Evaluating Program Manuals. Due by Day 7. The purpose of the family and staff manuals are to provide written documentation of the policies and procedures used in the decision making and daily operations of a program. These in-house publications should be grounded in the program’s core values, vision, and mission while providing specific guidelines for how it will abide by applicable laws and regulations. The formulation, implementation, and evaluation of these materials are critical to the program administrator role. These manuals are invaluable tools for program success and, for that reason, they deserve careful thought and consideration. Thoughtfully created policies and procedures guide families and staff and contribute to the program’s smooth operation by creating shared understandings.
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Review the staff manual and family handbooks from the center you selected in Week 1.
Create a document in which you provide
One example of how the following guidelines are communicated (see the table below).
For each example, provide either a recommendation to improve the clarity or an approval with a rationale of why/how the statement is ideal.
One suggested category of your own choosing that—based on the course content—you believe should be defined.
SEE ATTACHED FOR TABLE
Your evaluating program manuals assignment
Must be one to two double-spaced pages in length (not including title and references pages) and formatted according to APA style as outlined
Must include a separate title page with the following:
Title of paper
Student’s name
Course name and number
Instructor’s name
Date submitted
Must use at least two sources in addition to the course text.
The Scholarly, Peer Reviewed, and Other Credible Sources (Links to an external site.) table offers additional guidance on appropriate source types. If you have questions about whether a specific source is appropriate for this assignment, please contact your instructor. Your instructor has the final say about the appropriateness of a specific source for a particular assignment.
Must document all sources in APA style as outlined.
Must include a separate references page that is formatted according to APA style as outlined.
READ INSTRUCTIONSfollow instructions
TABLE
Staff Manual
Phrase from Handbook
Recommendation
Approval
Job Description
Rights and Responsibilities
Professional Expectations
Suggested Category
Rational
Citation
Family Handbook
Phrase
Recommendation
Commendation
Programs Mission
Licensure Status
Commitment to the Field’s Core Values, Ideals, and Principles (NAEYC Code of Ethical Standards)
Suggested Category
Rational
Citation
CHAPTER
3
Understanding Regulations, Accreditation Criteria, and Other Standards ofPractice
NAEYC Administrator Competencies Addressed in This Chapter:
Management
Knowledge and Skills
2
. Legal and Fiscal Management
· Knowledge and application of the advantages and disadvantages of different legal structures
· Knowledge of different codes and regulations as they relate to the delivery of early childhood program services
· Knowledge of child custody, child abuse, special education, confidentiality, anti-discrimination, insurance liability, contract, and laborlaws pertaining to program management
5. Program Operations and Facilities Management
· Knowledge and application of policies and procedures that meet state/local regulations and professional standards pertaining to thehealth and safety of young children
7. Marketing and public relations
· Skill in developing a business plan and effective promotional literature, handbooks, newsletters, and press releases
Early Childhood Knowledge and Skills
5. Children with Special Needs
· Knowledge of licensing standards, state and federal laws (e.g., ADA, IDEA) as they relate to services and accommodations for childrenwith special needs
1
0. Professionalism
· Knowledge of laws, regulations, and policies that impact professional conduct with children and families
· Knowledge of center accreditation criteria
Learning Outcomes
After studying this chapter, you will be able to:
1. Describe the purpose of regulations that apply to programs of early care and education and list several topics they address.
2. Identify several ways accreditation standards are different from child care regulations.
3. State the purpose of Quality Rating and Improvement Systems (QRIS).
4
. List some ways qualifications for administrators and teachers are different for licensure, for accreditation, and in QRIS systems.
5. Identify laws that apply to the childcare workplace, such as those that govern the program’s financial management and employees’well-being.
Marie’s Experience
Marie has been successful over the years in keeping her center in compliance with all licensing regulations. She is proud of her teachers andconfident that the center consistently goes above and beyond licensing provisions designed simply to keep children healthy and safe. She knowsthat the center provides high-quality care to the children it serves, but has never pursued accreditation or participated in her state’s optionalQuality Rating and Improvement System (QRIS) because of the time and effort it would require. Her families have confidence in her program anddo not seem to need this additional assurance that it provides high-quality services day in and day out.
Large numbers of families rely on out-of-home care for their infants, toddlers, preschoolers, and school-age children during the workday. In2011, there were 312,254 licensed child care facilities with a capacity to serve almost 10.2 million children. About 34% of these facilitieswere child care centers. They served more than 77% of the children cared for in out-of-home settings (
National Center on Child CareQuality Improvement, 2013
).
Regulations and standards guide all aspects of the life of an early childhood care and education program—its children and their families, itsstaff, director, and board. They are designed to give families that rely on child care peace of mind that the health and welfare of theirchildren are safeguarded while they are away from home. Although regulations and standards may be defined in various ways, we use thefollowing child-care-related definitions in this book:
1. Regulations are official binding rules. Regulations that apply to programs of early care and education are wide-ranging and includezoning, land use, and building codes; federal tax and employment laws; laws that protect children from abuse and neglect; and childcare regulations. They describe minimal levels of performance that no program is expected to fall below.
2. Quality Standards set higher-than-minimal benchmarks of performance by measuring how successfully programs meet criteriademonstrated to ensure positive outcomes for children.
Regulations and quality standards are closely linked. Together they address a program’s facility, programming, staffing, and other aspects ofits operation. Child care programs must comply, for example, with licensing regulations related to child—staff ratios, that is, the number ofchildren one adult may legally be responsible for; as well as with federal laws designed to protect employees’ rights.
While state child care regulations set a minimum accepted standard of care, accreditation and QRIS standards identify criteria that havebeen shown to improve the quality of children’s experiences. For example, your state’s regulations might allow one caregiver to care for upto five infants, but you will meet the NAEYC Accreditation Standards if one caregiver is responsible for no more than four infants at a time(
NAEYC, 2014
b
). Regulations and quality standards play an important role when you are planning for a new program or refining policiesand procedures that guide an existing program’s day-to-day implementation.
3.1 CONSIDERING REGULATIONS
Some of the regulations that apply to a particular program depend on the auspices under which it operates. Is it a nonprofit organizationthat is part of a public elementary school or operated by a faith-based organization? Is the center a federally funded Head Start or anemployee-sponsored on-site program? Is it part of a for-profit chain or operated by an individual entrepreneur? Is it located in an urban,suburban, or rural setting? The next section identifies some of the kinds of regulations you must be aware of and, when applicable, abide bywhen you are a center director.
Regulations to Address When Establishing a New Program
The process of creating a new child care program must begin with careful review of licensing requirements related to the facility’s designand layout; local zoning and land use laws; and building codes that apply to structures built for this purpose. You will greatly increase yourchances for success when you have become informed about these laws that lay the foundation for your program’s successful launch.
Licensing Regulations:
The first decisions licensing regulations will help you make about your new child care center is what age groups and how many children ofeach age group you plan to serve. Those decisions will determine how many square feet you must provide for each group indoors and out.Some other issues related to the building’s design that regulations address include the number of toilets and sinks required for the numberof children you will serve, appropriate accommodations for infants’ napping rooms, and spaces you will provide for adults. Licensingregulations will also help if you are preparing to welcome children into your home as a family child care provider. They will identifymodifications you may need to make, such as installing gates at the stairs or adding an additional sink in the diaper changing area.
When you review child care licensing regulations carefully, you will see a number of sections that help you plan your facility. We willprovide a more in-depth discussion of child care licensing regulations and discuss those that apply to program development andimplementation in more detail below.
Zoning and Land Use Regulations:
Zoning regulations define how land may be used. States’ zoning laws allow each city and town to divide its land into districts. Within thosedistricts, the municipality can enact zoning codes that regulate land use and can include specifications related to buildings’ structure andtheir use. Generally, zoning regulations become more stringent as population density increases; that is, more rules about land use are likelyin the center city than in the suburbs, and suburbs are likely to have more regulations than do rural areas.
Interestingly, child care is frequently treated as a “problem use.” That means child care centers, and sometime family child care homes, areprohibited from residential neighborhoods because of concerns about the noise and traffic they are likely to generate. They are also oftennot permitted in commercial areas because business districts are not considered good places for children. Some states are working toprevent localities from enacting restrictive policies related to the construction and operation of child care facilities.
When you are familiar with your community’s applicable zoning and land use regulations, you will be prepared to select an appropriate sitefor your program, one that will not likely require a prolonged process of hearings before gaining approval.
Building Codes and Requirements Related to Fire Safety and Sanitation:
Building codes and regulations related to fire safety and sanitation, including those that address the structure’s wiring, plumbing, and thematerials used for construction, are typically included among communities’ laws addressing public health and safety. They may be coveredunder municipal ordinances or state regulations that are enforced by local officials.
Fire regulations that apply to child care centers describe allowable types of building construction and set standards related to alarmsystems and fire extinguishers. They specify how combustible materials are to be stored and require that building evacuation plans beposted. The Life Safety Code handbook is available at no cost at the National Fire Protection Association (NFPA) website. It providesguidelines on fire protection and containment for child care centers, group homes, and family child care.
Sanitation codes are mainly concerned with diaper changing and bathroom facilities as well as food service operations. Sanitationstandards specify, for example, where sinks are to be located (i.e., in the same area as the toilet and in the central diapering area).Regulations addressing these issues are often part of licensing standards but are established and are often enforced by state departmentsof social services or local health departments.
Applying for an Initial Child Care Center License:
Once a new construction project has addressed all of the issues identified earlier, it will be time to apply for a certificate of occupancy (COO).This is a statement issued by the appropriate local governmental agency indicating a new building is suitable for use. A new center musthave a COO before requesting the required inspections that are the first steps toward opening a new center. Administrators of newprograms are likely to begin recruiting children and provisionally hiring staff as they prepare to apply for initial licensure and permission tolegally operate as a child care program. Review
Figure 3.1
for a summary of this process.
Figure 3.1
Overview of the Process of Opening a Licensed Child Care summarizes the steps required to plan the construction and launch of a new program of earlycare and education.
Licensing Regulations That Guide Program Development and Implementation
Licensing is the procedure by which a person, association, or corporation obtains from the appropriate state agency a permit to legallyoperate or continue operating a child care facility. Sometimes the state’s process of granting a center permission to operate is called certification, permission, approval, or registration.
1 The District of Columbia, the Department of Defense, and 49 states (all except Idaho)license child care facilities (
AAP/APHA/NRCHSCC, 2011
;
National Center on Child Care Quality Improvement, 2013
). The licensing agency(typically the state’s department of human services, social services, or health) enforces the baseline requirements established by its statelegislature and makes the decision to issue or deny license applications.
Child care licenses, sometimes called permits, certificates, registrations, or approvals, are valid for varied periods of time.2 Nine states offernon-expiring licenses; in 32 states, a license is good for 1 or 2 years; and licenses are good for varied periods of time in the remaining ninestates (
NARA, 2013
). Caring for Our Children: National Health and Safety Performance Standards: Guidelines for Out-of-Home Child Care,3rd edition (AAP/APHA/NRCHSCC, 2011), developed as a collaborative effort of several organizations devoted to children’s health andwell-being, is a comprehensive discussion of recommended standards for child care, including the rationale for suggested provisions,references, and comprehensive appendices. The Caring for Our Children’s interactive website listed at the end of this chapter is updatedregularly. It includes responses to frequently asked questions (FAQs) and highlights recommendations that have been updated or refined.Its authors, for example, identified steps that programs of early care and education should take to ensure that infants’ sleepingarrangements are safe, strategies to prevent childhood obesity, and practices that help to ensure young children’s oral health when newresearch indicated changes to common practices were needed.
Child Care Center Regulations:
Child care regulations differ widely from state to state.3 It is important to remember that they are intended to establish minimum standardsof care designed to keep all children safe, rather than to ensure the provision of exemplary services. They must balance the state’sresponsibility to protect children while they are cared for in out-of-home settings with the pressures of the marketplace, that is, the abilityof providers to meet these established minimum standards. Child Care Aware® of America (previously known as the National Association ofChild Care Resource and Referral Agencies [NACCRRA]) regularly compares the child care center regulations of all states and theDepartment of Defense (DOD), which regulates child care programs serving military personnel. The report released in 2013 follows up onthe findings reported in
2007
, 2009, and 2011. It identifies 11 benchmarks that consider the adequacy of regulations related to safety,health, and early learning and 4 benchmarks addressing the adequacy of regulatory oversight and enforcement. This report indicates thatthe adequacy of regulations ranges from 130 (on a 150-point scale) for the DOD to 23 for Idaho, which lacks state-level child careregulations. The report’s authors note that the average score was 92, which represents 61% out of the possible 150 points. They point outthat in most classrooms, a score of 61% would earn a student a D. While noting that many states have made progress since the 2007report, the fact remains that child care licensing regulations still do not ensure that all children are in safe, high-quality settings. The authorsrecommend that the U.S. Congress raise the standards for programs eligible to receive federal Child Care Block Grant subsidies, a strategythey believe would motivate states to revise regulations to mandate higher levels of quality (
Child Care Aware® of America, 2013
).
All states’ regulations are now online. To review regulations of your state, or neighboring states, follow the links from the website of theNational Resource Center for Health and Safety in Child Care and Early Education.
Most licensing codes include sections addressing these issues (AAP/APHA/NRCHSCC, 2011; NARA, 2013;
Child Care Aware® of America,2013
):
1. Introduction. The introductory section of licensing regulations defines terms such as child care center and director; identifies theprograms that must be licensed and, when appropriate, those that are exempt; describes how applicants obtain and submit anapplication for a license; identifies required inspections and approvals; indicates the duration of the license and describes the renewalprocess; identifies situations that would result in license denial, revocation, or nonrenewal; stipulates how the license is to be postedon the premises; and provides other state-specific general information.
2. Organization and administration. State licensing laws require an applicant to identify the program’s purposes and its sponsoringorganization, to indicate whether the program is for-profit or not-for-profit, and to describe its administrative structure (e.g., director,board of directors). They often require programs to have policies describing the services they provide children (e.g., eligibility andadmission criteria, termination policies, nondiscrimination provisions, and fees) and may also require plans to ensure the center’sfinancial solvency.
3. Staffing. This section of the regulations describes mandated background checks, which typically include checks of both sex offenderand child abuse registries as well as both federal and state fingerprint records; required child—staff ratios; educational and priorservice prerequisites for directors, teachers, and aides; the minimum age requirements for center employees; and requirements foron-the-job training. Regulations might, for example, permit a 16-year-old with a high school diploma or GED (certificate given forcompleting tests of General Educational Development considered to be equivalent to a high school diploma) to serve as a director inone state, but might require the director to be at least 21 and hold a bachelor’s degree in another. Likewise, there are states in whichan employee enrolled in high school or a GED program is qualified to be a lead teacher, and in other states lead teachers must hold, ata minimum, a Child Development Associate (CDA) credential (NARA, 2013).
Staff qualifications are, in fact, one of the most important characteristics that determine program quality and have a significant impacton child outcomes (
). They are of particular importance to directors who are responsible for deciding who to hire, andsometimes who to terminate from employment. For that reason, they will be addressed in greater detail later in this chapter.
4. Facilities, equipment, and transportation. Licensing codes typically require applicants to satisfy health department and firemarshal requirements before applying for a license to operate a child care center. All states that regulate child care specify the amountof indoor space (square footage) available per child. Most states regulate the amount of outdoor space, require that indoor andoutdoor equipment be safe and in good repair, and require outdoor fencing. Almost all states have regulations related to transportingchildren in vehicles. Most specify that the driver must have a valid driver’s license, address the driver’s minimum age, and require thatthe vehicle be kept in good repair. Many require children to be secured in safety restraints (NARA, 2013).
