAM NAME

PROGRAM DBA

SITE ADDRESS

BUILDING NUMBER

STREET

APT.

CITY

STATE

ZIP CODE

MAILING ADDRESS (if different from above)

BUILDING NUMBER

STREET

APT.

CITY

STATE

ZIP CODE

PROOF OF PRE-SERVICE REQUIREMENT

For further details on qualifying training, see the Instructions on page 2.

PR

E-S

ER

VIC

E TRAINING

Foundations in Health and Safety via E-learning OR

Health and Safety for Legally-Exempt Providers via Classroom Training

DATE COMPLETED

/ /

PRESENTING AGENCY/TRAINER NAME

CERTIFICATE IS ATTACHED? YES

VERIFIED (FOR ENROLLMENT AGENCY USE ONLY)

CERTIFICATE ACCEPTABLE?

YES NO

PROOF OF ADDITIONAL TRAINING - FAMILY AND IN-HOME PROVIDERS ONLY

Child care providers who have completed 10 or more hours of approvable training may be eligible to receive an enhanced

reimbursement rate. Please list any additional child care training you have taken within the past 12 months and attach the

training certificate. For further details on qualifying training, see the instructions on page 2. (NOTE: Not applicable to

Legally-Exempt Group Programs)

1

TRAINING TOPIC

DATE COMPLETED

/ /

PRESENTING AGENCY/TRAINER NAME

NUMBER OF TRAINING HOURS


2

TRAINING TOPIC

DATE COMPLETED

/ /

PRESENTING AGENCY

NUMBER OF TRAINING HOURS


1 Include Enrollment (CCFS) number if you have one. This number is found on your Notice of Enrollment from the Enrollment Agency.

OCFS-LDSS-4699.3 (04/2017)


Page 2 of 2

INSTRUCTIONS TO

LEGALLY-EXEMPT CHILD CARE TRAINING RECORD FORM

Legally-Exempt Family and In-home child care programs must complete and submit this form and the training

certificate to the enrollment agency as proof of fulfilling the pre-service requirement in compliance with 18 NYCRR

§ 415.4(f)(7)(vi).

Legally-Exempt Group directors must complete and submit this form and the training certificate to the enrollment

agency as proof of fulfilling the pre-service requirement in compliance with 18 NYCRR § 415.4(f)(7)(vi).

Legally-Exempt Group staff and volunteers may complete and submit this form to the legally-exempt group director

with the required training certificate as proof of fulfilling the pre-service requirement. Directors must maintain all staff

and volunteers training certificates at the child care site in accordance with 18 NYCRR § 415.4(f)(7)(vi).

Legally-Exempt Family and In-home child care programs may use this form to submit any additional training which

may make you eligible for the enhanced rate.

I. INDIVIDUALS REQUIRED TO COMPLETE PRE-SERVICE TRAINING OCFS-approved pre-service training is a condition of enrollment to provide subsidized child care.

This applies to every legally-exempt caregiver, employee with a caregiving role, and volunteer with the potential for regular and substantial contact with children in care except for a grandparent, great grandparent, sibling (if living in a separate residence), aunt, or uncle who are providing care only to a child(ren) related to them with this specific relationship.

A. OCFS-APPROVED HEALTH AND SAFETY PRE-SERVICE TRAINING OPTIONS

There are two OCFS-approved training options:

1) Online “E-Learning” Foundations in Health and Safety: This training is available online and can be found by going to

www.ecetp.pdp.albany.edu,

OR

2) Classroom Training Health and Safety Training for Legally-Exempt Providers: This training may be offered by local

enrollment agencies, United Federation of Teachers in the New York City area, and Civil Service Employees

Association, Inc. in Upstate New York.

B. PROOF OF PRE-SERVICE

Upon completion, you will receive a certificate indicating you successfully completed the health and safety course.

Attach the certificate to this form and submit both to your local enrollment agency to receive credit for completing

the pre-service training requirement. You should also keep a copy of this certificate for your own records.

II. PROVIDERS ELIGIBLE TO APPLY FOR ENHANCED RATE

Providers of legally-exempt family child care and in-home child care who have completed 10 or more hours of

approved training annually, in the areas set forth in section 390-a(3)(b) of the Social Services Law, may be eligible to

receive an enhanced reimbursement rate once completion has been verified by the enrollment agency.2

A. PROOF OF ADDITIONAL TRAINING

To apply for the enhanced rate, submit this form with the training certificate(s) attached. The OCFS-approved pre-

service training may count towards the 10 total hours needed for the enhanced rate.

B. ELIGIBILITY PERIOD

Once the enrollment agency determines the provider is eligible for the enhanced reimbursement rate, the local

social services district must apply the enhanced market rate for a 12 consecutive month period, starting no later

than the beginning of the first full month following the date of the notice.

