Overview
This Assessment consists of a series of short-answer response questions. You will be asked to research regulations in your own state and apply those regulations to various questions within this Assessment. Prior to starting this Assessment, locate your state’s licensing and regulation requirements using the “A–Z Child Care Information Links” resource. You will reference this information in several short-answer responses to questions throughout this Assessment.
Instructions
Before submitting your Assessment, carefully review the rubric. This is the same rubric the assessor will use to evaluate your submission and it provides detailed criteria describing how to achieve or master the Competency. Many students find that understanding the requirements of the Assessment and the rubric criteria help them direct their focus and use their time most productively.
- This site Trends in Child Care Center Licensing Regulations and Policies for 2014 contains a continuously evolving list of selected websites that provide health and safety tips and information applicable to child care settings.
- Download the Short-Answer Response Assessment Submission Form document, and answer each question.
- Download the Writing Checklist to review prior to submitting your Assessment.
(Note for International Students: This Competency Assessment requires knowledge of regulations in the United States. For the purpose of this Assessment, please choose any state as a basis for responding to the questions in the Assessment.)
This Assessment requires submission of one (1) document: a completed “Short-Answer Template.” Save this file as MP005_firstinitial_lastname (for example, CR001_J_Smith).
When you are ready to upload your completed Assessment, use the Assessment tab on the top navigation menu.
Academic Writing Expectations Checklist
The faculty Assessor will use this checklist to evaluate whether your written responses adhere to the conventions of scholarly writing. Review this checklist prior to submitting your Assessment to ensure your writing follows academic writing expectations. Click the links to access Writing Center resources:
Sentence-Level Skills
|_| Constructing complete and correct sentences
Note: See an explanation of
sentence components
and how to avoid
sentence fragments and run-ons
.
|_| Using and spelling words correctly
Note: See a list of
commonly misused words
and information on
MS Word’s spell check
.
|_| Using
punctuation
appropriately
Note: See the different types of
punctuation and their uses.
|_| Using grammar appropriately
Note: See a
Grammarly tutorial
to catch further errors.
Paragraph-Level Skills
|_| Using paragraph breaks
Note: See a description of
paragraph basics
.
|_| Focusing each paragraph on one central idea (rather than multiple ideas)
Note: See an explanation of how
topic sentences
work.
Use of Evidence
|_| Using resources appropriately
Note: See examples of
integrating evidence
in a paper.
|_| Citing and referencing resources accurately
Note: See examples of
citing and referencing resources
in a paper.
|_| Paraphrasing (explaining in one’s own words) to avoid plagiarizing the source
Note: See
paraphrasing strategies
.
Formatting Written Assignments
|_| Using appropriate APA formatting, including title page, margins, and font
Note: See
APA overview
and
APA template
from the Writing Center.
Comments:
©2014 Walden University 1
CECS MP005: Regulations in Early Childhood
Short-Answer Response Assessment Submission Form
Contact Information
Please provide your contact information and date of submission below.
Your Name: First and Last
Your E-mail address: Your e-mail here
Date: Click here to enter a date
Instructions
This Competency includes a Short-Answer Response Assessment. Write your response to each prompt below—in the space provided. Beneath the prompts is the Rubric, which will be used by the Competency Assessor to evaluate your responses. Carefully review the Rubric rows associated with each prompt to provide a complete response.
When writing your response, begin typing where it reads “
Enter Your Response Here
.” Write as much as needed to satisfy the requirements of the prompt (as defined in the Rubric).
Note: Save this file as MP005_firstinitial_lastname, and upload it to this Assessment within the learning platform. For example, MP005_B_Smith.
Short Answer 1
Write a 4- to 5-sentence description of each of the following accrediting and regulatory bodies, including an explanation of its purpose:
· National Association for the Education of Young Children (NAEYC)
· National Association for Regulatory Administration (NARA)
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 1: Analyze relevant regulatory bodies and procedures that govern the operations of early childhood programs.
Learning Objective 1.1: Describe accrediting and regulatory bodies.
Description is not present.
Response provides a vague or inaccurate description of the accrediting and regulatory body.
Response clearly and accurately describes the accrediting and regulatory body and provides a general description of its purpose.
Demonstrates the same level of achievement as “2” plus the following:
Purpose is specifically defined and illustrated by an example of how the organization interfaces with early childhood settings.
Short Answer 2
Explain the minimum programming requirements for your state. Provide a citation indicating where you found the information. (1–2 paragraphs)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.1:
Explain the mandatory minimum requirements for operating early childhood programs.
Explanation is not present.
Response includes a partial description of the minimum programming requirements for a state.