When well-qualified teachers work with appropriate-sized groups of children, they have the opportunity to engage in meaningful one-on-oneconversations that support learning.
Suzanne Clouzeau/Pearson Education
5. Health and safety. All states that regulate child care require participating children to have either specified immunizations before theyare allowed to participate or documentation indicating why they are exempt from this requirement. Procedures for administeringmedications to children while they are in care are required by most states. In addition, most require children and staff to have aphysical exam. Other health and safety issues often addressed in regulations include descriptions of required health forms forchildren and staff; requirements for reporting serious injuries, deaths, and infectious illnesses; measures to ensure children’s security,such as keeping daily attendance records and establishing procedures for accepting children in the morning and releasing them at theend of the day; the existence of emergency preparedness plans; plans to conduct regular fire drills; hand-washing requirements forchildren and staff; diapering procedures; the availability of a first aid kit; rules related to smoking and firearms; storage of hazardousmaterials; and guidelines for keeping animals (AAP/APHA/NRCHSCC, 2011; NARA, 2013). The recent emphasis on the prevention ofsudden infant death syndrome (SIDS) has resulted in the addition in many states of regulations addressing infants’ sleeping positions(
Office of Child Care, 2013
).
6. Activities and materials. Almost all states have some regulations specifying the types of activities that centers must include in achild’s day, and many require teachers to create daily schedules. Regulations typically require active and quiet play indoors and out,nap or rest time, individual and group activities, and regular meals and snacks. Many states also require programs to explicitly addressfine motor, social, emotional, physical, cognitive, cultural, and language and literacy development. Specific regulations are likely torequire, at a minimum, fine-motor toys and manipulatives, books and materials to support literacy, props to support dramatic play andmake-believe, and art supplies (NARA, 2013).
7. Discipline. Almost all states that license child care centers have regulations related to behavior management, guidance, and discipline.Many states stipulate that programs use “no harsh discipline” and prohibit specific practices such as forced napping, locked timeout,or yelling at children. Two states continue to allow corporal punishment under certain circumstances (NARA, 2013).
8. Food and Nutrition. All states that regulate child care have requirements addressing the nutritional content of the food they serve tochildren, and most have specific regulations addressing the nutritional needs of infants. These regulations are likely to also addressthe intervals between snacks and meals, require centers to post menus in advance, and may indicate whether families are permitted toprovide meals and snacks for their own children.
9. Communicating with Parents and Parent Involvement. Most states address how centers are to communicate with parents to keepthem informed about the program their child attends. Strategies for communicating with families include providing them with writtencopies of the program’s policies and procedures, logging children’s daily activities, and regularly scheduling meeting with parents. Almost all states require that centers permit parents to visit without prior notice, and some also require that parents be givenopportunities to be involved in the center (NARA, 2013).
Application Activity
Working in small groups, refer to your state’s online child care regulations to become familiar with requirements related to requiredactivities and equipment. (Locate these regulations by following the link from the National Resource Center for Health and Safety inChild Care and Early Education website).
Assume you have the basic tables, chairs, resting cots, and bookshelves to equip a classroom for infants, toddlers, and 3- or 4-year-olds. What would you purchase if you had $1,000 to spend to enhance the collection of fine-motor toys, books and literacy materials,dramatic play, or art center in one of these classrooms? Use a catalog or the website of a school-supply company (see
Appendix 1
) toidentify what you would select.
Family Child Care Regulations:
Regulation of small and large family child care remains inconsistent. Twenty-nine states (57%) require small family child care homes to belicensed; 34 states (36%) require a license for large family child care homes. These regulations are typically similar to those for child carecenters. The main differences in the family child care regulations concern:
1. How the number of children will be counted. All children on the premises who are to be supervised, including the caregiver’s ownchildren, are typically counted in the home’s approved capacity.
2. How keeping infants and toddlers and school-age children affects the number of children who can be served. Most family child carehomes have mixed-age groups.
3. How the inside and outside areas of the home, and the family’s personal possessions, are to be childproofed to ensure children’shealth and safety. These accident-prevention regulations are likely to address how children are to be protected from dangerousfeatures, such as stairs, and dangerous items, such as weapons, which are found in some homes. (AAP/APHA/NRCHSCC, 2011)
Other states offer family child care providers registration or certification as an alternative to licensure. Providers seeking registration orcertification are asked to affirm that they have met identified health and fire standards and, in some instances, that they have submittedcriminal background checks for individuals who work with or are around children as well as family members over the age of 10 who live inthe home. In many states, registration or certification simply involves submitting an application to the child care licensing agency, andregulatory staff visit registered centers only in the case of complaints. Fifteen states (29%) offer small family child care homes this option;six states (18%) offer it to large family child care homes (NARA, 2013). When participation in the regulatory system is optional, becominglicensed or registered often makes family child care homes eligible to participate in the state’s professional development and qualityenhancement initiatives.
Many advocates voice their concerns that the majority of child care homes remain outside the state’s regulatory system, and thatregulations remain largely voluntary for family child care (NARA, 2013). Others suggest that center-based regulations should apply tofamily child care programs. In any case, we know there is a great demand for family child care, and, in most communities, there is greatvariability in its availability and the quality of the services they provide.
Reviewing and Revising Child Care Regulations:
Most states mandate regular reviews of their child care regulations. This process is usually led by an appointed child care advisory board.States are encouraged to ensure that this board reflects the state’s cultural and ethnic diversity and includes representatives from allstakeholder groups, including for-profit and not-for-profit operators and caregivers; parents of children enrolled in child care; personnelfrom agencies that regulate child care; early childhood education, child development and health care professionals; citizens; and politicians.
This board typically reviews the regulations on a regular multiyear cycle and then proposes changes to licensing regulations, if needed,based on recent research and experts’ advice about how to safeguard children’s physical and emotional well-being. The board thenpresents these proposed changes in a series of public hearings, giving interested citizens the opportunity to express their concerns and/orsupport. Changes to the original proposal may be necessary before revised regulations are submitted to the state legislature for adoption.Some states provide a gradual phase-in of new rules, particularly when the changes have economic ramifications, as do those affectinggroup size or child—staff ratios (AAP/APHA/NRCHSCC, 2011).
Regulations That Apply to Governmental Agency’s Programs:
Publicly funded early childhood programs may not be subject to state child care licensing regulations. Instead, programs operated by thepublic school system often fall within the jurisdiction of the state’s educational agency (SEA), and Head Start programs are regulated byfederal guidelines.
Many states have an office of early childhood education within its department of education. That state office works with
· districts, principals, and teachers providing oversight and technical assistance
· the public, sharing information about standards, regulations, and trends and issues in early childhood education
· legislators and other policy makers who shape and influence legislation that affects early childhood programs
The National Association of Early Childhood Specialists in State Departments of Education (NAECS/SDE) is a national organization, foundedin 1972, that provides resources and networking opportunities for state-level early childhood leaders such as directors of states’ offices ofearly childhood education. It also helps unify members’ efforts to advocate for policies that support quality programming for youngchildren.
Concerns about Regulatory Policies:
In spite of advocates’ efforts to enact child care licensing regulations that set high expectations, concerns about the quality of currentlicensing’s minimal standards remain:
1. Some states’ child care regulations exempt a large number of programs. The most frequent exemptions apply to programs that carefor children while their parents are on the premises, such as those located in health clubs and shopping centers; part-day programs;programs operated by faith-based organizations; recreation programs such as those offering dance or karate classes; and day camps(NARA, 2013). After-school programs have, historically, also been unregulated. This gap in oversight is closing, however. To date, 23states have adopted abbreviated licensing standards for services for school-age children (NARA, 2013). These less comprehensiveregulations most often address the physical environment, child—staff ratios and maximum group size, staff qualifications andbackground checks, health and hygiene, and program activities (
U.S. Department of Health and Human Services, 2006
).
2. Licensing codes often fall below standards recommended by the American Academy of Pediatrics or NAEYC in critical indicators ofquality, such as child—staff ratios, group size, and the education and training of staff (AAP/APHA/NRCHSCC, 2011;
Child Care Aware®of America, 2013
).
3. Many states’ licensing agencies face challenges providing training to licensing staff, keeping caseloads at recommended levels, andhaving adequate resources to provide regular onsite monitoring to ensure effective enforcement and meaningful technical assistance(NARA, 2013).
Advocates calling for higher licensing standards recommend that states eliminate exemptions and create incentives for all programs caringfor children to be licensed. They also recommend reduced licensing staff caseloads so that inspectors will be able to visit programsregularly and provide technical support as needed.
Additional issues that advocates in some states are working to change relate to staff qualifications, group size, and child—staff. They call forlicensing standards that reflect current research identifying characteristics of quality related to positive child outcomes and for streamlinedlicensure processes (
Cost, Quality, and Child Outcomes Study Team, 1995
;
NAEYC, 2011
; NARA, 2013).
Application Activity
Compare Head Start Program Performance Standards (found by searching “Head Start Performance Standards”) with your state’slicensing standards. (Locate your state’s licensing regulations by following the link from the National Resource Center for Health andSafety in Child Care and Early Education website). Identify some ways this federal program for low-income families sets a higherstandard of care than is required for many programs operated under different auspices. You might begin by comparing theregulations related to group size, requirements for working closely with families, and teachers’ required professional preparation.
3.2 ACCREDITATION
Accreditation is a voluntary system of evaluation that measures a program’s success meeting the accrediting organization’s establishedstandards of practice. Programs that achieve accreditation have demonstrated that they have achieved a recognized standard of excellence.As publically funded prekindergarten (4K or pre-K) programs have grown in popularity, some states have enacted regulations requiringprograms receiving state monies to be accredited or to be actively working toward accreditation. States’ incentives for accreditation includehigher rates of tuition reimbursement for children receiving subsidies as well as prioritized access to state-supported quality enhancementinitiatives (
Education Commission of the States [ECS], 2002
;
Winterbottom & Jones, 2014
).
A study of directors’ perceptions of the benefits of accreditation found that 55% of directors of accredited programs thought theirprograms were more visible, and 38% reported that accreditation made marketing easier. More than 90% of directors reported that theybelieved the quality of their programs increased because they pursued accreditation. They identified improvements in the areas ofcurriculum, administration, health and safety, and the physical environment. The directors also stated that children benefited from betterstaff morale and improved knowledge and understanding of developmentally appropriate practice (DAP), and parents had an increasedunderstanding of the characteristics of high-quality care (
Herr, Johnson, & Zimmerman, 1993
).
Accredited and nonaccredited early childhood programs have been shown to differ in a number of significant ways, including the staffmembers’ willingness to innovate and accept of change; consensus as to the program’s goals; compliance with child care regulations;opportunities for staff development; economic stability; clarity about policies and procedures; communication within the program and withparticipating families; and cultural continuity, especially when working with children who are learning English as their second language(
Crowley, Jeon, & Rosenthal, 2013
;
Rendon, Harjusola-Webb, & Gatmaitan, 2013
:
Rohacek, Adams, & Kisker, 2010
).
The NAEYC Academy for Early Childhood Program Accreditation was established in 1985 and is generally accepted as the “gold standard”of quality programming. It is the most well-known, most widely respected, and most researched accreditation system in the field. In 1999,the NAEYC Academy for Early Childhood Program Accreditation began reinventing NAEYC’s accreditation system. Revised Early ChildhoodProgram Standards and Accreditation Criteria were approved in 2005 and took effect in September 2006. Those revisions were designed toincrease the reliability of program evaluation, improve the system’s responsiveness and the timeliness of onsite validation visits, and raisethe bar of quality. The NAEYC Accreditation criteria are reviewed on a regular schedule and are revised, as needed, to reflect recentresearch related to best practices in early care and education (
NAEYC, 2014a
).
In 1988, just a few hundred centers had earned the recently launched NAEYC Accreditation. By 2007, the public had become more informedabout the importance of quality and what it meant for a program to be accredited by NAEYC. At that time, more than 10,000 accreditedprograms were serving nearly 1 million children. The number of accredited programs has declined in recent years. In 2014, NAEYCreported fewer than 7,000 accredited centers serving a little over 600,000 children. Two possible explanations for decreased participationin NAEYC Accreditation are the increased rigor and cost of the NAEYC Accreditation process and the proliferation of alternativeaccreditation systems that put some of the same benefits (i.e., enhanced payments in states’ voucher systems or exemption from sometaxes) within easier reach.
This video provides an overview of NAEYC Accreditation and identifies howchildren, families, program administrators and staff, programs, and communitiesbenefit when young children participate in high-quality programming. It alsodescribes where additional resources about NAEYC Accreditation can be found.Watch this video to learn more:
https://www.youtube.com/watch?v=rhBBd9Tl4k4
There are four steps to acquiring NAEYC Accreditation. Centers must:
1. Enroll in a self-study that helps the program identify the strengths it brings to the accreditation process, identify areas in which itneeds to concentrate improvement efforts, and make and implement specific program improvement plans to address all accreditationstandards. Programs can take as long as they need to complete this self-study process.
2. Submit an application for accreditation in which the program indicates it will complete the formal self-assessment, document how ithas met each standard to date, and describe plans for satisfying all required accreditation criteria within one year.
3. Become a candidate for accreditation by submitting the required self-assessment report and other documentation describing theprogram’s structure and the qualifications of administrators and staff.
4. Host an onsite visit scheduled for within 6 months of the submission of its candidacy materials.
Fees are assessed at each step of the process and are determined by the number of children served. The initial cost of accreditation forsmall centers (1 to 60 children) totals $1,570, with an annual report fee of $550. Fees increase for programs serving 61–120 children, 121–240 children, and 241–360 children and at 120-child increments thereafter. Accredited programs must submit four annual reports over the5-year term of their accreditation and must reapply and successfully renew their accreditation before the end of their 5-year term. Adetailed description of the process of pursuing NAEYC Accreditation can be found by following links to Accreditation of Programs for YoungChildren from the NAEYC website (see the inside front and inside back covers along with the first four pages of this book for the NAEYCAccreditation Standards).
Many programs begin the NAEYC Accreditation process but stall during self-study either when seeking initial accreditation or duringreaccreditation.
Talley (1997)
found directors most often reported a lack of time, problems with high levels of staff turnover, and programinstability as the major reasons for abandoning the accreditation process. Three other frequently identified barriers to success were newdirectors who felt ill equipped to successfully achieve accreditation, saw the application process as overwhelming, and viewed otherprogram concerns as higher priorities. Although a few program directors with a strong, stable staff and healthy environments believedaccreditation was not important, most failed to complete the required self-study because they were unsure about the quality of theirprogram and their chances for success.
Some states have approved a number of organizations’ accreditation systems for state-supported benefits, including higher-than-minimalreimbursement rates and tax savings. These states are likely to require approved accreditation systems to address the same attributes ofquality and to set expectations for equivalent levels of quality as the accreditation standards of NAEYC, the National Association of FamilyChild Care (NAFCC), or the National Early Childhood Program Accreditation (NECPA) Commission (Winterbottom & Jones, 2014). You maywant to learn more about these alternative accreditation systems: the Association of Christian Schools International (ACSI), the NationalAccreditation Commission for Early Care and Education Programs (NAC), Montessori School Accreditation Commission (MSAC); theNational Early Childhood Program Accreditation (NECPA), the National Lutheran School Accreditation (NLSA), and the National Council forPrivate School Accreditation (NCPSA).
Early childhood programs located in public schools are accredited by their state education agency and possibly by the Southern Associationof Colleges and Schools (SACS). They may also be accredited by NAEYC or by some of the organizations identified earlier.
Review
Table 3.1
for a comparison of licensure and program accreditation. It clearly identifies the differences between licensure developedto protect children from harm and accreditation standards setting a high bar for program quality.