To receive the enhanced market rate beyond the initial 12-month period, the provider must complete an additional

10 or more hours of approvable training annually and submit documentation to the enrollment agency.

III. QUESTIONS

For questions regarding OCFS-approved training, please contact your local enrollment agency.

2 Per regulation 18 NYCRR § 415.9(j)(2)

OCFS-4915 (7/2010)

NEW YORK STATE

OFFICE OF CHILDREN AND FAMILY SERVICES

HIISSTTOORRYY OOFF CRRIIMMIINNAALL COONNVVIICCTTIIOONNSS AANNDD PAARREENNTTAALL ACCKKNNOOWWLLEEDDGGMMEENNTT 1188 NNYYCCRRRR,, 441155..44((FF))((77))((II))

Applies to the child care provider, employees, volunteers, and, for Legally-Exempt Family Child Care, household members 18 years of age or older. Use one history form per person. Attach additional pages if necessary.

Name of Child Care Provider:

Name of Individual with Criminal Conviction:

Specify Crime(s) Name and Penal Law/Code:

Disposition Date(s) and Penalties Imposed:

Description(s):

Other Relevant Information:

I attest the above information is a true and accurate summary.

SIGNATURE OF PERSON WITH CRIMINAL HISTORY- if not the provider

DATE:

PROVIDER SIGNATURE

DATE:

PARENT ATTESTATION

I understand that the provider I have selected, or, other person named above who may be on the premises of the child care program, has a criminal history described above. I may request that the Enrollment Agency consider this provider for enrollment.

I understand that I have the right to select another provider. If I need help locating another provider, I can request such help from the local child care resource and referral agency and/or the local district. I hereby waive this right and, by signing this form, I am stating that I choose to have this provider care for my child.


DATE:

PRINT PARENT/CARETAKER NAME:

OCFS -4916 (7/2010)


HISTORY OF DAY CARE ENFORCEMENT AND PARENTAL ACKNOWLEDGMENT

18 NYCRR, 415.4 (F)(8)(III)(A)

Applies to Child Care Provider only.

1. Name of Child Care Provider:

2. Name of Day Care Program having enforcement action:

3. Location:

4. Type(s) of Enforcement Action (Check all that apply): Denied Revoked Suspended

5. Dates of Enforcement Actions:

Describe what led to the denial, revocation or suspension of your license/registration to operate a

child day care program:

Explain the underlying reasons why this occurred:

6. Other Relevant Information:


PROVIDER SIGNATURE

DATE:

PARENT ATTESTATION

I understand that the provider I have selected named above, has a history of daycare enforcement described above. I may request that the Enrollment Agency consider this provider for enrollment.

I understand that I have the right to select another provider. If I need help locating another provider, I can request such help from the local child care resource and referral agency and/or the local district. I hereby waive this right and, by signing this form, I am stating that I choose to have this provider care for my child.


DATE:


DATE:

OCFS-4917 (7/2014)


HISTORY OF TERMINATION OF PARENTAL RIGHTS AND/OR COURT–ORDERED ARTICLE 10-REMOVAL OF A

CHILD AND PARENTAL ACKNOWLEDGMENT 18 NYCRR 415.4 (F)(8)(II)(A)(2)

Applicable to Child Care Provider only.

NAME OF CHILD CARE PROVIDER:

DATE(S) OF REMOVAL/TERMINATION:

NAME OF COURT:

NAMES OF CHILDREN INVOLVED:

COUNTY AND STATE:

TYPE OF COURT INVOLVEMENT (Check all that apply):

A) Judicial Termination of Parental Rights Under Social Services Law 384-b

1) Legal Reason for Judicial Termination of Parental Rights:

a) Permanent Neglect; b) Mental Retardation; c) Severe or Repeated Abuse;

d) Other,

B) Court-Ordered Removal of a Child under Family Court Act Article 10 (Child Protective)

1) Judicial Finding:

a) Neglect; b) Abuse; c)Severe or Repeated Abuse; d) No Finding,

2) If no judicial finding, give reason:

a) Article 10 Petition never filed with court; b) Article 10 Petition withdrawn;

c) Case was dismissed; d) Other,

3) Length of time children removed from home:

a) 0-3 days; b) 4-60 days; c) 60 days-15 months; d) 15 months or more

Describe the situation(s) that led to the termination of parental rights and/or the removal of children

Explain the reasons underlying the termination of parental rights and/or the removal of children

Attach additional pages if necessary.


SIGNATURE OF PROVIDER:

X

DATE:

PARENT ATTESTATION

I understand that the provider named above has a history of termination of parental rights and/or a child protective removal of a child, described above. I may request that the Enrollment Agency consider this provider for enrollment. I understand that I have the right to select another provider. If I need help locating another provider, I can request such help from the local child care resource and referral agency and/or the local district.

I hereby waive this right and, by signing this form, I am stating that I choose to have this provider care for my child.