And/or:
Response does not include a web link or citation to the source of information regarding mandatory minimum requirements.
Response includes an accurate description of the minimum programming requirements for a state.
The response provides a web link or citation to the source of information regarding mandatory minimum requirements.
Demonstrates the same level of achievement as “2” plus the following:
Response includes analysis of value and adequacy of requirements.
Short Answer 3
Imagine you are starting a new early childhood care center. Summarize the licensure requirements for your state and provide the website or citation where you found the licensure requirements. (1 paragraph)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.2:
Summarize relevant licensure requirements for early childhood centers.
Summary is not present.
Response provides a vague or inaccurate summary of licensure requirements within a specific state.
Response clearly and accurately summarizes the relevant licensure requirements within a specific state.
Response includes the website or citation indicating where the licensure information was located.
Demonstrates the same level of achievement as “2” plus the following:
Response includes analysis of value and adequacy of requirements.
Short Answer 4
Summarize the annual inspection requirements for your state. Provide a citation indicating where you found the information. (1 paragraph)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.3: Summarize the annual inspection requirements for early childhood programs.
Summary is not present.
Response provides a partial summary of the inspection requirements for a specific state and/or no web link or citation is provided.
Response provides an accurate summary of the inspection requirements for a specific state.
The response provides a link or citation to the source regarding annual inspection requirements.
Demonstrates the same level of achievement as “2” plus the following:
Response includes analysis of value and adequacy of requirements.
Short Answer 5
Describe the following codes and regulations that must be met prior to receiving a certificate of occupancy from the local government. (1 paragraph each)
a. Zoning codes
b. Fire safety regulations
c. Building codes
d. Sanitation codes
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.4: Describe relevant codes and regulations that apply to early childhood settings.
Description is not present.
Response provides a partial or inaccurate description of the codes and regulations.
Response provides an accurate description of the codes and regulations
Demonstrates the same level of achievement as “2” plus the following:
Response includes analysis of value and adequacy of requirements.
Short Answer 6
Explain the importance of criminal background checks and health screenings and how they apply to legal requirements for staffing early childhood care programs. (2–3 paragraphs)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.5:
Explain the importance of criminal background checks and health screenings.
Explanation is not present.
Response partially or inaccurately explains how criminal background checks and health screenings apply to the legal requirements that govern early childhood settings.
Response clearly explains the importance of criminal background checks and health screenings.
Response clearly explains how criminal background checks and health screenings apply to the legal requirements that govern early childhood settings.
Demonstrates the same level of achievement as “2” plus the following:
Response includes analysis of value and adequacy of requirements.
Short Answer 7
Explain the responsibility of each child care professional to act as a mandated reporter. (3–4 paragraphs)
Be sure to address:
· In what instances are staff members required to report information to the state government?
· How might staff members be legally liable if they fail to report incidents?
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.6:
Explain the legal obligations of early childhood professionals as mandatory reporters.
Explanation is not present.
Response partially explains the legal obligations of early childhood professionals as mandatory reporters.
Response clearly explains the legal obligations of early childhood professionals as mandatory reporters.
Response provides a thorough explanation of the consequences for failing to report incidents of abuse and/or neglect.
Demonstrates the same level of achievement as “2” plus the following:
Response includes analysis of value and adequacy of mandatory reporting requirements.
Short Answer 8
Explain the guidelines surrounding proper hygiene techniques and sanitation as they relate to spills of bodily fluids, toilet training, and diapering. (2–3 paragraphs)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 2: Explain the mandatory licensure, certification, and legal requirements for operating and staffing early childhood programs.
Learning Objective 2.7:
Explain guidelines for proper sanitation in early childhood contexts.
Explanation is not present.
Response explains some of the guidelines for hygiene and sanitation as it relates to bodily fluids, toilet training, and diapering, but is incomplete.
Response clearly explains the guidelines for hygiene and sanitation as it relates to bodily fluids, toilet training, and diapering.
Demonstrates the same level of achievement as “2” plus the following:
Rationale provides evidence from the state licensing and regulations requirements.
Short Answer 9
Imagine you are an early childhood program administrator. One early childhood professional in your center has complained about the extra work involved in pursuing NAEYC accreditation. Explain the purpose and importance of early childhood program accreditation to this teacher. (2–3 paragraphs)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs.
Learning Objective 3.1:
Explain the purpose and importance of accreditation.
Explanation is missing.
Response partially explains the purpose and importance of accreditation.
Response clearly explains the purpose and importance of accreditation.
Demonstrates the same level of achievement as “2” plus the following:
Response provides a specific and compelling rationale for accreditation of early childhood programs.