Table 3.1
A Comparison of Licensure and Program Accreditation
Licensure
Mandatory
Developed by governmental and funding agencies
Minimal level of quality
Requires full compliance
Enforced at state and local levels
Failure to comply can result in revocation of the center’s license; it cannot operate legally
Accreditation
Voluntary
Developed by professional organizations
Higher-than-minimal standard of quality
Requires substantial compliance
Nationally validated and enforced
Failure to comply may mean the center loses accreditation but can continue to operate legally
3.3 QUALITY RATING AND IMPROVEMENT SYSTEMS
Quality Rating Improvement Systems (QRIS) (sometimes called Quality Rating Systems [QRS]) are systematic approaches to improving thequality of child care and after school programs. They are designed to increase program quality by bridging the gap between the minimumstandards set by each state’s child care licensing standards and the high standards that reflect research-based best practices. They provideresources and incentives designed to improve participating programs’ quality and to make parents better consumers by helping themunderstand the characteristics of quality programming (NAEYC, 2011;
Schulman, Matthews, Blank, & Ewen, 2012
). QRIS programs typicallyuse easily understood symbols, most frequently an increasing number of stars, to identify each level of quality (
Mitchell, 2005
). Everysystem includes two or more levels of quality above the floor created by mandatory licensing regulations. All but two states link ratings tonational accreditation, sometimes automatically giving accredited programs the highest ranking because they assume that accreditationstandards are at least as rigorous as the states’ ranking system (Mitchell, 2005;
National Center on Child Care Quality Improvement, TheOffice of Child Care, n.d
.; Schulman, Matthews, Blank, & Ewen, 2012).
Figure 3.2
identifies the characteristics shared by all QRIS programs.
This video provides an overview of the Massachusetts QRIS. It describes howthe system, which sets higher-than-minimal standards, has been designed to assess,improve, and communicate the level of quality in participating programs of earlycare and education. Watch this video to learn more about QRIS systems:
https://www.youtube.com/watch?v=vQalDq3fr3w
Figure 3.2
Components of All Quality Rating and Improvement Systems
Since the implementation of the first QRS in Oklahoma in 1998, they have attracted the attention of communities from coast to coast. States’approaches to creating their QRIS vary considerably. Some make their system a statewide venture, while others limit their implementationto particular counties or metropolitan areas, particularly during their pilot phase. In some states, all centers are required to participate; inothers, participation is voluntary. By 2014, 42 states had a QRIS in place, and all but one of the remaining states was in the process ofpiloting or designing a statewide improvement system4 (
QRIS National Learning Network, 2014
). The federal Race to the Top Early LearningChallenge grants rewarded states that committed to strengthening their early learning systems, which accelerated the process of QRISdevelopment in several locales (Schulman, Matthews, Blank, & Ewen, 2012). Follow links from the website of the QRIS National LearningNetwork listed at the end of this chapter for information about each state’s QRIS system.
3.4 STAFF QUALIFICATIONS ADDRESSED IN LICENSING AND HEAD START REGULATIONS, ACCREDITATION, AND QRISSYSTEMS
One factor to consider when making staffing decisions is the applicant’s educational background and previous experience. Recognition ofan administrator’s or a teacher’s expertise is called credentialing, certification, or licensure. High demand for early childhood programpersonnel, inadequate compensation, high staff turnover, and the lack of a professional consensus as to relevant qualifications haveresulted in many programs operating with minimally qualified administrators, teachers, and caregivers.
Directors’ Qualifications
The director’s knowledge and skill are increasingly recognized as essential components of quality (
; Vu, Jeon, & Howes, 2008); however, there is evidence that many directors of child care programs (Caruso, 1991), andprincipals (
Charlesworth, Hart, Burts, & DeWolf, 1993
;
Mead, 2011
;
National Association of Elementary School Principals [NAESP], 2005
)lack thorough training in developmentally appropriate instructional strategies that support curriculum reflecting children’s individualneeds, interests, and strengths. As a result, teachers continue to struggle with administrators who lack these understandings (
Goldstein,1997
;
NAESP Foundation Task Force on Early Learning, 2011
;
West, 2001
). One explanation for this lack of specialized knowledge is thatmany directors are former classroom teachers. Their training and experience are likely to have made them familiar with young children andthe fundamentals of developmentally appropriate instruction. These experiences, however, have not equipped them with the expertise inthe organization theory and leadership, management, staff development, legal issues, fiscal management, and marketing they need as aprogram administrator (
Bloom, 1989
;
Mitchell, 2000
). For this reason, directors’ qualifications are addressed in all states’ licensingregulations as well as in accreditation standards and QRIS systems.
Licensing Standards, Head Start Regulations, and Other Systems That Address Directors’ Qualifications:
There is great variability in states’ educational requirements for directors, and many states’ child care regulations continue to set minimaleducational, age, and prior early childhood experience requirements for directors working in licensed facilities. Most states requireadministrators to be at least 21 years old and to hold at least a high school diploma or a General Education Development (GED) andprior experience or specialized training to serve as a program director; however, for ten states, a GED or high school diploma is sufficient.Twelve states require a Child Development Associate (CDA) Credential, while seven permit individuals who are working on but have notyet completed that credential to direct licensed centers. Eighteen states require a CDA with additional training or credit, three require anassociate’s degree in early childhood education or a related field, one requires a bachelor’s degree, and one requires a bachelor’s degree inearly childhood education or a related field (Child Care Aware® of America, 2013). Current initiatives focused on increasing the quality ofprograms of early care and education have increased the amount of professional preparation several states require for directors; manyhave increased the amount of annual training hours they are required to have (NARA, 2013). Advocates for quality recommend thatdirectors of licensed programs be required to earn a yet-to be-developed national competency-based credential that is linked to a credit-granting institution (Child Care Aware® of America, 2013).
No
te that the CDA Credential is currently the most frequently required form of specialized training an individual is likely to need to becomea center director. That means a director must have a high school diploma or GED as well as the equivalent of 9 to 12 credit hours ofprofessional education and demonstrated competence meeting CDA’s six competencies shown in
Head Start does not require any specific training for directors. Just as in other child care settings, most directors come from the ranks ofclassroom teachers. Those who come from outside Head Start usually have extensive experience in programs serving children living in low-income communities. Head Start offers workshops for new directors, week-long regional training sessions, tailored administrativeconsultation, and the Head Start Management Fellows program to prepare new directors to meet Performance Standards and otherregulations.
Administrators of public schools offering early childhood programs including prekindergarten (or child development) classes, kindergarten,and primary grades must hold a state administrator’s certificate. They are required to hold a valid teaching certificate, have had teachingexperience, and have taken specified graduate courses in administration. Although public school administrators are well educated andexperienced in “school matters,” few states require specialized knowledge in early childhood education serving children from birth to age 8.They may be ill-equipped to provide supervision and instructional leadership to early childhood teachers.
Accreditation and QRIS Standards That Address Directors’ Qualifications:
NAEYC’s Accreditation Standards (2007) identify directors’ core competencies (see the first four pages of this book). These competenciesand the management and leadership functions listed next are a helpful place to begin building your understanding of what effectivedirectors need to know and be able to do to lead their program to reach a high standard of quality.
Program administrators of high-quality programs are successful in managing responsibilities related to:
· Pedagogy. Creating a learning community of children and adults that promotes optimal child development and learning.
· The Center’s Organization and Systems. Establishing systems for smooth program functioning and managing staff to carry out theprogram’s mission, planning and budgeting the program’s fiscal resources, managing organizational change, and establishing systemsto monitor and evaluate organizational performance.
· Human Resources. Recruiting, selecting, and orienting personnel. Overseeing systems for the supervision, retention, and professionaldevelopment of staff that affirm program values and promote a shared vision.
· Collaboration. Establishing partnerships with families, board members, community representatives, civic leaders, and otherstakeholders to provide quality services for children and their families.
· Advocacy. Taking action and encouraging others to work on behalf of high-quality services that meet the needs of children and theirfamilies.
A number of states offer a director’s credential that qualifies individuals to direct programs of early care and education and often helpstheir programs satisfy higher-than-minimal accreditation and QRIS standards. These credentials are most often offered through communitycollege or technical college systems. There are also online director-credentialing programs; however, not all qualify graduates to assume thedirectorship in every state, nor are all approved for directors in NAEYC-accredited programs.
An increasing number of colleges and universities offer bachelor’s and master’s degrees in early childhood administration. Onlineprograms have proliferated in recent years however, just as the quality of credentialing programs vary, so does the quality of these degrees.It is important to investigate them before enrolling because not all degrees earned through online institutions are recognized as qualifyinggraduates for positions that require postsecondary degrees. Programs offered by highly respected institutions (e.g., National LouisUniversity’s Center for Early Childhood Leadership) do, however, provide their graduates with knowledge and skill and a respected degreethat will qualify them for many leadership positions. These degree programs represent important steps toward increasing a director’sknowledge, skill, and professionalism and should lead the way in efforts to document how his or her level of skill and expertise contributeto quality.
Teachers’ Qualifications
Teachers’ qualifications, including the extent and duration of their preservice field experiences and the characteristics of their ongoingprofessional development, have a significant impact on the program’s quality and are addressed in each state’s licensing regulations,accreditation standards, and QRIS systems. They are an important factor in determining the likelihood that the program will contribute tochildren’s growth and development and their success in school and beyond (Early et al., 2006; Kontos, Howes, & Galinsky, 1997;
Licensing Standards, Head Start Regulations, and Other Systems That Address Teachers’ Qualifications:
Although child care is still seen by some as an unskilled occupation, there is a rising tide of commitment to increasing the professionalism ofthe child care workforce. The movement toward professionalism was fueled, in part, by Head Start’s 2007 reauthorization, which mandatedthat by 2013, at least 50% of all Head Start teachers in center-based programs have at least an associate’s degree (Administration forChildren and Families [ACF], 2007). Similar requirements have been adopted by accreditation and QRIS systems striving for higher quality.
States’ child care regulations also address teachers’ qualifications. Most states require teachers to be at least 18 years of age. The mostcommon minimum qualification for teachers is experience with or without a high school diploma or GED. A number of states requiremaster teachers to hold at least a CDA Credential. Most states also require teachers to be trained in CPR, to be oriented to their programwhen they begin employment, and to participate in ongoing professional development (NARA, 2013).
All states require teachers working with young children in public schools to hold at least a bachelor’s degree and to be certified; however,states’ requirements vary greatly. Some states’ early childhood certification qualifies teachers to work with children from birth to second,third, or fourth grade, or to age 8; others prepare them for work with children from birth to age 5 or when they are in kindergarten; someextend from pre-K into the primary grades, and still others address only pre-K and kindergarten age groups. Sometimes states combineearly childhood with special education certification; others offer only add-on certification that builds on preparation to teach elementary-age children (
Jones, Martin, & Crandall, 2009
). Some states require certified teachers to hold a master’s degree for initial certification, andmany require candidates to pass standardized tests such as Praxis. Suffice it to say that states’ approaches to early childhood certificationare varied and change so frequently that it is difficult to keep up-to-date on the latest regulations (Jones, Martin, & Crandall, 2009).
States also use different terms to describe the same kind of programming. It is not clear, for example, if pre-K, nursery, and programs for 3-year-olds are the same kinds of programs (
Fields & Mitchell, 2007
). In addition, certification requirements vary from requiring an in-depthpreparation in growth and development, instruction in appropriate strategies for teaching young children, and supervised student teachingto add-on and alternative certification programs that require just a few courses and little or no supervised practical experience.
Students graduating in good standing from a state-approved early childhood program can expect to be recommended for certification inthe state where their college or university is located. They are also eligible for certification in states that have developed reciprocalcertification agreements with the state of the institution granting their degree.
The National Board of Professional Teaching Standards (NBPTS) has been offering early childhood certification since 1987. The rigorousNBPTS certification process requires candidates to submit a portfolio documenting their teaching skills and to pass a comprehensivewritten exam. Many states supplement the salaries of NBPTS-certified teachers. NBPTS certification is a nationally recognized credential soteachers can maintain their certification if they move from one state to another.
In recent years, the importance of placing appropriately certified teachers in public school early childhood classrooms has become moreimportant than ever. Federal No Child Left Behind (NCLB) legislation enacted in 2001 requires classroom teachers in public schoolsreceiving federal funds to be “highly qualified,” that is, working with the age group for which they are fully certified. This is one criterionincluded in mandated school report cards that evaluates public schools’ ability to reach expected levels of excellence.
Specialized Teacher Qualifications:
Several additional certification programs may apply to teachers of young children. The instructional staff of Montessori schools that belongto the American Montessori Society (AMS) must, in addition to satisfying state licensing or certification requirements, meet AMScertification requirements for working with infants and toddlers and in early childhood (ages 2 1/2 to 6 years), elementary, or secondaryprograms.
The Program for Infant/Toddler Care (PITC) out of the WestEd Center for Child and Family Studies certifies trainers qualified to conducttrainings, coach, and provide technical assistance to caregivers working with children from birth to age 3. The HighScope Foundation offersspecialized training that qualifies teachers for HighScope certification. In addition, the HighScope Educational Research Foundation awardsaccreditation to qualified programs that demonstrate their ability to implement the HighScope curriculum accurately.
A Better Way
In spite of the fact that Marie is confident in the quality of her program and the center’s enrollment has remained strong, she has begun toreconsider her decision not to participate in the state’s QRIS. She has learned that the state has recently made grants to purchase classroommaterials available to centers that participate at its higher levels, and that there are special benefits to becoming fully accredited. Thesebenefits are particularly attractive as the program recovers from the recent difficult economic times. For those reasons, she has researched anumber of accreditation systems that, if she were to earn accreditation, would automatically qualify her center for the state’s highest ranking.She has decided that the time, money, and effort invested in pursuing accreditation would pay off in the long run and has sent for theaccreditation self-study materials. Her decision was made easier by the great confidence she has in her assistant director; Marie hopes thatshe will take the lead in managing the accreditation process by leading staff development, describing what they will need to do to becomeaccredited, completing the required paperwork, and collecting and organizing documentation.
3.5 MEETING LEGAL REQUIREMENTS
Administrators of child care programs have some obligations that are not directly related to their responsibilities to protect children andcollaborate with their families. They concern the business aspects of early care and education, such as the legal existence of privateprograms, tax regulations, and regulations that apply to hiring and terminating personnel. Owners and operators of child care programsmust think carefully about the risks and duties they assume when they and their employees become responsible for the safety and well-being of other people’s children. They need to be well aware of the financial liabilities they may face due to injuries suffered by childrenwhile under the supervision of their employees, or even by their employees while working on the job. They also need to take care to complywith federal laws designed to protect employees and ensure their well-being. It is essential to consult with competent business and taxprofessionals to set up a child care center and operate it lawfully. Some of the many issues you will need to consider are addressed below.
Selecting the Best Type of Business Entity
Proprietorship, partnership, limited liability company (LLC), and corporation are legal categories for four types of private ownership. Legalrequirements for operating an early childhood program under any of these categories vary from state to state. If you are planning toestablish a private early childhood program, you need to seek advice from a lawyer or a tax advisor to learn about laws and regulationsthat may apply. They will provide essential counsel and assist in helping to ensure that you chose the right business entity and establishappropriate operating procedures. Various forms of business entities are summarized and compared in
Table 3.2
which differentiatesbetween sole proprietorships, partnerships, and three kinds of corporations and summarizes the characteristics of each.