SIGNATURE OF PARENT/CARETAKER:

X

DATE:


DATE:

Home Inspection Report for Legally-Exempt Providers and

Attachments

OCFS-LDSS-7028, Home Inspection Report for Legally-

Exempt Family Child Care Providers

OCFS-LDSS-7028-1, Home Inspection Report Summary

OCFS-LDSS-7028-2, Corrective Action Plan

OCFS-LDSS-7028-3, Attachment to the Home Inspection

Report for Legally-Exempt Providers OOCFS Authorized

to Administer Medication

Voluntary Agreement: Inactive Due to Emergency Health

and Safety Issues Legally-Exempt Child Care (Sample)

OCFS-LDSS-7028 (Rev. 08/2018)

Page 1 of 10


HOME INSPECTION REPORT FOR LEGALLY EXEMPT FAMILY CHILD CARE PROVIDER

DATE

/ / INSPECTOR’S NAME

PROVIDER NAME ENROLLMENT ID

SITE ADDRESS

ARRIVAL TIME AM

PM

DEPARTURE TIME

AM

PM

REASON FOR INSPECTION 20% ANNUAL FOLLOW-UP

COMPLAINT OTHER

A. Verification of Provider, Volunteers, Employees and Household Members

1. Use the chart below to verify who is present in the home.

• List ALL adults found in the home during the visit, and their roles.

• List ALL adults who were not present in the home during the visit, but who live in the home, or who arevolunteers or employees of the provider.

• For each adult, record the date of birth, any proof of identity, the person’s relationship or role, and whetherthe person was present or absent during the visit. Proof of identity is required for the provider and optionalfor all others. It should be requested for others living in the home or with a role in providing child care.

• For providers (unless previously verified), employees with a caregiving role, and/or volunteers with thepotential for regular and substantial contact with children in care:o review the pre-service training certificate and record the date of the pre-service training was taken. If

no training certificate is on file, record “none,”o indicate whether the person is exempt from pre-service training. If so, explain the relationship in 2. b.

Name of Adult Date of Birth Proof of Identity

• Required forProvider,

• Request forEmployee,Volunteer, orHouseholdmember

• Optional forothers

Adult’s Relationship to

Provider List all roles that apply.

• Provider

• Employee

• Volunteer

• HouseholdMember

• Other (Explain 2b)

Present or

Absent? (P or A)

Pre-Service Training

Date,1

(if required 2)

Exempt from Pre-Service Training?

3 (Y or N)

/ / Self (Provider) P A / / Y N

/ / P A / / Y N

/ / P A / / Y N

/ / P A / / Y N

/ / P A / / Y N

/ / P A / / Y N

/ / P A / / Y N

2.a. Explain the role of all people listed as “other.”

2.b. Explain the relationship of each person listed as “exempt” to all subsidized child(ren) in care.

1 Non-compliance with the Pre-Service Training requirement must be documented under Ref. No. C.28. 2 The pre-service training requirement is not applicable to household members unless they have a caregiving role. 3 An individual is only exempt from the training requirement if they are related to every subsidized child in care by one of the following relationships: grandparent, great grandparent, aunt, uncle, and sibling living in a separate residence.

OCFS-LDSS-7028 (Rev. 08/2018)

Page 2 of 10

3. Compare information gathered to that given on the enrollment form. Does this information agree with what the provider has previously reported? (check one)

Yes No

If no, explain below, address with provider, and evaluate for corrective action.

4. Identify any non-compliance issues on the OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider.

B. Verification of Legally Exempt Status

1. Use the chart below to verify the provider’s legally-exempt status.

• List ALL children present in the home during the visit.

• List ALL children who were not present, but whom the provider also cares for.

• Fill out the chart for each child.

Name of Child Present or Absent? (P or A)

Provider’s Relationship to Child (i.e.: aunt, non-relative,

mother)

Time Dropped

Off

Time to be

Picked Up

Age Receives Subsidy?

(Y or N)

Was child reported on enrollment

form?

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

P A Y N Y N

2. Compare information gathered to that given on the enrollment form. Does this information agree with what the provider has previously reported? (Check one) Yes No

If no, identify discrepancies below, discuss with provider, obtain and record provider’s response.

3. Does the provider appear to be providing illegal child care? (Check one) Yes No 2. If yes, identify concerns with provider, obtain explanation from provider, and record it below.

If it appears that illegal care is being provided, you must report this to the regional office complaint line at: 1-800-732-5207.

4. Identify any non-compliance issues on form OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider.

OCFS-LDSS-7028 (Rev. 08/2018)

Page 3 of 10

C. Home Safety Checklist

Based on your observations and discussion with the provider, show whether the requirement is met by checking “Yes” or “No” for each item. Check “Pending” only if you are uncertain. Do not use “does not apply” unless there is a check box visible in that column for that requirement. Record observations in the space beneath each regulation.