Short Answer 10
Describe at least two of the following trainings and educational programs that are available to administrators of early childhood programs. (1 paragraph each)
a. Child Development Associate (CDA) credential
b. Degree programs that are recognized by the National Council for Accreditation of Teacher Education (NCATE)
c. Head Start Management Fellows program
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs.
Learning Objective 3.2:
Describe training and accreditation programs available to early childhood administrators.
Description is missing.
Response partially or inaccurately describes training and accreditation programs.
Response clearly and accurately describes two training and/or accreditation programs.
Demonstrates the same level of achievement as “2” plus the following:
Describes all three programs.
Short Answer 11
Explain how conducting an early childhood care center self-study, as part of the accreditation process, can help improve the quality of early childhood programming. (2–3 paragraphs)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs.
Learning Objective 3.3:
Explain the purpose of self-studies within the accreditation process.
Explanation is not present.
Response vaguely explains the purpose of self-study as part of the accreditation process and/or does not provide sufficient supporting evidence.
Response clearly explains the purpose of self-study as part of the accreditation process in supporting quality.
Demonstrates the same level of achievement as “2” plus the following:
Rationale demonstrates understanding that self-study is crucial to the accreditation process.
Short Answer 12
Explain the steps that must be taken during a child’s first 90 days of enrollment in a Head Start program to assess their health and developmental needs. Explain why these steps are important to promoting high-quality experiences for children and families. (3–5 paragraphs)
Be sure to address:
· What screenings must be conducted?
· What consultations regarding physical and mental health must be conducted with parents?
· How does the assessment of a child’s health impact the individualization of their educational program?
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs.
Learning Objective 3.4
Explain requirements related to a child’s first ninety days of enrollment in Head Start programs.
Explanation is not present.
Response explains some of the steps required within the first ninety days of a child’s enrollment in Head Start, including an accurate description of some of the appropriate screenings and consultations.
Response clearly explains the steps required within the first ninety days of a child’s enrollment in Head Start, including an accurate description of the appropriate screenings and consultations.
Response clearly explains why each step is important in promoting high-quality experiences for children and families.
Demonstrates the same level of achievement as “2” plus the following:
Rationale includes specific references to the Head Start Performance Standards where appropriate.
Short Answer 13
What is the Quality Rating and Improvement System (QRIS)? How can it be used by early childhood programs to improve upon the minimum standards set by state licensing regulations, and what are some benefits and challenges associated with this system? (3–4 paragraphs)
Your Response
Enter Your Response Here
Rubric
0
Not Present
1
Needs Improvement
2
Meets Expectations
3
Exceeds Expectations
Sub-Competency 3: Analyze the importance of accrediting and performance standards, training, and the Quality Rating and Improvement Systems in ensuring high quality early childhood programs.
Learning Objective 3.5
Define quality rating and improvement systems.
Definition is not present.
Response provides a partial or inaccurate definition of quality rating and improvement systems.
Response provides an accurate definition of quality rating and improvement systems.
Response clearly explains how QRIS can be used by early childhood programs to improve upon the minimum standards and includes general description of benefits and challenges.
Demonstrates the same level of achievement as “2” plus the following:
Response includes detailed description of specific benefits and challenges of QRIS to early childhood programs.
©2014 Walden University 13
RESEARCH BRIEF #1:
TRENDS IN CHILD CARE CENTER LICENSING
REGULATIONS AND POLICIES FOR
2014
This research brief is a joint effort between the National Center on Child Care Quality Improvement
(NCCCQI), a previous contract of the Office of Child Care, and the National Association for Regulatory
Administration (NARA). This is the first in a series of briefs from this collaboration to collect and analyze
data about child care licensing in the United States. The National Center on Early Childhood Quality
Assurance is disseminating the briefs.
Introduction
Licensing Systems
Within the early care and education system, licensing provides the baseline of protection for children and
covers the broadest content, the largest number of children from birth to school age, and the largest
population of providers. Licensing helps prevent various forms of harm to children—risks from the spread
of disease; fire and other building safety hazards; injury; and developmental impairment from the lack of
healthy relationships with adults, adequate supervision, or developmentally appropriate activities.
Licensing is a process administered by State and Territory governments that sets a baseline of
requirements below which it is illegal for facilities to operate.1 States have regulations that facilities must
comply with and policies to support the enforcement of those regulations. Some States may call their
regulatory processes “certification” or “registration”; for purposes of this research brief, the terms
“licensing” and “licensed” are used to represent all regulatory processes.
Content Page
Introduction 1
Summary of Key Findings
4
Trends in State Child Care Center Licensing Regulations
5
Trends in State Child Care Center Licensing Policies
18
Conclusion
26
1 “Licensing/licensed” is defined as permission from a State that is required to operate a child care facility, which
includes meeting specific program standards.