Proprietorship:
Under a proprietorship, a program is owned by one person. Another name for this type of business entity is sole proprietorship. The ownerhas no partners or co-owners. Sole proprietorships may consist purely of a single owner-operator or may have one or more additionalpersons (called “agents”) doing work for the single owner. This type of entity is not recommended for owning and operating a child carecenter because the owner would likely to be required to assume full personal financial responsibility for the liabilities of the business.Because of the risks inherent to owning and operating a child care program, the sole proprietorship form of doing business is notrecommended, even when the owner carries liability insurance to protect against legal risks. The owner may be held personally liable forcontractual or other liabilities beyond his or her ability to control, and the liability may exceed the owner’s personal funds or insurancecoverage, leading to personal bankruptcy.
Partners
hip:
In a partnership, two or more individuals join together to operate a program as co-owners. A partnership may involve several individualsor entities as copartners. For example, other partnerships or corporations may serve as partners in a child care center’s ownership andoperation. In the case of a general partnership, the partners face personal liability for the debts and liabilities of the center, as is the case forsole proprietorships. For this reason, use of a general partnership is not usually recommended. A limited liability company and the corporation are better options. They are described next.
Table 3.2
Comparison of Business
Entities
Entities
Sole Proprietorship
General Partnership
Limited Liability Corporation
S Corporation
C Corporation
Liability protection
No
No
Yes
Yes
Yes
Reduced entity taxation
Yes
Yes
Yes
Yes
No
Business debts separate from owners?
No
No
Yes, unless guaranteed
Yes, unless guaranteed
Easy to form?
Yes
Yes
No
No
No
Filing requirements other than business license
None
None
Yes
Yes
Yes
Management
Owner controls
Partners
Either member managed, like a general partnership or manager managed, like a corporation
Both these entities are usually managed by board of directors, though special management agreements may be permitted; directors typically delegate to officers and other agents
Permanence
No
No
Harder to dissolve
Yes
Yes
Transferability of interests
Can assign
Same as GP
Freely transferable; may be subject to agreement
Freely transferable; may be subject to share transfer agreement
Note: The most two important entity choice factors are liability protection and reduced tax liability. As the chart reflects, the most favored entities in these regards are the LLC and the S Corporation. Each entity features different benefits and drawbacks. State laws vary. You should consult with your tax advisor before deciding which is best for you.
Limited Liability Company (LLC):
An LLC is a separate legal entity in the eyes of the law. Thus, owners of an LLC must file with the state government, typically with the secretary of state, to establish their business. In many states, an LLC may consist of one or more members. In other words, if state law permits, a single owner can establish the business as an LLC.
An LLC has two key benefits. The first is shared with sole proprietorships and partnerships; the second is not. An LLC owner has the ability to declare that the business will be taxed as if it were a partnership, meaning that there is no separate tax levied on the business entity itself. Alternatively, the owner may declare that the LLC will be taxed as if it were a corporation.
The second major benefit of LLC status separates the LLC from sole proprietorships and general partnerships and is very valuable. That benefit is limited liability, which frees the owner from personal liability for wrongs committed by others that lead to claims against the entity. The owner of an LLC risks his or her personal investment in the business but does not face unlimited personal liability for the business’s debts or for actions of employees or co-owners. On the other hand, functioning as an LLC (or, for that matter, as a corporation) will not permit the entity’s owner to escape personal liability for wrongdoing he or she personally commits.
The LLC is a flexible entity when it comes to management structure. With multiple owners, the LLC can be operated with corporate-like formalities (through a board of directors, for example) or like a partnership, with each member playing a role in decision making. This latter type of management style, called member managed, is the standard way LLCs are run, but a more formal board of directors system can be agreed to by the members. A competent lawyer or tax advisor can help you structure an LLC to help protect the owner against personal liability and to ensure the owner takes advantage of available tax provisions.
Corporation:
A corporation is a legal entity, just like the LLC. It may be established on a for-profit or not-for-profit basis. Corporations typically exist forever unless dissolved by the board of directors or through court proceedings. Like LLCs, corporations offer their members the benefit of limited liability.
Because the corporation is a legal entity, several documents must be filed with appropriate state offices. The forms are usually somewhat different for for-profit and not-for-profit corporations. Three documents are required to complete the incorporation process:
Articles of incorporation or certificate of incorporation. The organization’s legal creators, or incorporators, use this form to provide the public with information about the corporation, such as the center’s name and address; its purposes; whether it is a for-profit or not-for-profit corporation; its powers, for example, to own and operate a child care center; names and addresses of the initial board of directors; initial officers; and the date of the annual meeting.
Bylaws. The IRS requires bylaws if the corporation is seeking tax-exempt status. Most corporations have them. They explain how the corporation will conduct its internal business including what tasks are to be performed by the various officers and the board. They may also describe voting and meeting requirements.
Minutes of the incorporators’ meeting. After the incorporators prepare the articles of incorporation and bylaws, an incorporators’ meeting is held. The name of the corporation is approved, and the articles of incorporation and bylaws are signed. The incorporators elect officers and the board of directors. Various business actions, such as the authority to open a bank account, are approved. In for-profit corporations, the incorporators may vote to authorize the issuance of stock. Minutes of the incorporators’ meeting and subsequent board meetings are kept in a Minutes Book.
Some standard procedures guide the operational formalities for early childhood programs. The owner must recognize that the entity, whatever the type, is separate and distinct from himself. Separate bank accounts should be obtained for any early childhood program. The failure of an LLC or corporation to maintain financial records separate from those of its owners may jeopardize limited liability protection. Careful record keeping for financial and management purposes is a standard requirement for proper management. Not-for-profit corporations with a certain income level and other programs receiving monies from certain funding sources are required to have an audit. In most states, not-for-profit corporations are required to file an annual financial report following the audit.
Franchises and chains may fall under any of the foregoing legal categories of private organizations but are most often corporations or LLCs. Franchises and chains are differentiated as follows:
A franchise is an organization that allows an individual or an entity to use its name, follow its standardized program and administrative procedures, and receive assistance (e.g., in selecting a site, building and equipping a facility, and training staff) for an agreed-upon sum of money, royalty, or both. Two popular child care franchises are Kiddie Academy and The Learning Experience.
A chain is ownership of several facilities by the same proprietorship, partnership, or corporation. These facilities are administered by a central organization. Kinder Care Learning Centers is an example of a chain.
Potential Vulnerability to Legal Actions:
Three concepts often apply in legal actions involving businesses:
An employee is hired to perform certain types of duties, with expectations as to how she performs these duties. When an employee is doing what is normally expected, she is said to be “acting within the scope of employment.” The employer is liable for the employee’s behavior when she is acting within the scope of employment. The employer is usually not liable, however, when the employee is acting “outside of the scope of employment.”
On the other hand, if the wrong was not committed by an employee, but rather by someone hired from outside to perform specific services, such as a karate instructor employed separately by a karate school, then it is harder to hold the center responsible for his actions. In general, the center will not be held liable for wrongs committed by nonemployee “independent contractors” who usually are responsible for their own behavior.
A supervisor who is in charge of other employees may sometimes be held personally responsible for wrongs committed by employees acting within the scope of employment and subject to the superior’s supervision. In this kind of case, both the supervisor and the supervisee wrongdoer could be held liable to the injured party. From the supervisor’s perspective, this type of wrong is sometimes called “breach of the duty to supervise.”
Operating a Child Care Center Is a Business
It is important to remember that a child care center is a business. Program administrators must understand and comply with regulations related to contractual obligations and regulations of the Internal Revenue Service. Failure to comply with business and tax regulations may result in serious consequences, including the risk of civil or criminal liability. This is why it is so important to consult with and rely on competent legal and tax advisors when setting up and running your program. Regulatory and tax requirements change periodically. Even after the program has been launched and is running successfully, it is advisable to perodically ask a professional advisor to conduct a review of procedures and policies to insure continuing compliance.
Laws That Protect Employees
You also need to be aware of regulations designed to protect the employee and the program. Laws that protect the staff include those that prevent discrimination, relate to minimum wages, leave for to care for children or close family members, and access to affordable health care.
Title VII of the Civil Rights Acts of 1964 and as Amended by the Equal Opportunity Act of 1972:
Fair employment practices are mandatory for organizations, companies, and people having contracts with the federal government. The practices are also mandatory for any company employing or composed of 15 or more people. Employers subject to this act and its amendment must not discriminate against any individual on the grounds of race, creed, color, gender, national origin, or age. Employment practices must be based on relevant measures of merit and competence. The employer must also base job qualifications on bona fide occupational qualifications (BFOQ); thus, job descriptions must clearly specify the tasks to be performed.
Americans with Disabilities Act:
The Americans with Disabilities Act (ADA), P.L. 101–336, was signed into law on July 26, 1990. The ADA established civil rights for people with disabilities. The part of the law concerning employment states that employers with 15 or more employees must avoid job-related discrimination based on the employee’s disability. To be protected under the law, the employee must satisfy BFOQ that are job related and be able to perform those tasks that are essential to the job with reasonable accommodations (e.g., making the facility accessible, modifying equipment, modifying work schedules, providing readers or interpreters), if necessary. Furthermore, the employer is legally liable if other employees discriminate or do not make adjustments to accommodate employees with disabilities (Surr, 1992).
image This video describes the provisions of the ADA and helps you understand why it is so important for children and adults. Watch this video to learn more about how ADA adaptions improve life for individuals with disabilities:
Fair Labor Standards Act:
The Fair Labor Standards Act of 1938 as amended applies equally to men and women. Employers subject to this act and its amendments must pay employees the current minimum wage; overtime (hours worked over the 40-hour week) at the rate of 1 1/2 times the employee’s regular rate of pay; regular wages and overtime pay for attendance at training sessions, whether the sessions are conducted at the place of work or at another site; and equal wages for equal work. The act does not apply to members of one’s immediate family.
Family and Medical Leave Act (FMLA):
The Family and Medical Leave Act (FMLA) of 1993 requires companies and organizations with 50 or more employees to grant those who have worked for them for at least 12 months up to a total of 12 workweeks of unpaid leave during any 12-month period for one or more of the following reasons:
the birth and care of a newborn child of an employee
to care for an adopted or foster child
to care for an immediate family member (spouse, child, or parent) with a serious health condition
to take medical leave when unable to work because of a serious health condition
The Patient Protection and Affordable Care Act (ACA):
The Patient Protection and Affordable Care Act (ACA), often referred to as the Affordable Care Act (ACA) or ObamaCare was signed into law in 2010 and took effect beginning in January, 2014. It was designed to ensure all Americans access to affordable health care. ACA includes provisions to help both small and large employers achieve this goal. The Small Business Heath Care Tax Credit helps centers with fewer than 25 employees afford the cost of providing health care coverage. There are also specific provisions for programs with up to 50 employees as well as large centers with more than 50 employees. Visit healthcare.gov for up-to-date information and answers to your questions.
image This video describes the benefits employs are entitled to under the FMLA. Watch this video to learn more about how this law works:
Legal Responsibilities and Vulnerabilities:
Programs are fully liable for compliance with laws and, in some cases, employees and even owners may face personal liability when misconduct occurs. Consider these implications as you think about the program’s potential vulnerability to legal action. First, all employees should have job descriptions spelling out their scope of authority. Second, adequate staffing, safe facilities and equipment, administrative diligence, staff awareness and training in care of children, and documentation will do much to reduce the risk of torts (acts that may result in legal suits brought against the center and/or its employees). Third, buying comprehensive insurance against liability is a sound business investment. Finally, everyone involved in programs should realize that situations leading to liability are ever-present concerns and that all employees are vulnerable to legal actions.
Laws That Protect Children
In every state, child care providers are mandated reporters. Mandated reporters are professionals who have a legal responsibility to report suspected neglect or physical or sexual abuse to appropriate child protective service authorities such as the state’s Department of Social Services or Department of Child and Family Services. Failure to report suspected abuse or neglect can result in criminal or civil penalties. A mandated reporter who does not comply with this law can face fines and/or imprisonment and can lose her job or her license. Early childhood professionals must be familiar with the indications of child maltreatment and state laws regarding reporting suspected cases.
Because reporting is mandatory, a director, principal, or other supervisor cannot prevent an employee from making a report when he or she has reason to suspect that a child has been mistreated. Programs should include information about requirements related to reporting abuse and neglect in handbooks distributed to families and staff.
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SUMMARY
Competent child care administrators have many responsibilities. They must lead their program in complying with child care regulations designed to ensure children’s health and safety, and should also know about accreditation and QRIS systems designed to help their programs reach higher standards of quality. There are also federal laws that apply to the workplace, and regulations that apply to the center’s legal status and financial management.
Describe the purpose of regulations that apply to programs of early care and education and list several topics they address.
Regulations are the rules and laws that govern early childhood programs. They are designed to give families that rely on child care peace of mind that the health and welfare of their children are safeguarded while they are away from home. They include zoning, land use and building codes; regulations related to fire safety and sanitation; and child care regulations.
Identify several ways accreditation standards are different from child care regulations.
Child care regulations are designed to create a safety net for young children and to identify a level of quality no program should fall below. Programs operating legally must adhere to applicable child care regulations. Program Accreditation standards describe higher-than-minimal standards of care and are voluntary.
State the purpose of QRIS.
QRIS are designed to increase program quality by bridging the gap between the minimum standards set by each state’s child care licensing standards and the high standards that reflect research-based best practices. They provide resources and incentives designed to improve participating programs’ quality and make parents better consumers by helping them understand the characteristics of quality programming.
List some ways qualifications for administrators and teachers are different for licensure, for accreditation, and in QRIS systems.
In most states, child care regulations require administrators to be at least 21 years of age and to hold at least a high school diploma or a GED. Many accreditation and QRIS systems require directors to hold a director’s credential. These credentials are most often offered through community college or technical college systems.
Child care regulations in most states require teachers to be at least 18 years of age. The most common minimum qualification for teachers is experience. In most cases, a high school diploma or GED is not required. Head Start raised the bar for teachers’ professional preparation by requiring that at least 50% of all Head Start teachers in center-based programs have at least an associate degree by 2013. Similar requirements have been adopted by accreditation and QRIS systems striving for higher quality.
Identify laws that apply to the childcare workplace, such as those that govern the program’s financial management and employees’ well-being.
Program administrators need to be informed about the program’s business management; about federal laws—such as the Equal Opportunity Act, the Americans with Disabilities Act, Fair Labor Standards Act, Family and Medical Leave ACT, and the ACA—that protect employees and ensure their well-being; and about laws related to mandated reporting of suspected child abuse and neglect.
USEFUL WEBSITES
National Resource Center for Health and Safety in Child Care and Early Education
Click on the link for State Licensing and Regulation Information for information about your state’s regulations and licensure procedures.
National Association for the Education of Young Children (NAEYC) Academy
Click on the link for Accreditation, then Programs for Young Children for information about NAEYC Accreditation, costs, and a list of accredited programs.
QRIS National Learning Network
This comprehensive website includes links describing all states’ QRIS systems and in-depth resources addressing all aspects of implementation, from planning to gathering data on the impact of existing programs.
Caring for Our Children
This website includes a link to download this comprehensive description of best practices to ensure children’s health and safety in out-of-home settings. It includes the rationale for each recommendation as well as extensive references. It also highlights revised recommendations based on recent research.
Head Start Program Performance Standards
The detailed Performance Standards are updated annually in the spring.
Child Care Licensing Study
This in-depth report prepared by the NARA includes information about all states’ regulations and includes useful data tables that compare states’ regulation on varied criteria. This report is updated regularly, so look for the most recent version.
Child Care Aware® of America We Can Do Better
This annual ranking of all states’ child care center standards and oversight is prepared in cooperation with states’ local Child Care Resource and Referral agencies. It applies 10 program benchmarks and 4 oversight benchmarks to its ranking of each state’s child care regulations. This report is updated annually, so look for the most recent version.