REF. NO.

LEGAL REFERENCE

REQUIREMENT REQUIREMENT MET? Does

not apply

YES NO PENDING

C.1 415.4(f)(7)(v)(a) The provider and all children have two separate and remote ways to escape in an emergency.

Observations:

C.2 415.4(f)(7)(v)(b) Rooms for children are well-lighted, and well-ventilated. Heat, ventilating and lighting equipment are adequate for the protection and health of the children.

Observations:

C.3 415.4(f)(7)(v)(c) The provider uses barriers to restrict children from unsafe areas. Such areas include, but are not limited to, swimming pools, open drainage ditches, wells, holes, wood or coal burning stoves, fireplaces, and permanently installed gas space heaters.

Observations:

C.4 415.4(f)(7)(v)(d) Where child care is provided on floors above the first floor, windows on floors above the first floor are protected by barriers or locking devices to prevent children from falling out of the windows.

Observations:

C.5 415.4(f)(7)(v)(e) Adequate and safe water supply and sewage facilities are provided and comply with State and local laws. Hot and cold running water is available and accessible at all times.

Observations:

OCFS-LDSS-7028 (Rev. 08/2018)

Page 4 of 10

REF. NO.

LEGAL REFERENCE


not apply

YES NO PENDING

C.6 415.4(f)(7)(v)(f) The caregiver and each employee and each volunteer with the potential for regular and substantial contact with the children in care is physically fit to provide child care and are free of any communicable disease, unless the individual’s health care provider has indicated that the presence of a communicable disease does not pose a risk to the health and safety of the children in care.

NOTE: With reasonable cause to suspect that the information given by the caregiver is incorrect, the legally-exempt caregiver enrollment agency may require that the caregiver submit a statement from a physician, physician’s assistant or a nurse practitioner to verify the information.

Observations:

C.7 415.4(f)(7)(v)(g) Suitable precautions will be taken to eliminate any conditions in areas accessible to children that pose a safety hazard. Carbon monoxide detectors are installed where the child(ren) sleep or nap and on each story of the home where a carbon monoxide source is present.

Observations:

C.8 415.4(f)(7)(v)(h) All matches, lighters, medicines, drugs, cleaning materials, detergents, aerosol cans, and other poisonous or toxic materials are stored in their original containers and are used in such a way that they will not contaminate play surfaces, food or food preparation areas or constitute a hazard to children. Such materials will be kept in a place inaccessible to children.

Observations:

C.9 415.4(f)(7)(v)(i) The provider will ensure that each child receives meals and snacks in accordance with the plan developed jointly by the provider and the child’s caretaker/parent.

Observations:

C.10 415.4(f)(7)(v)(j) Perishable food, milk and formula will be kept refrigerated.

Observations:

OCFS-LDSS-7028 (Rev. 08/2018)

Page 5 of 10

REF. NO.

LEGAL REFERENCE REQUIREMENT

REQUIREMENT MET? Does not

apply YES NO PENDING

C.11 415.4(f)(7)(v)(k) When the provider cares for infants, formula, breast milk, and other food items for infants will not be heated in a microwave oven.

Observations:

C.12 415.4(f)(7)(v)(l) The parent/caretaker will have unlimited access to the child, and to the premises when the child is in care and to written records regarding the child.

Observations:

C.13 415.4(f)(7)(v)(m) Evacuation drills are conducted at least monthly with the children during the hours that the children are in care.

Observations:

C.14 415.4(f)(7)(v)(r)

The provider has either a working telephone or immediate access to one. Emergency telephone numbers for the fire department, local or state police or sheriff’s department, poison control center and ambulance service are posted conspicuously on or adjacent to the telephone.

Observations:

C.15 415.4(f)(7)(v)(s) Protective caps, covers or permanently installed obstructive devices are used on all electrical outlets that are accessible to young children.

Observations:

C.16 415.4(f)(7)(v)(t) Paint and plaster are in good repair so that there is no danger of children putting paint or plaster chips in their mouths or of it getting into their food.

Observations:

OCFS-LDSS-7028 (Rev. 08/2018)

Page 6 of 10

REF. NO.




C.17 415.4(f)(7)(v)(u) There is one operating smoke detector on each floor of the home or facility. Such detectors are checked regularly to insure proper operation.

Observations:

C.18 415.4(f)(7)(v)(v) The home or facility is equipped with a portable first aid kit that is accessible for emergency treatment. The first aid kit is stocked to treat a broad range of injuries and situations and will be restocked as necessary. The first aid kit and any other first aid supplies are kept in a clean container or cabinet and are not accessible to children.

Observations:

C.19 415.4(f)(7)(v)(w) The provider will not give child care to any child unless the provider has been furnished with a statement signed by a physician or other authorized individual who specifies that the child has received age appropriate immunizations; or a statement signed by a physician or other authorized individual who indicates that one or more of the immunizations would be detrimental to the child’s health, or the child’s parent/caretaker provides a statement indicating that the child has not been immunized due to the parent/caretaker’s religious beliefs.