National Center Early Childhood Quality Assurance 1
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
New Federal Statute
In 2014, the Child Care and Development Block Grant (CCDBG) Act of 2014, which included several
provisions related to health and safety requirements for child care providers, was signed into law.2 The
law identifies minimum health and safety requirements, training requirements, and monitoring
requirements to ensure that child care used by children receiving Child Care and Development Fund
(CCDF) financial assistance protects their health and safety, as shown in figure 1.
The reforms made by reauthorization will benefit more than 1.4 million children receiving child care
subsidies, as well as other children who receive no direct assistance from CCDF but benefit from safer
child care settings with better-skilled teachers and staff.3
Figure 1: Health and Safety Requirements for Child Care Providers in the CCDBG Act of 20144
■ Requires States5 to establish health and safety requirements in 10 different topic areas (e.g., prevention
of sudden infant death syndrome [SIDS], first aid, and CPR).
■ Child care providers serving children receiving assistance through the CCDF program must receive pre
service and ongoing training on such topics.
■ Requires States to conduct criminal background checks for all child care staff members, including staff
members who don’t care directly for children but have unsupervised access to children, and specifies
disqualifying crimes.
■ Requires States to certify that child care providers will comply with child abuse reporting requirements.
■ Requires States to conduct pre-licensure and annual unannounced inspections of licensed CCDF
providers and annual inspections of license-exempt CCDF providers.
■ States must establish qualifications and training for licensing inspectors and appropriate inspector-to
provider ratios.
■ Requires States to have standards for CCDF providers regarding group size limits and appropriate child
to-provider ratios based on the age of children in child care.
■ Requires emergency preparedness planning and statewide disaster plans for child care.
2 The Child Care and Development Block Grant Act of 2014 and section 418 of the Social Security Act (42 USC 618),
as amended, provide the statutory authority for implementation of the Child Care and Development Fund program as
designated by the Administration for Children and Families. Retrieved from
http://www.acf.hhs.gov/programs/occ/resource/ccdf-law.
3 Child Care and Development Block Grant Act (CCDBG) of 2014: Frequently Asked Questions (2015), by the Office
of Child Care, Administration for Children and Families, U.S. Department of Health and Human Services. Retrieved
from http://www.acf.hhs.gov/programs/occ/resource/ccdf-reauthorization-faq#General.
4 Child Care and Development Block Grant Act (CCDBG) of 2014: Plain Language Summary of Statutory Changes
(2014), by the Office of Child Care, Administration for Children and Families, U.S. Department of Health and Human
Services. Retrieved from http://www.acf.hhs.gov/programs/occ/resource/ccdbg-of-2014-plain-language-summary-of
statutory-changes.
5 45 CFR 98.2 defines State as “any of the States, the District of Columbia, the Commonwealth of Puerto Rico, the
Virgin Islands of the United States, Guam, American Samoa, the Commonwealth of the Northern Marianas Islands,
and includes Tribes unless otherwise specified.”
National Center on Early Childhood Quality Assurance 2
http://www.acf.hhs.gov/programs/occ/resource/ccdbg-of-2014-plain-language-summary-of
http://www.acf.hhs.gov/programs/occ/resource/ccdf-reauthorization-faq#General
http://www.acf.hhs.gov/programs/occ/resource/ccdf-law
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 20
15
Scope and Purpose
The purpose of this research brief is to report on the licensing requirements and policies for child care
centers for all 50 States, the District of Columbia, and the two U.S. Territories that responded to the
survey —Guam and the Virgin Islands. The term “State” will be used for all 53 jurisdictions.
In addition to the two Territories, Idaho was added to the Child Care Licensing Study data for the first time
as it has now promulgated statewide licensing requirements.
States may define child care centers differently in their licensing requirements. For the purpose of
categorizing the types of center-based child care settings States regulate, the following definition from the
CCDF Final Rule6 is used:
Child care services for fewer than 24 hours per day per child in a nonresidential setting, unless
care in excess of 24 hours is due to the nature of the parent(s)’ work.
In other research briefs in this series, licensing requirements and policies for family child care homes and
group child care homes are addressed.
Using data compiled from state child care licensing regulations and the results of NARA’s survey of state
licensing agencies, NCCCQI conducted an analysis that examines the state of licensing in 2014 and
identifies trends that have become apparent during several years of data collection.
Compilation of State Licensing Requirements
For this research, all data regarding child care center requirements were compiled from the regulations
posted on the National Resource Center for Health and Safety in Child Care and Early Education (NRC)
Web site between January 1, 2012, and December 31, 2014. The licensing requirements data presented
in this research brief only includes information from state and territory child care licensing regulations.