Fire Safety in Day Care Centers: What Parents Need to Know
This handout, developed by the Fire Department of the City of New York, Office of Fire Prevention, includes questions families should ask about a center’s fire prevention practices as well as a fire safety checklist families can use to evaluate the center’s efforts to ensure their children’s safety while in care.
TO REFLECT
Serving as the director of a program caring for children is a tremendous responsibility. The existing system of laws, regulations, and voluntary standards provides guidance and protection to newcomers as well as experienced veterans. Which of these laws, regulations, or voluntary standards do you find most beneficial? Can you point to particular sections that you find most helpful? Why?
Review the process to become an NAEYC-accredited center. Identify the skills you now have and those you would need to develop to pursue NAEYC Program Accreditation.
1. We will refer to the process of granting a program permission to operate as licensing throughout this text, but you will want to learn how this process is referred to in your state.
2. We will use license throughout this text, but you will want to learn what approval to operate a child care program is called in your state.
3. In this discussion of child care regulations, the District of Columbia is considered to be a state.
4. The one state that has not made progress in implementing a QRIS system has been stalled because its creation requires legislative action.
CHAPTER 4
CHAPTER 4
Policies and Procedures: Tools to Ensure Your Program’s Smooth Operation
NAEYC Administrator Competencies Addressed in This Chapter:
Management Knowledge and Skills
4. Educational Programming
· The ability to develop and implement a program to meet the needs of young children at different ages and developmental levels(infant/toddler, preschool, kindergarten)
· Knowledge of administrative practices that promote the inclusion of children with special needs
5. Program Operations and Facilities Management
· Knowledge and application of policies and procedures that meet state/local regulations and professional standards pertaining to thehealth and safety of young children
7. Marketing and public relations
· Skill in developing a business plan and effective promotional literature, handbooks, newsletters, and press releases
9. Oral and Written Communication
· Knowledge of the mechanics of writing including organizing ideas, grammar, punctuation, and spelling
· The ability to use written communication to effectively express one’s thoughts
Early Childhood Knowledge and Skills
6. Family and community relationships
· Ability to communicate effectively with parents through written and oral communication
Learning Outcomes
After studying this chapter, you will be able to:
1. Discuss the contributions well-developed policies and procedures can make to your program.
2. Develop an outline for a staff manual, listing the major headings it should include.
3. Describe some ways the family handbook is different from the staff manual.
4. Identify the types of issues that should be addressed in an administrative manual.
Grace’s Experience
When Grace stepped in to serve as her program’s director, she discovered that she was not sure how to handle many of the routine tasks that werenow her responsibility. Previous directors had led the program effectively, but she found that there was no guidance beyond her own history withthe center and the institutional memory of some other long-time employees. No policies or procedures had been established about interviewingprospective employees, filling openings from the waiting list, and planning for staff vacations.
Policies and procedures guide a program’s operations. In this chapter, we discuss how policies and procedures ensure compliance withapplicable federal, state, and local laws; child care regulations; and voluntary accreditation and/or QRIS standards if applicable, whilehelping the program stay true to its core values and vision and strive to realize its mission.
4.1 POLICIES AND PROCEDURES: TOOLS TO ENSURE YOUR PROGRAM’S SMOOTH OPERATION
Policies address issues that are critical to the center’s operations and include rules employees must follow. They describe the program’sspecific plans for achieving particular goals. They can apply to employees as well as participating families. Policies often answer thequestion, “What is to be done and by whom?” A policy might state that the director is responsible for recruiting and retaining qualified staff.Other policies clarify expectations of employment; for example, establishing the length of employees’ annual paid vacation. A third group ofpolicies describes rules participating families are expected to follow; for example, a policy might state that children’s birthday celebrationsmust not include sugar-filled treats, such as cupcakes and candy.
Policies should be written as comprehensive statements describing previously made decisions, identified guiding principles, or alreadyagreed-upon courses of action that will help the program achive its goals. Many policies will be included in a program’s family handbookand/or staff manual; other written policies might serve as a resource for program administrators to ensure consistency and fair treatmentfor employees and families alike.
Procedures describe specific strategies for complying with established policies. They may identify, step-by-step, how to reach agreed-upongoals and include forms developed to accomplish these tasks. Like policies, most procedures will be included in appropriate staff manualsand family handbooks; others apply only to administrators and are less widely circulated.
A procedure that applies to all employees describes applying for vacation time. This procedure should indicate where the form forrequesting a vacation can be found, how far in advance and to whom requests are to be submitted, and when employees can expect aresponse to their vacation request.
The family handbook should include procedures that apply to families. Examples include a request that families notify the center if theirchild is sick and will not be attending for several days or the procedure for families to identify individuals authorized to pick up their childat the end of the day.
Some procedures apply only to administrators. When filling a staff vacancy, the director may be required to (a) post a notice in the staffbreak room, (b) advertise in the local paper, and (c) list the job opening on an online website such as Craigslist. It would not be appropriateto include this procedure in the widely circulated staff manual, but it should be included in the program’s administrative manual thatensures consistency in carrying out many administrative tasks.
Policies and Procedures Guide Both Employees and Families
Policies and procedures describe each stakeholder’s responsibilities and guide their interactions. Some of their content may be specified bychild care regulations or voluntary standards, and in all instances they should reflect reliance on the profession’s Code of Ethical Conduct(
NAEYC, 2011a
) which identifies early childhood educators’ ethical responsibilities and describes how members of the profession aspire tobehave as they work with young children and their families, colleagues, employers, and the community.
The staff manual is an internal document that describes qualifications for employment; includes job descriptions; and spells outemployees’ rights and responsibilities, including the expectation that all employees are to comply with laws, regulations, and standardsdesigned to safeguard the health, safety, and well-being of children, families, employees, employers, and the community. The staff manualshould additionally create clear expectations related to employees’ professionalism and reliance on ethical standards. It should contributeto the creation of the center’s culture of caring; ensure the center’s smooth day-to-day operation; and guide employees’ interactions withone another, the families they serve, and the community. In short, the staff manual helps the center stay on course for accomplishing itsgoals and achieving its vision. A comprehensive staff manual increases the likelihood that policies and procedures will be implementedconsistently.
Families, like employees, play a critical role in ensuring that the program’s operations comply with applicable laws, regulations, andstandards. A program’s family handbook is distributed to the families of all participating children and may also be posted on theprogram’s website. It should include information about the program’s operations, policies, and procedures. The family handbook shouldinclude specifics about the program’s day-to-day operations. It should provide guidance about how children should dress, describe nap-time routines, and specify drop-off and pickup procedures. Many programs also have policies addressing holiday observances and createguidelines about bringing toys from home. Some items in the family handbook ensure that the program complies with licensing regulations.Examples of regulations-based policies families are responsible for following include requiring children to submit proof of specificimmunizations and requiring the isolation or exclusion of children with identified contagious conditions until they are no longer contagious.
In addition, the family handbook should make it clear that this program’s operations and interactions are guided by the NAEYC Code ofEthical Conduct. (See
Appendix 2
.) In fact, the Code requires that programs keep families informed about their philosophy, curriculum,assessment practices, the qualifications of its staff, and “explain why we teach as we do” (Code of Ethical Conduct, Principle 2.2). The familyhandbook is an essential tool for systemically communicating with all families.
Finally, the administrative manual is a tool that guides the administrator’s decision-making process. It is likely to include specificinformation about the employee salary scale; waiting list policies; and benefits, such as reduced tuition for an employee’s child, that are atthe director’s discretion to use when trying to attract particularly desirable personnel.
Like the program’s staff manual and family handbook, the administrative manual should reflect a reliance on the NAEYC Code of EthicalConduct and additionally specify that administrators’ interactions are guided by the Code’s Supplement for Early Childhood ProgramAdministrators (
NAEYC, 2011b
). (See
Appendix 3
.)
Unlike the staff manual and the family handbook, the administrative policies and procedures manual is not distributed. Only the program’sdirector and the governing and/or advisory boards have access to this sensitive information. It is important, nonetheless, even in smallproprietary programs, to write down administrative policies and procedures. This ensures fair and equitable treatment and simplifies thedirector’s day-to-day decision making by addressing in advance the commonly occurring issues he is likely to face on a regular basis. It canalso serve as a guide when facing infrequently occurring situations, such as orienting a new director. In this way, it serves as the program’sinstitutional memory.
Policies and Procedures Addressed in Licensing Regulations
Many states’ child care licensing regulations require that licensed programs have written policies and procedures for staff and familiescovering particular aspects of their operation. Licensing regulations in many states require that topics such as the following be addressed inhandbooks for families:
· Ages of children served
· Hours and days of operation
· Procedures for releasing children at the end of the day
· Procedures for handling illness and injuries
· Procedures for notifying families of field trips
· Notification that child care providers are mandated reporters of suspected child abuse and neglect
· Accepted forms of discipline (NARA, 2013)
Manuals for center personnel may be required to address the following issues:
· Job qualifications, including education, training, and experience
· Essential job functions
· Staff performance evaluation procedures
· Termination procedures
Advocates urge states to require child care providers to develop written emergency plans with specific action steps they should beprepared to take in human-made or natural disasters, with a special focus on infants and toddlers and children with disabilities who wouldneed special assistance in the case of an emergency (
Save the Children, 2012
). The state board of education may also require school-basedprograms for young children, such as prekindergarten and after-school programs, to create policies and procedures addressing specificaspects of their operation.
Weather emergencies can happen at any time. Watch this video forrecommendations about how to prepare for and respond to extreme heat, highwinds, and flooding so that you can protect children from harm.
Requirements Addressed by Voluntary Standards
The family handbook, employee manual, and the administrative manual of programs participating in voluntary accreditation or their state’sQRIS may be required to meet additional standards above and beyond those imposed by licensing regulations.
NAEYC Accreditation Standards also address teachers’ preparation, knowledge, and skills. While state regulations may allow lead teachersto be enrolled in high school or a GED program, NAEYC requires that lead teachers in accredited programs have at least an associate degreeor the equivalent. In addition, NAEYC now requires that at least 50% of the lead teachers in programs with four or more teachers hold abachelor’s degree in early childhood or a related field; however, educational requirements are due to increase in 2020, when 75% of alllead teachers will be required to have earned a bachelor’s degree (
NAEYC, 2008
; NAEYC, 2014). That means the staff manual in anaccredited center must describe the current minimal requirements for lead teachers, and that it would be advisable for it to inform teachersabout the increased requirements that will be in place in the foreseeable future. The administrative manual should specify that the directoris responsible for ensuring that the teaching staff satisfy the current accreditation requirements and that the program will be ready whenthe requirements are increased in 2020. The director will need to take these factors into account when making decisions about hiring newpersonnel and when promoting current staff so that the program remains in compliance with applicable accreditation standards.
NAEYC requires other written personnel policies that go substantially beyond licensing requirements. For example, they must describe:
· Roles and responsibilities, qualifications, and specialized training required of staff and volunteers
· Salary scales and descriptions of benefits for full-time employees, including health insurance, leave, education, and retirement plans
Some of this information will be included in the widely circulated staff manual, but other specifics will, instead, be part of the administrativemanual.
The recent emphasis on increasing the nutritional quality of food served to children in child care and efforts to curb childhood obesity arereflected in many states’ QRIS standards (
Gabor & Mantinan, 2012
). They may, for example, prohibit sugar-sweetened drinks, specify thatprograms serve skim or low-fat milk to children over 2 years old, and increase the number of servings of vegetables (in addition to whitepotatoes) children are served each week (
South Carolina ABC Child Care Program, n.d
.)
Centers that are part of a franchise or chain are also likely to be required to satisfy specific non-licensure-related requirements. Forexample, the operator may require all employees to wear shirts with the center’s logo, or all classrooms might be required to includespecific information in an “introducing the staff” flyer posted outside each classroom. Dress codes and other organization-specific ruleswould be included in the center’s staff manual.
Characteristics of Viable Policies and Procedures
Administrators and boards developing policies and procedures need to consider if proposed items are (a) aligned with laws, regulations,and standards; (b) reasonable and needed; (c) have the potential to contribute to the program’s efforts to fulfill its mission and achieve itsvision; and (d) help the program take a proactive stance rather than a reactive approach to operations and decision making.
They need to be committed to devoting the time and effort required for developing well-thought-through policies and procedures. Theprogram’s leadership should also be committed to participating in the regular review of policies and procedures to be certain they remainaligned with changing laws, regulations, and standards and understandings of best practice. Consider these characteristics of viable policiesand procedures:
1. They conform with state laws and regulations, accreditation and/or QRIS standards (when applicable), and to the policies of thefunding agency.
2. They address as many frequently occurring situations as possible.
3. The staff and administrative manuals and family handbook are aligned with one another.
4. They are relatively constant. Policies should stay consistent rather than change every time there are new members on the board.Procedures should be modified only when better strategies for accomplishing particular goals have been identified.
5. Every family should receive the family handbook and it should be readily available so that it can be consulted easily. This is a goodaddition to the program’s website.
6. Every member of the staff should receive the staff manual and it should be readily available so that it can be consulted easily.
7. They may include a stipulation for their annual review.
How Do Policies and Procedures Contribute to the Center’s Smooth Operation?
The first step in ensuring the program’s smooth and consistent operation is thoughtfully and carefully creating comprehensive policies andprocedures. The next step is to develop the family handbook and staff and administration manuals to be certain everyone is informed aboutthe policies and procedures that apply to them. The third, and perhaps most important step, is ensuring consistent reliance on establishedmanuals and handbooks. All employees need to be familiar with, and to be held accountable for consistently and reliably following, both thefamily handbook, which guides their interactions with participating children and families, and the staff manual, which guides theirrelationships with their coworkers, administrator, clients, and employer. Together they create shared understandings about the program’soperations. When the director follows the administrator’s manual, established policies and procedures will be followed, even when thereare changes in leadership. These tools eliminate any number of potential problems that would otherwise require a great deal of thedirector’s time and energy.
Well-developed policies and procedures can, for example, help determine how you should prioritize families on your waiting list. Supposetwo families paid the registration fee and put their children’s names on the waiting list for a space in your 3-year-old classroom just daysapart. Now, after several months, you have a long-awaited opening. Do you offer the slot to the first child on the list whose stay-at-homemother wants him to have a wider circle of friends? Or do you offer it to the family that came to you a few days later and now needs full-time child care so the mother, who has been job hunting for months and needs money for unexpected medical expenses, can accept theposition she was recently offered?
Clear-cut policies aligned with your program’s core values, mission, and vision would help you consistently reach fair, equitable, anddefensible decisions. If your family handbook and program policies indicate you will always fill vacancies on a first-come, first-served basis,you would be bound to offer enrollment to the first family to pay the application fee. If, on the other hand, your mission prioritizessupporting families’ economic self-sufficiency, and your policies state that you are guided by the established waiting list, you may elect tooffer the spot to the second family that needs reliable child care to support the mother’s employment. In that case, your family handbookmight state, “Spaces will be offered to families on the waiting list on a first-come, first-served basis unless there are compellingextraordinary circumstances.”
Time invested in writing a comprehensive administrator’s manual can make the director more efficient and ensure consistency while savingtime and reducing stress. That is because, instead of ricocheting from one emergency to the next, or relying on memory about how sensitivesituations have been handled in the past, the director can turn to established policies and procedures to guide day-to-day decision making.Established policies and procedures can help her be confident that her course of action will be well thought out and fair to children,families, employees, and the community.
Application Activity
Working in small groups, review the NAEYC Code of Ethical Conduct in Appendix 2. Develop an item you think would make a goodaddition to a program’s staff manual that is suggested by one of the Code’s core values, ideals, or principles.