For each subsidized child, record the child’s name and the type of proof of immunization reviewed.1 Place a check in the “Yes” check box if the proof is satisfactory or “No” check box if it is unsatisfactory.

Child Name Type of Proof of Immunization Yes No

OCFS-LDSS-7028 (Rev. 08/2018)

Page 7 of 10

REF. NO.




C.20 415.4(f)(7)(v)(x) Stairs, railings, porches and balconies are in good repair.

Observations:

C.21 415.4(f)(7)(v)(f) This question is for Only Family Child Care providers

All persons living in the home where care is provided are free of communicable diseases. If any person living in the home does have a communicable disease, the provider must have a statement from the person’s health care provider that indicates that the presence of a communicable disease does not pose a risk to the health and safety of the child(ren) in care.

Observations:

C.22 415.4(f)(7)(v)(n) The provider will never use corporal punishment or allow others to use corporal punishment while children are in care.

Observations:

C.23 415.4(f)(7)(v)(o) The provider will never use or be under the influence of alcohol or drugs while children are in care and will make sure that children are not exposed to individuals using alcohol or drugs while in care.

Observations:

1 Per 17-OCFS-LCM-05, there is a grace period of 14 days that may be extended for submission of immunization records for children experiencing homelessness or in foster care.

OCFS-LDSS-7028 (Rev. 08/2018)

Page 8 of 10

REF. NO.

LEGAL REFERENCE


not apply YES NO PENDING

C.24 415.4(f)(7)(v)(p) The provider will not smoke or allow smoking in indoor areas while children are in care or in vehicles while children are being transported.

Observations:

C.25 415.4(f)(7)(v)(q) The provider will never leave children unsupervised or in the care of individuals who are not authorized to supervise the children.

Observations:

C.26 415.4(f)(7)(v)(z) The provider may not administer medication to any child in his or her care except to the extent that the provider is authorized under the Education Law to administer medications or has met the requirements for the administration of medications as defined in 18 NYCRR section 418-1.11.

Observations:

C.27 415.4(f)(7)(vi) To be enrolled by or to maintain enrollment with a legally-exempt caregiver enrollment agency to provide child care services to families receiving child care subsidies under the New York State Child Care Block Grant Program, every legally exempt caregiver, employee with a caregiving role, and volunteer with the potential for regular and substantial contact with children in care, except for a grandparent, great grandparent, sibling (if living in a separate residence),aunt, or uncle providing care pursuant to 415.1(h), must complete Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

Observations:

OCFS-LDSS-7028 (Rev. 08/2018)

Page 9 of 10

D. Authority to Administer Medication Review the notice of enrollment for the provider’s medication administration status.

D.1. (a.) Is the provider and/or the provider’s employee or volunteer currently authorized by NYS Education Law or by OCFS through an approved Health Care Plan for the Administration of Medication to administer medication?

(Choose all that apply, and answer additional questions for each authority that applies.)

(1) Yes. The provider is authorized by NYS Education Law and has a current NYS license in the profession

of physician, physician assistant, registered nurse or nurse practitioner.

This administration of medication falls under the auspices of NYS Department of Education.

You are finished with Section D, Authority to Administration of Medication.

(2) Yes. The provider and/or the provider’s employee or volunteer is authorized by OCFS to administer

medication to subsidized children in care through an approved Health Care Plan for the

Administration of Medication.

Complete (2) (a)-(e) of this question.

(a) Give the name of the qualified medication administrant named in the Health Care Plan to

Administer Medication: .

(b) Review the health care plan and record below the dates for each training requirement met by the

medication administrant.

CERTIFICATION DATE EXPIRATION DATE

CARDIO-PULMONARY RESUSCITATION (CPR) / / / /

FIRST AID / / / /

MEDICATION ADMINISTRATION TRAINING (MAT) / / / /

(c) Does the medication administrant have a medical license or certification that exempts him or her from the above training?

(1) No

(2) Yes. If yes, please provide the information below.

(i) Type of NYS License/Certification (Check one.)

a. Licensed Physician d. Licensed Physician Assistant

b. Licensed Practical Nurse e. Licensed Nurse Practitioner

c. Licensed Registered Nurse f. Certified Advanced Emergency Medical Technician

(ii) License/Certification Number:

(iii) Expiration Date:

(d) Are the training requirements/license/certification, listed above, up-to-date?

(1) Yes

(2) No. The provider is out of compliance. The administrant must not administer medications if the training requirements are out of date.

(e) Is the plan approval date within 2 years? Give date: / /

(1) Yes

(2) No. The provider is out of compliance. The provider must renew the Health Care Plan for Administration of Medication every two years. The administrant must not administer medication until a new plan is completed and approved by a qualified health care consultant.