Additional requirements for child care facilities may be in state statutes; administrative codes; or other
local, state, or Federal laws. It was beyond the scope of this work to review all laws that pertain to child
care programs.
NARA Survey of Licensing Programs and Policies
The data about States and Territories’ licensing policies, including facility monitoring, enforcement of
licensing regulations, and licensing program staffing, were gathered by NARA in the 2014 NARA Child
Care Licensing Programs and Policies Survey. NARA sent the survey via SurveyMonkey®, an online
survey tool, to all state child care licensing agencies in September 2014. Respondents submitted their
answers via the Internet, and by January 2015, all States had responded.
Comparative Analysis
This brief includes a comparison of the 2014 data with data on 2011 licensing regulations and policies
that were reported in the 2013 brief Research Brief #1: Trends in Child Care Center Licensing
6The Child Care and Development Fund (CCDF) Final Rule is available at http://www.gpo.gov/fdsys/pkg/CFR-2011
title45-vol1/pdf/CFR-2011-title45-vol1-part98
National Center on Early Childhood Quality Assurance 3
http://www.gpo.gov/fdsys/pkg/CFR-2011
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Regulations and Policies for 2011.7 The 2013 brief includes a comparison of the 2011 data with previous
Child Care Licensing Studies from 2005, 2007, and 2008. These reports are available at
http://www.naralicensing.org/child-care-licensing-study.
Summary of Key Findings
In reviewing all the data, some key findings emerged and are listed below. The data for these findings
and many other indicators are detailed in the remaining sections of this research brief.
Licensing Regulations
Since the data collection in 2011, more than 60 percent of States have made changes to their licensing
regulations for child care centers, and a number of significant trends have emerged.
■ States have increased the preservice qualifications required for teachers and directors, including the
amount of administrative training required for directors.
■ States have increased the number of annual training hours for at least one center role. The median
number of required training hours for center teachers and assistant teachers is 15; the median for
directors is 19 hours.
■ More States conduct a comprehensive background check and require checks of criminal history
records, fingerprint (state and federal) records, child abuse and neglect registries, and the sex offender
registry for center staff.
■ The number of States requiring centers to place infants on their backs to sleep to reduce incidences of
SIDS has increased. States have also added training requirements about reducing SIDS.
■ A few States added requirements about reporting serious injuries and deaths that occur to children in
child care settings.
Licensing Policies
There are several positive trends in child care licensing policies about monitoring and enforcement in
child care centers from 2011 to 2014.
■ The average caseload for licensing line staff decreased from 103 facilities in 2011 to 97 facilities in
2014.
■ More States are reporting the use of differential monitoring strategies—such as abbreviated
compliance forms, risk assessment of requirements, and key indicator systems—that promote
efficiencies and allow for better allocation of resources and staff.
■ The number of States that post licensing information on their Web sites has increased. This number
has more than tripled since data were first collected in 2005.
■ A higher percentage of States report that they provide technical assistance to assist facilities in
improving quality and exceeding minimum licensing regulations.
7Research Brief #1: Trends in Child Care Center Licensing Regulations and Policies for 2011 (2013), by NCCCQI, is
available at https://childcareta.acf.hhs.gov/resource/research-brief-1-trends-child-care-center-licensing-regulations
and-policies-2011.
National Center on Early Childhood Quality Assurance 4
https://childcareta.acf.hhs.gov/resource/research-brief-1-trends-child-care-center-licensing-regulations
http://www.naralicensing.org/child-care-licensing-study
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Trends in State Child Care Center Licensing Regulations
The information in this section was compiled and analyzed from the licensing regulations posted on the
NRC Web site between January 1, 2012, and December 31, 2014.
Child Care Centers Licensed
■ All States, as well as the District of Columbia, Guam, and the Virgin Islands, license child care centers.
Dates and Types of Regulations
■ There is a wide range of effective dates for child care center licensing regulations.
Thirty-three (33) States made changes to their child care center licensing regulations from 201
2
through 2014 (i.e., since data were collected in 2011).
■ One State (Vermont) has not changed its regulations since 2001.
■ In addition to their center regulations, many States have separate sets of regulations for specific types
of care, such as:
School-age care in 13 States—California, Colorado, Hawaii, Indiana, Kansas, New Mexico, New
York, North Dakota, Oklahoma, Rhode Island, South Dakota, Vermont, and Washington; and
Infant and toddler care in three (3) States—California, Hawaii, and Montana.
Definition of Licensed Child Care Centers
■ There are several common elements in States’ definitions of center-based facilities that are required to
be licensed.