Who Is Responsible for Developing Policies and Procedures?
In small family-operated centers, owners or operators often serve as hands-on directors working directly with children, families, andemployees. The director in these centers is likely to develop, interpret, and implement policies and procedures and probably has theautonomy to make decisions as the need arises.
Centers operated by a local sponsor such as a church, community organization, college, or university may have a board of directors and/oran advisory committee that works with the director in policy and procedure development and implementation. In these programs, theboard is responsible for guiding the development of policies and procedures that reflect the sponsor’s priorities. They are likely to take thelead in developing policies and procedures related to the maintenance and use of space and utilities, the program’s financial health, daysand hours of operation, and other steps the program can take to achieve the sponsor’s goals in operating the early childhood program.
While the board focuses on creating a context for the center’s operations, the director should be relied upon as the expert on mattersrelated to young children and early care and education. She will have appropriate expectations about employees’ strengths and needs,should be able to contribute to policies and procedures that promote positive relationships with the children and families served, and canprovide advice about how to establish and maintain a good reputation in the community that reflects well on the sponsoring agency.
Large chains and franchises, Head Start, and public school programs usually have a formal organizational structure with established lines ofauthority. In these programs, policy formulation, interpretation, and implementation are likely to be formally structured, with theresponsibilities of the director and board clearly identified. In these large organizations, the director is likely to serve as an expert andspokesperson for the early childhood program, working within this formal structure to advocate for the children and staff. For example, asuperintendent in a public school works with the school board on policies and procedures and sees that the adopted policies andprocedures are implemented. This work, however, is likely to be carried out by assistant superintendents, principals, early childhoodcoordinators, and classroom teachers who directly implement programs for young children at the local level.
Developing and Revising Your Center’s Family Handbook and/or Staff Manual
Developing the Family Handbook and Staff Manual for a New Program:
The center’s family handbook and staff manual are its official vehicles for communicating how it will achieve its vision while accomplishingits goals. When you have the opportunity to create the staff manual and family handbook for a new center, you will be developing policiesand procedures that will set the program’s course for the foreseeable future. It is important that these documents create a culture thatrespects children, families, and colleagues; encourages and nurtures relationships based on trust and respect; and anticipates frequentlyasked questions and ordinarily occurring situations to ensure the program’s smooth operation.
The place to begin the process of developing these materials is with appropriate licensing, accreditation, and/or QRIS standards. You wantto be certain you address all required topics. The next step is to consider how the program will adhere to the core values, keep sight of thevision, and contribute to the mission of the investors, the education committee of the sponsoring church, the board of a publicly fundedagency, or whoever is preparing to begin serving young children and families.
If you become a director in a small center, you might be expected to single-handedly create its family handbook and staff manual. If you areworking with a board, its members may be a resource upon whom you can rely. In either case, as a director of a new program, you willprobably have neither a staff nor families to review preliminary drafts, so it will be particularly important to rely on professional resourcessuch as this book. It would be wise to seek feedback from successful directors of existing programs as you develop these foundationaldocuments. It is also advisable to ask a lawyer to review particular sections before they are finalized to be certain the policies andprocedures they describe keep the center in compliance with applicable laws related to hiring, termination, including individuals who havespecial needs, handling confidential information, and other issues that may have legal dimensions. A member of your governing or advisoryboard or an experienced director in your community may be able to help you locate a lawyer who can provide this service at a reasonablecost.
Developing a Family Handbook and Staff Manual for an Existing Center or Making Major Revisions to Existing Documents:
If you become the director of a program that has a record of regulatory compliance and success but lacks a comprehensive and up-to-datefamily handbook and/or staff manual, your job will be to begin by making “the way we do things here” explicit. That is, you would work todescribe how the center’s “business as usual” approach has helped it comply with laws, regulations, and standards and achieve its goals inthe service of young children and their families.
A director embarking on the creation of these materials for an existing program or a substantial revision of the programs’ existing familyhandbook and/or staff manual will want to work with a small group of staff and the center’s governing or advisory board if applicable to becertain she has accurately described current policies and procedures. It would also be wise to ask a few families to review a proposedfamily handbook to be certain they find it to be comprehensive, clear, and easy to understand.
Once you have a preliminary draft of a new or substantially revised family handbook or staff manual, it is time to give employees anopportunity to provide feedback. This effort will help you confirm that your descriptions of existing policies and procedures are accurate,reasonable, and fair, and will increase the likelihood staff will take ownership of them. While all feedback on draft materials should becarefully considered, it is unlikely administrators and boards will incorporate every suggestion made by the center’s employees. It isessential, however, that staff can see evidence that their feedback has been thoughtfully considered. Remember that they are the face of thecenter, both within the program and out in the community. They have a unique perspective that will add an important and much neededdimension to these materials.
Refining the Existing Family Handbook and/or Staff Manual:
Teachers can provide valuable feedback as you refine your program’s staff manual.
David Kostelnik/Pearson Education
The family handbook and staff manual should be systematically reviewed and updated as needed on a regular basis, at least annually. Theirreview should be seen as an opportunity for the staff to reflect on where the center is on its journey toward excellence, and also where itcan make progress in realizing its vision. The review process should begin by addressing any gaps, oversights, inconsistencies, orduplications they may have noted in the existing materials. Then, it would be wise to consider any situations that frequently requireteachers or the director to make an exception to an existing policy or procedure. Any policies or procedures that are not consistentlyfollowed may need to be revised. This annual review of the program’s policies and procedures encourages staff to be reflectivepractitioners and may help the program comply with a formal policy established by the program’s governing board.
A Better Way
Grace was surprised by how much time and energy she found herself investing in routine tasks. She had to seek approval from the governingboard every time she needed to fill a staff vacancy, when making anything but the most clear-cut decisions about offering admission tochildren on the waiting list, and when switching from one food service provider to another to save money. She felt she needed more autonomyand hoped that clear guidelines about how to make those kinds of decisions might make the board willing to trust her to make good choices.
Grace realized that she could contribute to the center’s ongoing and long-term success by creating an administrative manual. She knew itmight take as long as a year to accomplish this goal, but she was confident it would be worth the time and effort. She first reviewed theNAEYC Code of Ethical Conduct and its Supplement for Program Administrators. Then she contacted the directors of other high-qualitycenters in her community to ask if they would share their handbooks (which she realized they may not be willing to do) or, alternatively, meetwith her and help her develop a draft table of contents that would serve as an outline for her manual. She also networked with directors ofleading programs similar to hers when she attended her state’s early childhood conference. When she had a good draft of a proposedadministrative manual, she took it to her governing board for its approval. She was pleased when the board made some additions and thenapproved it promptly. It is now an indispensible tool that has streamlined the decision-making process and has made her more consistent andefficient.
Using Established Policies and Procedures
Whether implementing existing or newly established policies and procedures, employees’ morale, the program’s reputation, and its overallsuccess will depend on each staff member’s commitment to knowing and complying with both the spirit and the letter of agreed-uponpolicies and procedures.
It is the program administrator’s responsibility, either alone or with the center’s corporate office or board of directors, to interpret andensure consistent compliance with these programmatic guidelines. That means not only that the director follows them without fail, but alsothat he holds each employee and all participating families accountable for abiding by them consistently.
We recommend that staff be required to sign off on the staff manual and family handbook annually to signify that they know and arecommitted to following the policies and procedures they describe and that families be asked to commit to knowing and following policiesand procedure described in the family handbook when they enroll and at the start of each year.
Categories of Policies and Procedures
Policies and procedures should cover as many aspects of the early care and education program’s operation as possible. There are, ofcourse, wide variations across programs, but most programs of early care and education have policies and procedures in the followingcategories:
1. Program overview. Any discussion of policies and procedures should begin by providing an overview of the program, its core values,vision, and mission.
2. Program services. These policies and procedures state the primary program services to be provided (e.g., care, education), along withother services (e.g., food, transportation, social services, parent education) offered by the program.
3. Administration. Some specific areas included in administrative policies and procedures are the makeup of, and procedures forselecting or electing, members to the board of directors, board committees (e.g., executive, personnel, finance, building, program,nominating), advisory group, parent council, or other councils or committees; policies related to the appointment and functions of thedirector and supervisory personnel; and the administrative operations, such as the organizational chart and membership andfunctions of various administrative bodies.
4. Personnel policies. All programs need to have the following documentation in place:
· Job descriptions and qualifications
· Recruitment, selection, and appointment procedures
· Staff training and professional development requirements
· Performance review timeline and procedures
· Salary schedules and fringe benefits
· Payroll schedule (e.g., the 15th and 30th of the month, every other Friday)
· Policies related to excused and unexcused absences
· Personal leave and vacation policies
· Termination policies
Personnel policies of publicly funded programs must include nondiscrimination and equal opportunity clauses and must be incompliance with the Americans with Disabilities Act (ADA). Employees may also be covered by the Pregnancy Discrimination Act of1978 and the Family and Medical Leave Act of 1993. The websites of the U.S. Equal Employment Opportunity Commission (EEOC), theU.S. Department of Justice, and ADA home pages listed at the end of this chapter include advice about how to avoid discriminatorypractices and highlight information related to these issues that should be included in staff manuals (e.g., causes of termination,procedures for termination, appeal process for termination).
5. Services to children. These policies and procedures describe who is eligible for the program’s services. Sometimes eligibility isdetermined by governmental or agency mandates; sometimes families must document financial need; and in other instances,programs may give priority to particular populations, for example, the members of the sponsoring church or employees of aparticular business. These policies should also describe
· Maximum group (class) size
· Child–staff ratio for each age group
· Enrollment options (e.g., full time, part time, drop-in)
· Program services and provisions for child’s safety and welfare (e.g., accident procedures, insurance coverage)
· Types of assessments used to document children’s progress and procedures for sharing assessment information with families
· Situations that could result in the termination of program services
6. Health and safety. This category of policies and procedures may cover
· Physical exams required before employment or admission
· Procedures for screening children’s health daily
· Care or exclusion of ill children
· Procedures for administering medications
· Health services offered by the program (e.g., screening, immunizations)
· Management of injuries and emergencies
· Nutrition and food-handling guidelines
· Provisions for rest or sleep
· Staff training in health and safety (Which staff members have CPR and first aid training? Is there always a trained staff memberonsite?)
· Plans to inspect classrooms and playgrounds for potential dangers on a regular basis.
Rely on professional resources to develop your program’s policies and procedures addressing health and safety. One place to begin is Caring for Our Children, an authoritative online resource with guidelines for protecting children’s health and well-being as well asspecific recommendations for both caregivers and families related to infants’ safe sleeping practices, obesity prevention, and children’soral health (AAP/APHA/NRCHSCC, 2011). Another resource that explicitly addresses programs of early care and education, and is agood addition to any director’s book shelf, is NAEYC’s Healthy Young Children (
Aronson, 2012
).
7. Financial management. These policies should describe the sources of funding (e.g., fees paid by families, grants, contracts) andguidelines and procedures for purchasing goods and services. They should additionally describe how the program will create andmanage the contingency fund established to pay for significant unplanned expenses, such as a new roof or furnace, or how to payemployees in case the program should have to close for a week, a month, or even longer because of illness, a natural or human-madedisaster, or a facility problem. Some topics addressed in policies related to the program’s finances include
· The identification of person(s) responsible for the program’s financial management, including the creation and monitoring of thebudget
· Requirements for keeping the program’s day-to-day financial records
· Requirements for reporting the program’s financial status regularly
· Audit requirements
8. Record keeping. Policies and procedures should indicate
· What kinds of records are kept on each employee and on each child
· Where records are kept, including provisions for their security
· Who, under what circumstances, has access to these records
They should identify procedures for ensuring compliance with the Family Educational Rights and Privacy Act (FERPA) as it relates tochildren’s and families’ rights to privacy in educational settings. Refer to the website listed at the end of this chapter for a descriptionof applicable provisions of FERPA.
9. Families. These policies and procedures describe ways the program interacts with families and meets families’ needs. Particularissues to address in this category of policies and procedures include
· Description of the program’s philosophy
· Procedures and policies related to enrolling and withdrawing children, including notice to be given when withdrawing a child
· Days and hours of operation
· The calendar for the coming year, including scheduled holidays
· Description of the center’s open-door policy that welcomes parents without advanced notice and notes whether or not siblings arewelcome
· Descriptions of how program personnel will communicate with families, including daily or weekly logs, newsletters, email, teacherconferences as well as the center’s policy on the use of technology and social media
Policies related to families should also include information about opportunities for them to be engaged in the program by serving onadvisory groups, accompanying children on field trips, and contributing as a classroom volunteer. And finally, it should includeinformation about the structure and purpose of the parent-teacher organization (PTO), including information about planned familyevents and fund-raising.
10. Public relations and marketing. These policies and procedures guide outreach into the community, including communityrepresentation on advisory committees or governing boards, relationships with allied agencies and associations, and the use offacilities by outside groups. There will also be expectations about how the administrator creates a presence in the community and howthe program creates its unique identity. These policies may also indicate if the center advertises when enrollment applications areaccepted or when registration opens to the public.
4.2 WHAT TOPICS NEED TO BE ADDRESSED IN THE STAFF MANUAL?
Your program’s staff manual is the vehicle that communicates and formalizes many of the program’s policies and procedures. It serves as areference and roadmap for administrators and employees alike. The staff manual often overlaps with the family handbook, but it mayaddress issues in more depth or with a different emphasis. It also must align with state child care regulations as well as accreditationand/or QRIS requirements, if appropriate. In addition to including a statement that all employees are required to know and adhere toapplicable licensing regulations and to rely on the NAEYC Code of Ethical Conduct, major topics that you may want to address and elaborateon in the staff manual include the following:
1. Program Overview
· States the program’s core values, and includes its vision and mission statements.
· Includes the program’s address, phone and fax numbers, email address, website, and Federal Employer Identification Number(FEIN) number.
2. Program Services
· Identifies ages served and days and hours of operation.
· Identifies curriculum models (e.g., Creative Curriculum, HighScope) or approaches to early care and education (e.g., Program forInfant/Toddler Care) teachers and caregivers are expected to implement.
· Summarizes age-appropriate expectations, including the center’s guidance and discipline policies; suggestions for creating anappropriate learning environment; and strategies for appropriately challenging, communicating with, and nurturing young children.
· Identifies learning standards addressed at each age level (e.g., Infant/Toddler Guidelines, Early Learning Standards).
· Describes required documentation of curriculum planning. Are teachers required to submit lesson plans in advance? If so, whatshould they include? When are they due?
· Describes how caregivers and teaches are expected to provide parents with information about their child’s growth, development,and learning using agreed-upon assessment strategies at regularly scheduled parent conferences.
3. Administration
· Includes an organizational chart with a description of the makeup of advisory and/or governing boards.
· Establishes a chain of authority and indicates who will be contacted for help in the case of an emergency if the director is notavailable.
4. Personnel Policies
· Gives notice that the program adheres to applicable nondiscriminatory, equal opportunity, American with Disabilities, and FamilyLeave laws.
· Indicates, if applicable, that employment is “at will” and briefly describes this policy.
· Includes job descriptions and qualifications for all positions.
· Identifies all information and forms required for employment (i.e., background checks, physical exams, educational records,references, Federal Employment Eligibility Verification [I-9], Internal Revenue Employee’s Withholding Allowance Certificate [W-4]forms).
· Summarizes required fringe benefits (e.g., workers’ compensation, Social Security) and other benefits (e.g., health insurance,retirement) available to employees who wish to participate.
· Describes indicators of possible abuse or neglect, puts teachers and caregivers on notice that they are mandated reporters ofsuspected child abuse or neglect, and identifies where they can find additional information about their community’s child protectiveservices.