(f) Complete question D.1. (c).

(3) No. The provider is not authorized by NYS Education Law or by OCFS to administer medication.

Complete questions D.1. (b) and D.1. (c).

Observations:

OCFS-LDSS-7028 (Rev. 08/2018)

Page 10 of 10

D.1. (b.) Is the provider, the provider’s employee or volunteer exempt under NYS Education Law from the administration of medication regulations and allowed to administer medication to any of the children in the provider’s care?

(1) Yes. Give reason(s) below, choosing all that apply. For each answer chosen, list the person administering

the medication and children receiving the medication.

(a) The person administering medication is a relative within the 3rd degree of consanguinity to the

child(ren)’s parent/stepparent.

(b) The person administering medication is a member of the child(ren)’s household.

(c) The person administering medication is providing child care in the child(ren)’s home.

(2) No. The provider is not exempt, under NYS Education Law, from the administration of medication requirements.

D.1. (c.) Has the provider administered any medication other than over-the-counter topical ointments, sunscreen, or insect repellent to any subsidized children within the past six months?

(1) No

(2) Yes. Answer questions (a) and (b) below.

(a) List below the children to whom the provider administers medication other than over-the-counter topical

ointments, sunscreen, or insect repellent:

(b) Does the provider have appropriate authority to administer medication to each child listed above?

(1) Yes

(2) No. The provider is out of compliance. The administrant must not administer medication other than

over-the-counter topical ointments, sunscreen, or insect repellent to children for whom there is no legal

authority or exemption.

Observations:

E. OCFS-LDSS-7028-1, Home Inspection Report Summary You must complete the OCFS-LDSS-7028-1, OCFS Home Inspection Report Summary and give a copy to each provider you inspect prior to ending the inspection visit and retain the original copy for your files.

F. OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider When non-compliance is found, you must complete the OCFS-LDSS-7028-2, Corrective Action Plan for Legally Exempt Child Care Provider with the provider.

G. OCFS-LDSS-7028-3, Attachment to the Home Inspection Report for Legally Exempt Family Child Care Provider (OCFS Authorized to Administer Medication) You must complete OCFS-LDSS-7028-3, Attachment to the Home Inspection Report for Legally Exempt Family Child Care Provider (OCFS Authorized to Administer Medication) for any provider who is authorized by OCFS to administer medication.

OCFS-LDSS-7028-2 (Rev. 3/2008)


CORRECTIVE ACTION PLAN FOR LEGALLY EXEMPT CHILD CARE PROVIDER PROVIDER NAME:

ENROLLMENT ID:

DATE:

Complete this section if ANY non-compliance is found. For each identified non-compliance issue, record the reference number or question number, describe the non-compliance, record the provider’s plan for correction and the date to be corrected. Check “corrected on-site” if already corrected. Attach additional copies of this page, as needed. Review this plan with the provider and give the provider a copy.

REFERENCE OR

QUESTION

NUMBER

NON-COMPLIANCE ISSUE (Briefly describe.)

PROVIDER’S CORRECTIVE ACTION

CORRECTIVE STATUS DATE TO BE

CORRECTED BY

(MO/DA/YR)

CORRECTED

ON SITE ()

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

/ /

A follow up visit is scheduled for: .

Completed by the ENROLLMENT AGENT:

DATE:

Read by the CHILD CARE PROVIDER:

DATE:

Reviewed 1/2013

OCFS-LDSS-7028-3 (Rev.3/2008) PAGE 1 OF 3


AATTTTAACCHHMMEENNTT TTOO TTHHEE HHOOMMEE IINNSSPPEECCTTIIOONN RREEPPOORRTT FFOORR LLEEGGAALLLLYY--EEXXEEMMPPTT FFAAMMIILLYY CCHHIILLDD CCAARREE PPRROOVVIIDDEERR--

OOCCFFSS AAUUTTHHOORRIIZZEEDD TTOO AADDMMIINNIISSTTEERR MMEEDDIICCAATTIIOONN PROVIDER NAME:

ENROLLMENT ID:

DATE:

Complete ONLY if the provider is authorized by OCFS through an approved Health Care Plan for the Administration of Medication.

The inspector conducts a review of the additional OCFS requirements pertaining to the administration of medication.

1. Health Care Plan Policies

Regulatory Requirement Requirement Met?

Yes No Pending

Att.1.A. The provider informs parent/caretakers of his or her policies and procedures for giving medicine to children when the parent/caretaker signs up and whenever the plan is changed.

Observations:

Att.1.B. Medication is administered in the following ways only:

Topical, oral, eye, ear, inhaled, medication patches, and epinephrine auto-injector devices (Epipen ®)

Observations:

Att.1.C. Only the qualified person, named previously, gives children medicine other than over-the-counter topical ointment, sunscreen lotion and/or topically applied insect repellent.