Three-quarters of States define a center by the minimum number of children in the facility.
Most States define a center as a facility that operates for less than 24 hours or any part of a 24
hour day.
Half of States also define a center as operating on an ongoing/regular or scheduled basis.
Other common definition elements include services provided for compensation, ages of the
children in the facility, and the number of hours services are provided.
Licensing Exemptions
State child care licensing regulations include definitions of the types of center-based facilities that are
exempt from licensing. Table 1 shows the most common exemptions from licensing for center-based
facilities.
National Center on Early Childhood Quality Assurance 5
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 1: Most Common Licensing Exemptions, 2014
Licensing Exemptions
Percentage of
States
Facilities where parents are on the premises (e.g., child care services in a shopping
mall or health club)
57%
Preschool programs operated by public schools or approved by the state department
of education
57%
Facilities with a small number of children in care 51%
Recreation programs, instructional classes, and/or club programs 51%
Summer day camps 45%
Facilities operating a small number of hours per day or week 42%
Child care services provided during religious services 32%
N = 53 States (including two Territories, and the District of Columbia).
■ Twelve (12) States have various licensing exemptions for child care programs operated by religious
organizations:
Six States exempt these programs from all licensing requirements and processes—Alabama,
Florida, Indiana, Missouri, South Carolina, and Virginia.
Three States exempt child care programs operated by educational institutions affiliated with
religious organizations—Illinois, Tennessee, and Texas.
Three States exempt these programs from some licensing requirements and processes—
Arkansas, Maryland and North Carolina.
Staff Roles and Age Requirements
■ All States that license child care centers have requirements pertaining to the director and teacher staff
roles.
■ The most common age requirement is that directors be a minimum of 21 years old, 18 years old for
master teachers and teachers, and 16 years old for assistant teachers and aides.
Staff Qualifications and Ongoing Training Requirements
■ Nearly all States require center directors to have a high school diploma or equivalent, have preservice
training or experience, and complete a minimum number of hours of training each year, as shown in
table 2. This is also true for States with requirements for the master teacher role. Since 2011,
Two States (Kentucky and Nebraska) have added a requirement for a high school diploma for
teachers; and
One State (Rhode Island) has added a requirement for a high school diploma for assistant
teachers.
National Center on Early Childhood Quality Assurance 6
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 2: Number of States with Requirements for High School Diploma or GED
Equivalent, Preservice Qualifications, and Ongoing Training, 2014
Center Staff Role Role Regulated
High School
Diploma or
Equivalent*
Preservice
Qualifications
Ongoing
Training
Director 53 48 50 4
7
Master teacher 17 14 17 16
Teacher 53 36 39 50
Assistant teacher 29 13 18
24
Aide 20 5 9 14
N = 53 States (including two Territories, and the District of Columbia).
*It varies by role and State whether a high school diploma or GED is required in addition to other preservice qualifications, such as
training, credentials, or experience; or as the only qualification. In most cases, it is required in addition to other qualifications.
■ The most common minimum qualification for both center directors and master teachers is the Child
Development Associate (CDA) Credential™. For States that have minimum qualifications for teachers,
the most common type is experience—either alone or with a high school diploma or General
Educational Development (GED) credential. Many States have requirements for the type of experience
needed.8
Six States have changed the amount of preservice training required for directors since 2011—
Arizona, Georgia, Maryland, Michigan, Nebraska, and New Mexico.
Four of these States increased the amount of administrative training required for directors—
Arizona, Maryland, Michigan, and New Mexico.
Four States changed the amount of preservice training required for teachers in the same time
period—Georgia, Nebraska, Rhode Island, and Texas.
■ The number of ongoing training hours required annually ranges from 3 to 30. The median number of
required training hours for center teachers and assistant teachers is 15; the median for directors is
19
hours. Many States specify the content and delivery methods of ongoing training.
Six States have increased the number of training hours for at least one center role since 2011—
Alaska, Idaho, Kentucky, Michigan, New Jersey, and Texas.
Orientation Training
■ More than three-quarters of States that license child care centers require staff to complete some type
of orientation training to work in a center.
■ Twenty-nine (29) States require centers to provide orientation training to new employees and
volunteers. Orientation training is often the responsibility of the center director.
8 For directors, in most States the high school diploma is required in addition to other preservice qualifications, such
as training, credentials, or experience. For teachers, more often high school diplomas are the only qualification or
may be paired with experience.
National Center on Early Childhood Quality Assurance 7
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Health and Safety Topics Required in Preservice and Orientation
Training
FIRST AID AND CPR
■ As shown in table 2, 51 States require center staff to complete first aid and cardiopulmonary
resuscitation (CPR) training before working with children or soon after employment. Thirty-eight States
(38) specify that CPR training must focus on infants and children.