· Describes staffing patterns (e.g., lead teacher, assistant teacher, floater) and how teaching teams are expected to share instructional,caregiving, and housekeeping responsibilities.
· Identifies daily work hours, break and lunch time scheduling, and how work hours are to be recorded.
· Identifies the schedule and frequency of pay days (e.g., every other Friday, the 1st and 15th of each month).
· Describes when the program will conduct an orientation for new employees and includes a general description of its content.
· Describes the probationary period, if any, for new employees. Indicates its length and how it affects terms of employment (e.g.,eligibility for benefits, earned leave).
· Describes policies and procedures related to sick leave, personal leave, family leave (e.g., maternity, paternity, or family illness ordeath), jury duty, time off for medical or dental appointments, and vacation. Identifies forms used to request leave or vacation,where those forms can be found, and to whom they are to be submitted. Indicates how far in advance they should be submitted andwhen employees will know if leave or vacation has been granted.
· Identifies whom to call when sick and unable to work.
· Describes when substitutes are used and how they are contacted and scheduled.
· Identifies staff meetings employees are required to attend. Indicates how often required meetings are usually scheduled (e.g.,monthly at lunch time) and indicates if employees are paid for this time.
· Stipulates the number of hours of in-service training required annually. Is in-service training offered onsite? Are employees paidduring training? Are employees supported if they attend local, regional, or national conferences? Is support available for courses atlocal colleges or universities? Does the program participate in the Education and Compensation Helps (T.E.A.C.H.®) scholarshipprogram offered by many states? (See the website listed at the end of this chapter for more information about the T.E.A.C.H.®program.)
· Describes procedures used to evaluate staff performance and either includes copies of observation and performance evaluationforms or indicates where they can be found.
· Describes policies related to raises and bonuses. Can employees expect annual cost-of-living raises? Are raises based on merit? Arebonuses regularly awarded? Do raises and bonuses depend on the program’s financial status?
· Describes disciplinary or corrective action procedures, including procedures for filing an appeal.
· Describes where staff can locate supplies and how they can request needed supplies, materials, and equipment.
· Describes the program’s policies related to the use of personal cell phones, the center’s phones, computers and office equipment,and the Internet.
· Describes the program’s policies related to the use of smartphones and social media. (Are teachers permitted to text familymembers while they are caring for children? Are they permitted to “friend” the parents of the children they teach? Can they postclassroom pictures on Instagram?) See
Figure 4.1
.
· Describes the dress code for all staff.
· Identifies where staff are to park.
· Describes how staff are notified if the program will be closed, will open late, or will close early because of severe weather.
· Indicates that the center is a nonsmoking facility or identifies where smoking is permitted.
· Indicates if employees are allowed to bring their preschool or school-age children with them to work and, if they are, under whatcircumstances.
· Describes resignation and termination procedures. Indicates if exit interviews are offered and, if so, with whom.
These guidelines for the appropriate use of technology described in Figure 4.1 can ensure that smartphones and social media areused appropriately
Figure 4.1
The Appropriate Use of Technology
Sources:
Texas Child Care Quarterly, 2013
;
UW Madison Campus Children’s Centers Technology/Social Media Policy, 2013
.
5. Services to Children
· Describes admission criteria and identifies any populations (i.e., siblings of currently enrolled children, members of the sponsoringchurch) who are eligible for preferential admissions.
· Describes the services the program offers to children with identified special needs. Describes the supports available to teachers ofchildren with disabilities and the assistance available to them as they develop and implement Individual Family Service Plans (IFSP)and Individual Educational Programs (IEP), if appropriate.
· Includes the annual calendar indicating dates the program is closed and dates of required staff work days.
· Identifies child–staff ratios for each age group served.
· Identifies group size for each age group served.
· Describes how transitions from one room to the next are planned (e.g., are they based on children’s age or on their developmentallevel?) and implemented.
· Stipulates that teachers and caregivers are responsible for supervising the children in their care at all times, both indoors and out,awake and asleep.
· Describes policies related to child guidance and discipline and summarizes recommended practices.
· Describes the program’s assessment practices, identifies assessment instruments used (i.e., Ages and Stages Questionnaire, WorkSampling System), and includes a general description of expected documentation of learning and development, such as the contentof children’s portfolios and anecdotal records.
· Describes suggested strategies to help children adjust to the program.
· Indicates expectations about lesson and unit plans. Are they to be turned in regularly? To whom? What are they to include?
· Describes the program’s policies about classroom pets and animal visitors. Are they allowed or encouraged? Are they allowed to beout of a cage? What hand-washing practices are required?
· Describes expectations about outdoor play. Where are outdoor play areas? Is each classrooms assigned particular times foroutdoor play? Do children regularly visit nearby parks? How long are children expected to spend outdoors every day? How areteachers expected to be involved during children’s outdoor play? What weather conditions keep children indoors?
· Describes appropriate activities for days when children must remain indoors.
· Describes the program’s policy about field trips. How are field trips approved, scheduled, and supervised? How are childrentransported? Are there some specific trips generally planned for each age group each year?
· Describes the program’s policies related to holiday and birthday celebrations, being sensitive that some families’ beliefs mean thatthey prohibit their children from participating in any celebrations.
· Describes any extra optional activities offered on-site on a fee-for-services basis.
· Describes procedures to follow if a child has not been picked up at the end of the day.
· Describes how staff and families are notified in the event of severe weather or other natural disaster or environmental risk (e.g.,chemical spill).
6. Health and Safety
· Summarizes ordinary and universal precautions that reduce the likelihood that infectious and contagious diseases, including blood-borne pathogens, will be spread.
· Describes hand-washing practices for children and adults.
· Describes appropriate labeling and storage of children’s cribs and rest cots.
· Details sanitizing and washing procedures for toys, cots and cribs, sheets, bibs, and so on. (Important note: The concentration ofhousehold bleach sold in many stores has become stronger. Instead of being about 6% sodium hypochlorite, it is now 8.25%.Consult Caring for Our Children (see the website at the end of this chapter) for guidance about how to dilute bleach for sanitizing anddisinfecting).
· Describes procedures for storing and giving children prescription and over-the-counter medications.
· Explains fire and emergency evacuation procedures, including where children would be taken if they could not return to theirclassrooms and how families would be notified in case of an emergency.
· Details sick child exclusion policies, identifying when children should not come to school and when they are ready to return.
· Describes plans to provide children with first aid, including how minor injuries will be handled (What incident reports are to befiled?) and how parents will be notified if emergency medical care, including transport by ambulance, is needed.
· Describes procedures if a teacher becomes ill or is injured, how children’s safety will be ensured, and how supervision will beassured.
· Describes how children will be released at the end of the day. Indicates how families notify the program if someone other than theusual parent or caregiver will take their child home, including what form of identification is required before a child will be releasedto someone other than the usual parent or caregiver.
· Sets expectations for toilet training and describes toileting routines. Indicates if children of particular ages are required to be pottytrained. Describes how the program supports potty training. Indicates if children are always accompanied to and supervised in thebathroom and if bathroom time is part of the daily routine.
· Indicates if the program provides breakfast, lunch, and/or snacks. Does the center follow U.S. Department of Agriculture (USDA) orother published dietary guidelines? If children bring food from home, does the program provide any guidelines about what shouldor should not be brought to school? Is it a peanut-free program? May children and staff bring fast food (e.g., McDonald’s)?
· Describes how to ensure that food allergies or other dietary restrictions are observed.
· Describes mealtime routines. Are meals served family style? Are teachers and caregivers expected to eat with the children? Isconversation encouraged?
· Indicates teachers’ housekeeping responsibilities (Do they take out the trash, sweep their floors, and clean sinks and bathrooms atthe end of the day?).
· Details by whom and how often the facility and playground are checked to note their condition and identify repairs that may beneeded.
· Practices specific to infant and toddler rooms:
· Details diaper changing practices designed to protect children’s health and safety.
· Indicates that adults must remove their shoes upon entry in infant rooms.
· Requires safe sleep practices to prevent sudden infant death syndrome (SIDS). Infants up to 12 months of age should be placed ontheir backs in a safety-approved crib for all naps. The crib’s mattress should be firm and covered with a tight-fitting sheet. Thereshould be no blankets or toys in the crib.
· Indicates if families provide formula and baby food and where they are stored if provided by the center.
· Indicates how bottles of formula or breast milk are heated (microwaves are NEVER used to heat breast milk or formula).
· Describes how food and bottles brought from home are labeled and stored and when they must be discarded.
· Describes provisions for nursing mothers who want to visit the classroom to nurse their babies and indicates if there is a lactationroom where mothers can express breast milk for later use.
· Indicates if families provide diapers, wipes, creams, and ointments and where they are stored if provided by the center.
· Describes how infants are fed (Are bottle-fed babies always held? Are older infants placed in high chairs or do they sit in child-sized chairs?)
7. Business and Financial Issues
· Details established fees and tuition.
· Describes how fees and tuition are collected and teachers’ responsibilities (if any) related to fee collection.
· Indicates how payments are handled if enrichment activities are provided on a fee-for-services basis (e.g., dance, gymnastics, andart).
8. Records
· Describes content of employees’ personnel files and identifies individuals who have access to these records.
· Describes content of children’s files and identifies individuals who have access to these records.
· Summarizes teachers’ and caregivers’ responsibilities to comply with the FERPA.
9. Families
· Describes how teachers and caregivers are expected to communicate with families (e.g., daily logs, communication notebooks,regular emails, and monthly newsletters) and policies addressing the use of social media.
· Indicates that the center has an open-door policy that welcomes parents without advanced notice and notes whether siblings arewelcome to visit.
· Describes how teachers and caregivers are expected to communicate concerns about a child’s behavior.
· Indicates how confidentiality of all children and families is maintained.
· Indicates how families notify the center if an individual unknown to the center staff will be picking up their child at the end of theday.
· Describes frequency and content of parent–teacher conferences.
· Indicates if the program offers parent education sessions. If so, when are they held? Who is eligible to participate?
· Indicates if the program has a parent–teacher organization (PTO). Describes its purpose and major activities. Indicates how teacherscan become involved.
10. Public Relations and Marketing
· Employees should be reminded that they are the face and voice of the program in the community. Even when they are not working,their behavior reflects on the center.
· Some teachers may be willing to speak to early childhood classes or civic groups. They might reach out to other child care programsor neighborhood religious communities in need of training or parent education classes. When it is seen as a community resource,the program reflects well on itself and the field of early care and education.
Remember that employees are expected to know and consistently abide by all policies and procedures included in the employee manual aswell as the family handbook. Some topics, such as job descriptions, are most appropriately addressed in the employee manual; others, suchas guidelines for birthday celebrations, are described in the family handbook.
4.3 WHAT TOPICS NEED TO BE ADDRESSED IN THE FAMILY HANDBOOK?
The family manual should have a warm and friendly tone and be polished and professional. That means it is easy to read and understand,avoids professional jargon, and includes no errors in spelling or grammar. Illustrations should be respectful of children and families (avoid“cute”) and should reflect the cultural and ethnic diversity of the families you serve. In addition, you should make every effort to have themanual translated into the home language of every family enrolled in your program. The handbook does not communicate with yourchildren’s parents if they cannot read and understand its contents. Families are expected to agree to follow the policies and proceduresdescribed in the handbook. We recommend that you ask them to sign off to signify their commitment to do so every year.
Consider addressing the topics listed next as you prepare a family handbook. Some information, such as the program’s overview anddescription of services, belongs in both the staff manual and the family handbook. Other information, such as specifics about when and howto pay fees or when children should stay at home, is appropriately covered in more depth in the family handbook than in the staff manual.Additional topics, such as staff qualifications, are addressed more briefly in the family handbook than in the staff manual. The emphasis youput on each topic in these program-specific resources will reflect the audience you are addressing, the program’s purpose, and thepopulation the program serves.
1. Program Overview
· States the program’s core values and includes the program’s mission and vision statements as well as its general approach toinstruction (e.g., is this a play-based program?).
· Indicates the program’s licensure status and, if appropriate, the accreditation it has earned or its quality rating.
· Affirms that the program is committed to the field’s core values, ideals, and principles as stated in the NAEYC Code of Ethical Conduct.
2. Program Services
· Identifies ages served and days and hours of operation.
· Gives notice that the program adheres to applicable nondiscriminatory, equal opportunity, and Americans with Disabilities laws.
· Identifies curriculum models (e.g., Creative Curriculum, HighScope) or approaches to early care and education (e.g., Program forInfant/Toddler Care) implemented by the program and briefly describes their essential characteristics.
· Describes services provided and routines for before and/or after school for school-age children (e.g., pick up from school,homework time, and activity options).
· Indicates where parents are to park at drop-off and pickup times.
· Describes policies related to termination of services, including notice families are expected to give if they plan to withdraw theirchild from the center.
3. Administration
· Includes an organizational chart including a description and makeup of advisory and/or governing boards.
· Lists current staff and their assignments.
4. Services to Children
· Describes admission requirements, including birthdate cutoffs, and identifies any populations (e.g., siblings of currently enrolledchildren, members of the sponsoring church) who are eligible for preferential admissions.
· Includes the annual calendar, indicating dates the program is closed and any dates the center does not operate on its regularschedule (Are there half-day sessions to give teachers time for parent conferences or staff development?).
· Indicates child–staff ratios and group size for each age group served.
· Describes how transitions from one room to the next are planned (Are they based on children’s age or on their developmentallevel?) and how they are implemented.
· Describes the amount of interaction between children of different ages, particularly if the program serves school-age children.
· Describes how children should dress (e.g., play clothes that may get dirty or wet, shoes that are safe for running and climbing) andreminds families that children will play outdoors in all but extreme weather.
· Indicates the program’s ability and willingness to meet the needs of children with identified special needs and any requirements(e.g., an extra employee in the classroom under certain circumstances) that may apply.
· Describes the program’s policies related to child guidance and discipline.
· Describes morning drop-off and afternoon pickup routines, including advice on helping children transition into the program andadjust to its day-to-day routines.
· Describes the program’s policy about classroom pets and animal visitors.
· Describes expectations about outdoor play. Where are outdoor play areas? Do children regularly visit nearby parks? Remindsfamilies that children are to dress to play outside every day except during extreme weather, and describes weather conditions thatare considered to be “extreme” and would keep children indoors.
· Describes the program’s policy about field trips, including a description of how families will be notified of an upcoming trip, whatkind of permission form will be required for children to participate, how children will be transported and, if appropriate, invitesfamilies to help with supervision.
· Describes the program’s policies related to holiday and birthday celebrations.
· Lists supplies children are expected to bring from home (e.g., rest mat, toothbrush, blanket for nap time, and change of clothes).
· Describes any optional activities offered on a fee-for-services basis and the related responsibilities of regular center staff.
· Describes how families are notified if the program will be closed, will open late, or will close early because of severe weather.
5. Health and Safety
· Identifies required immunizations and health exams required for enrollment.
· Describes hand-washing practices followed by children and adults, including parents entering the classroom.
· Describes plans to provide children with first aid, including how minor injuries will be handled and how parents will be notified ifemergency medical care, including transport by ambulance, is needed.
· Describes procedures for giving children prescription and over-the-counter medications. Indicates where the required form can befound.
· Explains emergency evacuation procedures, including where children would be taken if they could not return to their classroomsand how families would be notified in case of an emergency.
· Sets expectations for toilet training and describes toileting routines. Indicates if children of particular ages are required to be pottytrained. Describes how the program supports potty training. Indicates if children are always accompanied to and supervised while inthe bathroom and if bathroom time is part of the daily routine.
· Details sick child exclusion policies, identifying when children should not come to school and when they will be permitted to return.See
Figure 4.2
for an example of how your family handbook might describe when a child should stay home from school.