Observations:

Att.1.D. The provider allows the parent/caretaker to administer medication to his or her own child if the parent chooses to do so.

Observations:

Att.1.E. The provider allows a parent/caretaker to designate a legally permitted individual(s) to administer medication to the child when the parent/caretaker informs the provider in writing.

Observations:

OCFS-LDSS-7028-3 (Rev. 3/2008) PAGE 2 OF 3


Yes No Pending

Att.1.F. The provider follows all OCFS rules for obtaining and keeping records of parent’s/caretaker’s permissions and health care provider’s instructions for medication administration.

Observations:

Att.1.G. The provider follows all OCFS rules for documenting medication dosages, recording and reporting medication errors and monitoring side effects.

Observations:

Att.1.H. The provider follows all OCFS rules for safely storing and disposing of child–specific medication.

Observations:

Att.1.I. The provider follows all OCFS rules for storing and dispensing stock medication.

Observations:

Att.1.J. For each special needs child the provider cares for, the provider follows the Individual Health Care Plan for a Child with Special Health Care Needs.

Observations:

Att.1.K. The provider has an appropriate procedure for obtaining emergency health care for children who need it.

Observations:

Att.1.L. The provider follows infection control procedures for hand-washing, diapering, sanitation of toys and equipment, safety precautions pertaining to blood, and proper gloving procedures.

Observations:

OCFS-LDSS-7028-3 (Rev. 3/2008) PAGE 3 OF 3

2. Observable Health Care Plan Practices

The purpose of this section is to document whether a provider, who is authorized through OCFS to administer medication, is administering medication in compliance with 18 NYCRR, sections 415.4 (7)(v)(z) and 418-1.11.

This records review section is required ONLY if the provider:

Is authorized by OCFS through an approved Health Care Plan for the Administration of Medication and

Has administered medication to children in subsidized care within the 6 months prior to the inspection.


Yes No Pending

Att.2.A) For each child receiving medication, review the following documentation and determine if the provider is following regulations.

1. Log of Administration

2. Parental Permissions

3. Health Care Provider Written Instructions

Observations:

Att.2.B) Storage of Medication.

1. The provider keeps all medication (prescription and over-the-counter) in the original, labeled container.

2. Medication is stored in a clean, safe place that children cannot reach or get into.

3. Medication that needs refrigeration is kept in a refrigerator, separately from food.

4. Stock medications are stored in the original container, separately from child specific medications.

Observations:

Record all non-compliance issues on the Corrective Action Plan for Legally Exempt Child Care Provider. Completed by the ENROLLMENT AGENT:

DATE:

Read by the CHILD CARE PROVIDER:

DATE:

NEW YORK STATE OFFICE OF CHILDREN AND FAMILY SERVICES DIVISION OF CHILD CARE

Voluntary Agreement: Inactive Due To Emergency Health And Safety Issues Legally-Exempt Child Care (3/24/14)

I, __________________________________, have been informed that my child care program, NAME OF CHILD CARE PROVIDER/DIRECTOR

__________________________________________________________________, located at: NAME OF CHILD CARE PROGRAM

____________________________________________________________________________

____________________________________________________________________________ is not in compliance with the Official Compilation of the Codes, Rules and Regulations of New York State, Part 415, and, I must stop providing subsidized child care due to the EMERGENCY situation.

I understand the Enrollment Agency named herein has made determination that children in my care are in IMMINENT DANGER or at IMMINENT RISK OF HARM. I understand the health and safety concerns are serious enough to warrant termination of my enrollment. The enrollment agency agrees to allow me to remain enrolled while I correct the health and/or safety issues under the conditions listed below.

I agree to abide by the following conditions while I correct the non-compliance issues and until I am approved to provide subsidized child care.

1. I agree that all subsidized children will be immediately sent home and the enrollment agent may

remain on site until this is done, 2. I agree to correct the non-compliance according to the Corrective Action Plan which this

agreement is a part of, 3. I agree I will NOT provide care for subsidized children until the non-compliance is corrected

AND the corrections have been approved by the Enrollment Agency, 4. I understand and acknowledge that NO subsidy funds will be issued for the time period that I

am inactive due to the EMERGENCY situation caused by the health and safety issues, because I will NOT be caring for subsidized children during this time,

5. I understand the Enrollment Agency will inspect my program on (date)____________, or earlier, if I notify the agency prior to that date that corrections have been made,

6. I understand all subsidized parents for whom I provide child care and their Local Social Services Districts will be notified today of this action, and

7. I understand that if I do not correct the non-compliance issues identified on the Corrective Action Plan to the satisfaction of the Enrollment Agency by (date) ________________, my enrollment will be TERMINATED.