Table 2: First Aid and CPR Training Included in Preservice or Orientation Licensing
Requirements, 2014
First Aid and CPR Training Number of States
First aid training required 51
Required for at least one staff member on duty 35
Required for all staff 18
Training focused on infants and children 15
CPR training required 51
Required for at least one staff member on duty 39
Required for all staff 14
Training focused on infants and children 38
N = 53 States (including two Territories, and the District of Columbia).
OTHER TRAINING TOPICS
■ As shown in table 3, more than 70 percent of States require center staff to complete preservice or
orientation training related to detecting and reporting child abuse and neglect. Nearly 60 percent
require center staff to complete training in emergency preparedness and preventing the spread of
communicable disease, respectively.
Table 3: Health and Safety Training Topics Included in Preservice or Orientation
Licensing Requirements, 2014
Health and Safety Training Topics Number of States
Child abuse and neglect 38
Emergency preparedness and response 30
Spread of communicable disease, universal precautions, hand washing 30
Administration of medication 16
National Center on Early Childhood Quality Assurance 8
P
e
rc
e
n
ta
g
e
o
f
S
ta
te
s
10
0%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
96%
52%
64%
88%
48%
96%
62%
72%
91%
72%
2011
2014
Criminal history State Federal Child abuse and Sex offender
records fingerprints fingerprints neglect registry registry
Type of Background Check
N = 53 States (including two Territories, and the District of Columbia).
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Health and Safety Training Topics Number of States
Reducing the risk of SIDS, safe sleep practices 16
Special health care needs 14
Care of sick children 13
Child nutrition and feeding 13
Shaken baby syndrome 11
Fire safety 7
Transportation, child safety restraints 7
N = 53 States (including two Territories, and the District of Columbia).
Background Checks
■ All States require at least one type of background check for center staff prior to hiring. As shown in
figure 2, the percentage of States requiring fingerprint checks against state and Federal records and
the sex offender registry checks has increased since 2011.
Figure 2: Background Check Requirements
Child Care Centers, 2011 and 2014
National Center on Early Childhood Quality Assurance 9
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
■ Sixteen (16) States conduct comprehensive background checks and require checks of criminal history
records, fingerprints (state and Federal), child abuse and neglect registries, and the sex offender
registry for center staff: Alabama, Alaska, Arizona, California, Colorado, the District of Columbia,
Hawaii, Idaho, Mississippi, Nevada, New Mexico, North Carolina, South Carolina, Tennessee, Utah,
and Washington. This increased from 11 States in 2011.
■ Forty (40) States require center staff to sign criminal-status statements.
Staff Hiring Requirements
■ Thirty-nine (39) States require center staff to have a physical exam or provide a health statement from
a physician before working with children.
■ Forty States (40) require center staff to have a tuberculosis screening.
■ Half of States require references when hiring center directors or other staff.
Child-Staff Ratios and Group Size
■ All States have requirements for child-staff ratios. Twelve (12) States do not regulate group size for any
age groups. An additional 10 States do not regulate group size for at least one age group.
■ Tables 4 and 5 show that only the few States with the lowest child-staff ratios and group sizes meet or
exceed the recommendations in Caring for Our Children: National Health and Safety Performance
Standards; Guidelines for Out-of-home Child Care Programs, 3rd Edition (CFOC)9.
Table 4: Range of State Child-staff Ratio Requirements for Child Care Centers, 2014
Age of
Children
Lowest
Required
Ratio
Number of
States
Highest
Required
Ratio
Number of
States
Most
Common
Ratio
Number of
States
CFOC
Guidelines
Infant
6 weeks 3:1 3 6:1 4 4:1 34 3:1
11 months 3:1 3 6:1 5 4:1 33 3:1
Toddler
18 months 3:1 1 9:1 3 6:1 16 4:1
35 months 4:1 2 12:1 2 8:1 12 4:1
Preschool
3 years 7:1 2 15:1 5 10:1 23 7:1
4 years 8:1 1 20:1 3 10:1 19 8:1
School-age
5 years 9:1 1 25:1 2 15:1 14 8:1
10 years 10:1 1 26:1 1 15:1 16 12:1
N = 53 States (including two Territories, and the District of Columbia).
9 American Academy of Pediatrics, American Public Health Association, National Resource Center for Health and
Safety in Child Care and Early Education. (2011). Caring for our children: National health and safety performance
standards; Guidelines for early care and education programs. 3rd Edition. http://nrckids.org/CFOC3/index.html.