· Requests that children bring a complete change of clothes (including socks) to be left at the center.
· Describes how children will be released at the end of the day. Indicates how families notify the program if someone other than theusual parent or caregiver will take their child home, including what form of identification is required before a child will be releasedto someone other than the usual parent or caregiver.
· Describes the procedure if a child has not been picked up within an hour of the center’s closing.
· Indicates if the program provides breakfast, lunch, and snacks and if it follows USDA or other published dietary guidelines.
· Provides guidelines about what should or should not be brought to school if children bring food from home (e.g., Is it a peanut-freeprogram? Will food from home be refrigerated? Can it be heated? May children bring food from a fast food restaurant, such asMcDonald’s?).
· Details what steps are taken to be certain food allergies and other dietary restrictions are respected (e.g., those based on religiouspractices or preferences for only organic foods).
· Describes mealtime routines. Are meals served family style? Do teachers and caregivers eat with the children? Is conversationencouraged?
Often, it can be difficult for parents to determine when sick children shouldstay home. Watch this video of a health care professional offering advice aboutwhen children are too ill to go to child care.
https://www.youtube.com/watch?v=tm2J-Cj2Iz0
Figure 4.2
Sample Family Handbook Exclusion Policy
6. Business and Financial Issues
· Details established fees and tuition for each age group, including registration fees, materials fees, late fees, and returned checkpolicy.
· Describes when fees and tuition are due and how they are collected (e.g., Are credit or debit cards accepted? Are checks mailed ordropped into a box on the director’s desk?).
· Describes when late fees and returned check fees are assessed and how they are to be handled.
· Describes the fee for being 10, 20, or 30 minutes late to pick up the child at the end of the day.
7. Records
· Identifies birth, immunization, physical examination, residency, or other documentation required for admission.
· Identifies materials families must submit before their child can participate in the program, such as emergency contact information,acknowledgement of having received the family handbook, and so on.
8. Families
· Puts families on notice that teachers and caregivers are mandated by law to report suspected child abuse or neglect to the local childprotective service agency.
· Informs families that corporal punishment will never be permitted in the center.
· Identifies how families can expect teachers and caregivers to communicate with them (e.g., daily logs, communication notebooks,regular emails, monthly newsletters).
· Indicates that the center has an open-door policy that welcomes parents to visit without advanced notice. Indicates whether siblingsare welcome to visit.
· Describes how teachers and caregivers are expected to communicate concerns about a child’s behavior.
· Describes the program’s policies related to social media. (Is it appropriate for families to “friend” their child’s teacher? Can they postclassroom pictures on Instagram?) (Refer to Figure 4.1.)
· Assures parents that their written permission will be required before any image of their children are shared either online or inprint.
· Indicates how confidentiality of all children and families is maintained.
· Describes frequency and content of parent–teacher conferences.
· Indicates if the program offers parenting classes. If so, when are they held? Who is eligible to participate?
· Indicates if the program has a parent-teacher organization. Describes its purpose and major activities. Indicates how families canbecome involved.
See
Figure 4.3
for an example of a Family Checklist to communicate beginning-of-school routines in a straightforward and easy-to-follow format.
9. Public Relations and Marketing
· Indicates that the director and selected teachers may be willing to speak to civic groups or may be available to work with other childcare programs or neighborhood religious communities in need of training or parent education classes. When seen as a communityresource, the program reflects well on itself and the field of early care and education.
Application Activity
Develop a policy (a rule about a critical issue) and procedures (step-by-step instructions for following that policy) for a staff manualor family handbook. Make sure that the policy or procedures you develop address a complex topic likely to require the director tomake a difficult decision. Topics to consider are responding to a family’s request for a particular teacher or classroom, working with ateacher who is going through a difficult divorce and whose attendance has not met the program’s expectations, or a family that hasbeen regularly bringing a child to the center during his class’s nap time.
Figure 4.3
This Family Checklist can help ensure a smooth start to a new school year.
4.4 WHAT INFORMATION SHOULD BE IN THE ADMINISTRATOR’S MANUAL?
This material will, in all likelihood, be available only to the director and her supervisor(s), which may be an advisory or governing board orthe corporation’s regional and/or national coordinator.
The issues addressed in an administrator’s manual are likely to be more idiosyncratic than those addressed in either the family handbookor the staff manual. Examples of items that may be addressed in the administrative manual include the following:
· Details related to salary scales, raises, and bonuses (if applicable).
· Details of interview and hiring procedures. How are references checked? Is time in the classroom part of the interview process? Arepotential employees approved by the board or its representatives?
· Details of termination procedures.
· Conditions for the availability of discounts for employees’ children to attend your program. Is this benefit available to all employees? Isit a discretionary benefit that may be offered to employees with specific credentials?
· Describes how the yearly calendar is developed. Does the director consult with local schools? Professional organizations whoseconferences the staff attends?
· The director’s responsibilities related to the recruitment of both staff and families.
· The director’s responsibilities to lead or arrange for on-site professional development that will help staff meet annual trainingrequirements.
· The director’s responsibilities for establishing an appropriate online presence for the center, including the appropriate use of socialmedia to enhance the center’s reputation.
· The director’s responsibilities related to developing and monitoring the budget and planning for the center’s long-term financialhealth.
· The timelines related to licensure and accreditation. When is the program up for renewal? What reports must be submitted tolicensure and accrediting bodies?
If you become a program director, you will want to find out about existing guidelines you will be expected to follow. During your tenure, youwill want to continue to develop this resource. It will make your life, and that of your successor, much easier if all this information can befound in a central, organized location.
SUMMARY
A program’s staff and administrative manuals and its family handbook can be seen as vehicles describing how the program follows itspolicies and procedures. These in-house publications should be grounded in the NAEYC Code of Ethical Conduct as well as the program’sspecific core values, vision and mission while providing specific guidelines for how it will abide by applicable laws and regulations. They areinvaluable tools for ensuring programs’ success, and for that reason their development deserves careful thought and hard work.
· Discuss the contributions that well-developed policies and procedures can make to your program.
Thoughtfully and carefully created policies and procedures guide families staff, and the program’s administration and contribute to theprogram’s smooth and consistent operation by creating shared understandings. They should be developed by relying on the program’score values, vision and mission statements; federal, state, and local laws; child care regulations; as well as voluntary accreditation and/orQRIS guidelines if applicable. The program’s administrator is usually responsible for taking the lead in their development. In some cases,they may be developed by a board of directors and/or an advisory committee. In large chains and franchises, Head Start, and publicschool programs, policies are developed in accordance with the organization’s established lines of authority.
· Develop an outline for a staff manual, listing the major headings it should include.
The staff manual should begin with a statement that all employees are required to abide by the NAEYC Code of Ethical Conduct. Major topicsit should address are:
· Program overview
· Program services
· Administration
· Personnel policies
· Services to children
· Health and safety, including specific practices for caring for infants and toddlers
· Business and financial issues
· Records
· Families
· Public relations and marketing
· Describe some ways the family handbook is different from the staff manual.
The family manual should be warm and friendly, polished, and professional. It must be accurate, be easy to understand, and should avoidprofessional jargon. Illustrations should respectfully reflect the cultural and ethnic diversity of children and families you serve. In addition,it should, if possible, be translated into the home language of every family.
The family handbook addresses the same topics included in the staff manual, but the emphasis of some topics is different. For example,specifics about how to pay fees is in more detail in the family handbook, but information about staff qualifications will probably be moredetailed in the staff manual.
· Identify the types of issues that should be addressed in an administrative manual.
The administrative manual includes confidential information about salary scales as well as interviewing, hiring, and terminationprocedures. It also describes the director’s responsibilities related to providing staff training and financial management as well aslicensure and accreditation deadlines.
USEFUL WEBSITES
Federal Laws and Regulations
Employment Law Guide
This government resource sponsored by the U.S. Department of Labor provides an overview of employment laws, regulations, and availabletechnical services that can help your program be in full compliance.
Family Educational Rights and Privacy Act (FERPA)
The U.S. Department of Education website provides a comprehensive description of mandated practices and can help your program stay infull compliance.
U.S. Equal Employment Opportunity Commission (EEOC)
This government website provides information to help ensure that your program’s practices are in full compliance with equal opportunityrequirements and the Civil Rights Act of 1964.
Family and Medical Leave Act (FMLA)
This U.S. Department of Labor website includes information about all aspects of the FMLA and includes materials related to FMLW in a widevariety of languages, including Spanish, Chinese, Korean, Thai, and Vietnamese.
Americans with Disabilities Act (ADA)
This U.S. Department of Justice website provides a complete description of the practices required by ADA and includes regular updates tohelp programs remain in compliance.
Commonly Asked Questions About Child Care Centers and the Americans with Disabilities Act
This U.S. Department of Justice resource interprets the ADA specifically for programs of early care and education.
Materials to Guide the Development and Implementation of Policies and Procedures
Caring for Our Children
This up-to-date and comprehensive resource, created in collaboration with the American Academy of Pediatrics, is downloadable. Itaddresses a wide variety of topics and provides valuable specifics. It also updates its recommendations to reflect current issues andconcerns.
Is America Prepared to Protect Our Most Vulnerable Children in Emergencies?
This downloadable report provides guidance to help programs of early care to prepare for emergencies promptly and safely.
T.E.A.C.H.® Early Childhood Project
This resource describes the T.E.A.C.H.® project that supports early childhood teachers’ professional development and includes contacts forparticipating states.
South Carolina ABC Child Care Program Sample Documents
This website links to sample documents, from hand-washing policies to what should be covered in new employees’ orientation. Using themcould streamline many aspects of your program’s operations.
TO REFLECT
1. What might be some consequences if a director did not consistently apply policies and procedures described in the family handbook orstaff manual? How would the program’s operations be affected? What effect would this behavior have on morale? Who would beresponsible for bringing these issues to her attention?
2. We recommend that you ask a few trusted families to review your program’s family handbook as it is being developed and finalized.What are the benefits and the risks of asking for feedback before the document has been finalized?
Running head: EVALUATING PROGRAM MANUALS
1
Evaluating Program Manual
Annette Williams
ECE671: Management and Administration of Early Childhood Programs
Instructor Guevara
March 2, 2020
– 1 –
[no notes on this page]
EVALUATING PROGRAM MANUALS
2
Staff Manual
Phrase from
Handbook
Recommendation Approval
Job Description
“apply their
knowledge of
classroom
management and
understanding of a
child’s
development”
(Georgia
Learning &
Childcare Center,
2019).
My suggestion is
that more could be
included of what
the actual job
description. To have
knowledge of
something isn’t
enough for families
to feel a sense of
comfort.
Rights and
Responsibilities
“staff member must
accumulate ten (10)
hours of continuing
education each year”
(Georgia Learning &
Childcare Center,
2019).
This phrase is
ideal as it spells
out what
regulations staff
are required to
adhere to in order
to be employed.
Professional
Expectations
“partnership
between parents and
teachers is very
This statement
implies that the
center focuses on
– 2 –
1
2
3
1. could
I agree; what is your basis for
this idea? need a citation
[Frank
Guevara]
2. required
this covers 1 responsibility
related to continuing
education; but shouldn’t there
be many more?
And what about their rights?
Like safety, workplace free of
discrimination or harassment?
[Frank Guevara]
3. implies
but what about how they
dress, how they act, following
ethical guidelines, etc?
[Frank Guevara]
EVALUATING PROGRAM MANUALS 3
important” (Georgia
Learning &
Childcare Center,
2019).
establishing
communication
between the
families and the
teachers to ensure
they are informed
of their child’s
progress
daily/weekly.
Suggested
Category
Reason for
Termination
Failure to comply to
our center’s goal and
mission and
well as
policies and
regulations will
require immediate
dismissal.
Rational
Citation
This is ideal for
all staff
handbooks. To
every cause there
is an effect.
Family
Handbook
Phrase Recommendation Commendation
Programs Mission “Our mission is to
offer you the best in
quality care and
N/A The phrase is part
of the mission
statement for the
– 3 –
1
1. handbooks.
I agree, but what’s your basis
for this? [Frank Guevara]
EVALUATING PROGRAM MANUALS 4
education” (Georgia
Learning &
Childcare Center,
2019).
childcare center.
It is ideal because
it the statement
starts off by
addressing what
the center’s
intentions are.
Licensure Status
“you must keep
him/her home for at
least 24 hours after
symptoms are gone
and temperature has
returned to normal”
(Georgia Learning &
Childcare Center,
2019).
N/A
This phrase is
ideal because it
ensures that the
childcare center
is following
regulations in
order to remain
in compliance
with licensing
policies and
regulations.
Commitment to
the Field’s Core
Values, Ideals,
and Principles
(
NAEYC Code of
Ethical
Standards)
“Our program
provides children a
foundation of social
development to join
the exciting new
N/A The program is
ideal and shows a
commitment to
NAEYC Code of
Ethical Standards
– 4 –
1
2
1. addressing
and why is this important?
[Frank Guevara]
2. 24
this category is about the
center being licensed [Frank
Guevara]
EVALUATING PROGRAM MANUALS 5
world of education”
(Georgia Learning &
Childcare Center,
2019).
by focusing on
the social
development of
the children and
by providing a
list of those core
activities that the
program offers.
Suggested
Category
Programs day-to-
day operations
See the chart
displayed below that
entails our day to
day functions/
activities and times.
Rational
Citation
This suggested
category is ideal
because some
family
handbooks do not
include a daily
schedule of what
to expect and all
families should
have a schedule
of their child’s
daily activities.
– 5 –
1
2
1. social
that’s only 1 part; there’s a
LOT more to the NAEYC
[Frank Guevara]
2. should
why? [Frank Guevara]
EVALUATING PROGRAM MANUALS 6
References
Child Care Aware® of America. (n.d.). Developing your policies and procedures. Arlington,
I appreciate your work on this assignment but I need you to be more critical and provide further explanation of your evaluations, especially with some citations to support your ideas. Please see feedback as you’ll need to integrate that for the final project.
Dr. Guevara
( 3.80 / 5.00) Evaluates a Staff Manual, Applying Knowledge of Effective Policies and Procedures, and Provides Recommendations or Commendations, Each Supported with a Rationale
Basic – Minimally evaluates a staff manual, applying some knowledge of policies and procedures, and provides recommendations or commendation, each somewhat supported with a limited rationale. Relevant details are missing.
Comments:
Your application of policy and procedures to the evaluation and rationale are mostly appropriate. More details and a clear rationale were needed.
( 0.84 / 1.10) Critical Thinking: Explanation of Issues
Basic – Briefly explains the issue to be considered, delivering minimal information for a basic understanding.
Comments:
The explanation of the issue should be more objective than personal. This makes academic work more valid.
Basic – Successfully adapts an appropriate exemplar to certain specifications.
( 0.18 / 0.20) Written Communication: Control of Syntax and Mechanics
Proficient – Displays comprehension and organization of syntax and mechanics, such as spelling and grammar. Written work contains only a few minor errors and is mostly easy to understand.
Comments:
Good job! Correct conventions facilitate the reading of the text.
( 0.18 / 0.20) Written Communication: APA Formatting
Proficient – Exhibits APA formatting throughout the paper. However, layout contains a few minor errors.
( 0.20 / 0.20) Written Communication: Page Requirement
Distinguished – The length of the paper is equivalent to the required number of correctly formatted pages.
( 0.15 / 0.20) Written Communication: Resource Requirement
Basic – Uses less than the required number of sources to support ideas. Some sources may not be scholarly. Most sources on the reference page are used within the body of the assignment. Citations may not be formatted correctly.
Overall Score: 6.19 / 8.00
Overall Grade: 6.19
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