PROVIDER SIGNATURE________________________________________ DATE ______________

ENROLLMENT AGENT SIGNATURE________________________________ DATE ______________

ENROLLMENT AGENCY INFORMATION

Name: _________________________________________________________________________________

Address: _______________________________________________________________________________

Contact Person: _____________________________ Phone Number: ____________________________

Instructions to Enrollment Agency: Leave a copy of this agreement with the provider at the time it is signed. Provide a copy of this agreement to the Local Department of Social Services as needed.

Desk Aids


Doing the Math

Time in Care (Sample)

Time in Care (Blank)

Voluntary Affidavit (Sample)

Investigative Process

Professional Development Program

Health and Safety

Concern Alleged

Consider what might be going on

Gather information


Make a decision

Obtain detailed examples Infer areas of possible non-compliance Apply policy & regulation

• What are the implications?

• Identify most important factors

• Develop multiple hypothetical scenarios

• Consider what needs to be known to rule the scenario out or in?

• Consider alternate explanations

• Use info gathering tools • Formulate questions to clarify facts &

assumptions • Interview • Observe • Recognize clues • Request documentation • Use policy to guide

• Review facts & documentation

• Consider opposing arguments

• Distinguish between facts, assumptions & conclusions

• Recognize connections

• Verify all information gathered

• Consult others for additional guidance

• Use policy to guide

• Form logical conclusions

• Document complete decision in CCFS: • Explain rationale

• Identify facts and explain assumptions

• Link to policy, law & regulation

Unacceptable High Risk

Deny Terminate Enrollment

Corrective

Action Process

End Investigative

Process

Acceptable, Correctable Risk

No Risk

Insufficient Information

Investigative Process

Doing the Math

Professional Development Program Resource 7

Desk Aid: What Kind of Child Care Is It? Doing the Math

In order to analyze whether a program is operating illegally or not, use this five-step approach:

1. Remove from the analysis all children who do not

receive care for more than three hours a day. If there are fewer than three children left, the

program is legally exempt (not required to have a license or registration); therefore they are not operating illegally. If there are three or more

children left, proceed to the next step.

2. Examine the program population for the presence of one of the following two

possibilities:

(a) When you remove from the analysis all the children who are related to the provider (within the 3rd consanguinity of the parent or stepparent)

and you are left with 3 or more children, proceed to step 3. If you are left with fewer than 3 children, the program is legally exempt (not required to be licensed or registered).

—OR—

(b) When the total number of relative and non-relative children who attend

the program for more than 3 hours a day (step 1) exceeds 8 and there is at least one non-relative child present, proceed to step 3.

3. Examine the periods when the remaining children are present to see where

those periods overlap. If there is no overlap (i.e., only one such child is present at any given time), the program is legally exempt (not required to be

licensed or registered) and is therefore not operating illegally. Otherwise, proceed to the next step.

4. For the periods that overlap, find the periods where three or more children

are present. If there are no such periods, the program is legally exempt (not required to be licensed or registered) and is therefore not operating illegally. If there are such periods, proceed to the next step.

5. Add up the total number of hours in those periods. If that total is more than three, the program is required to be licensed or registered and is therefore

operating illegally. If that total is three or less, the program is legally exempt (not required to be licensed or registered) and therefore not operating illegally.

________________________________________

Excerpted from BECS Policy Statement #05-2: Cease & Desist Policy Decisions.

SAMPLE Child Care Provider Time Recording Tool to Evaluate Legally-Exempt StatusD

ay

of

We

ek Child Related to

Provider?

Jo N

Di N

Don Y, nephew

Ann Y, niece

May N

Pat N

3-4 pm 4-5 pm

MO

N

Show the time each child is in care by filling in the blocks for each day, for that child. Each block= ¼ hour (15 min.)

10-11 am 11-Noon Noon-1 pm 1-2 pm 2-3 pm 5-6 pm

SU

N

6-7 am 7-8 am 8-9 am 9-10 am

TU

ES

WE

DT

HU

RS

FR

IS

AT

SAMPLE Child Care Provider Time Recording Tool to Evaluate Legally-Exempt Status


Child Care Provider Time Recording Tool to Evaluate Legally-Exempt StatusD

ay

of

We

ek Child Related to

Provider?

3-4 pm 4-5 pm

MO

N


10-11 am 11-Noon Noon-1 pm 1-2 pm 2-3 pm 5-6 pm

SU

N

6-7 am 7-8 am 8-9 am 9-10 am

TU

ES

WE

DT

HU

RS

FR

IS

AT

Voluntary Affidavit

Resource 5: Voluntary Affidavit

I, ___________________________________(Name), state that I am ______years old with a date of

birth of ___________. I reside at ________________________________ (address). I am employed by

___________________________________________ as a ____________________________ (job title).

I am voluntarily giving this statement on ____________________(date) at _____________________

(place statement is given) to _______________________________________________ (staff member

to whom statement is given). Below is my statement, in my own words:

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

__________________________________________________

Signature Date

Witness Date