National Center on Early Childhood Quality Assurance 10
http://nrckids.org/CFOC3/index.html
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 5: Range of State Group Size Requirements for Child Care Centers, 2014
Age of
Children
Lowest
Required
Group
Size
Number of
States
Highest
Required
Group
Size
Number of
States
Most
Common
Group
Size
Number of
States
CFOC
Guidelines
Infant
6 weeks 6 1 20 1 8 19 6
11 months 6 1 20 1 8 19 6
Toddler
18 months 8 7 20 2 12 12 8
35 months 8 2 22 1 14 9 8
Preschool
3 years 14 1 30 2 20 19 14
4 years 20 18 36 1 20 18 16
School-age
5 years 20 9 40 2 30 12 16
10 years 20 2 50 1 30 15 24
N = 53 States (including two Territories, and the District of Columbia).
■ Forty-seven (47) States allow child care centers to have mixed-age groups of children. All of these
States have requirements about child-staff ratios for mixed-age groups, and more than half have
requirements about group size for mixed-age groups. Most States base mixed-age group ratios and
group size on the age of the youngest child in the group.
Supervision of Children
■ More than 90 percent of States have requirements for staff on the supervision of children in care.
Among those States, some specify that staff must be able to see or hear children at all times or that
staff must be free of other duties while supervising children.
■ All States have specific requirements about the supervision of children during at least one of the times
or activities listed in table 6.
Table 6: Supervision Requirements for Child Care Centers, 2014
Times and Activities Number of States
Transportation in vehicles 49
Naptime 46
Field trips 44
Swimming or water activities 44
Evening or overnight care
37
Outdoor play 31
N = 53 States (including two Territories, and the District of Columbia).
National Center on Early Childhood Quality Assurance 11
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Health Requirements and Medical Care
■ Thirty (30) States require children to have a physical exam when enrolling in a center.
■ As shown in table 7, all States require children to have immunizations to enroll in centers. However,
most States allow exemptions from immunization requirements if written statements are provided from
either a physician or parent.
Table 7: Immunization Requirements for Children in Centers, 2014
Immunization Requirements for Children Number of States
Children are required to have immunizations to enroll in a center 53
State sets time for when immunizations records must be submitted to the center
after enrollment
24
Immunization Exemptions for Children
State allows parents/guardians to provide a written statement that they do not
wish to have their child immunized
37
State allows medical professionals to provide a written statement for exemption
from immunizations for medical need
36
State allows centers to exclude children until immunization records or exemption
statements are provided
18
State allows centers to accept a child on a conditional basis if not all
immunizations are complete
7
State allows centers to refuse to accept children who have been exempted from
immunization by the parents
2
N = 53 States (including two Territories, and the District of Columbia).
■ All States have requirements about the administration of medication to children. Centers in nearly all
States must obtain permission from parents to administer medications, keep records of medications
given to children, and get written instructions about how to give the medication to children.
Seventeen (17) States and Territories require center staff to complete training about the
administration of medication—California, Colorado, Connecticut, Delaware, Georgia, Indiana,
Maryland, Nevada, New Jersey, New York, Ohio, Utah, Vermont, Virgin Islands, Virginia, West
Virginia, and Wyoming.
■ Seventy-nine (79) percent of States require centers to exclude children who are mildly ill, meaning that
they must be kept home until they are well enough to return to programs.
National Center on Early Childhood Quality Assurance 12
=
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Nutrition and Maintaining Healthy Weight
■ Fifty-two (52) States and Territories have requirements for centers about the nutritional content of
meals and snacks served to children.
■ Table 8 shows that a growing number of States are adding requirements to their licensing regulations
to help with preventing obesity and maintaining healthy weight in young children.
Table 8: Number of States with Requirements for Child Care Centers about Maintaining
Healthy Weight in Children, 2011 and 2014
Healthy Weight Requirement*
2011
(N = 50)
2014
(N 53)
Nutrition
Drinking water must be freely available to children throughout the day 40 43
Requirements about breastfeeding or feeding breast milk to children in care 37 43
Fruit or vegetables must be served at every meal 19 19
Soft drinks or other sugary drinks are prohibited 6 8
Limit servings of 100% juice to one 4 to 6 ounce serving per day 3 3
Low-fat or nonfat milk must be served to children age two and older 2 3
Meals are eaten family style 1 1
No fried foods are served 0 0
Physical activity
Daily outdoor play is required when weather permits 46 47
Duration of daily physical activity is specified 8 11
Screen time
State has rules about children’s use of television, computers, or other
electronic media
22 26
Content of electronic media is age-appropriate, educational, nonviolent, etc. 16 18
State sets limits on the amount of screen time 11 15
Use of electronic media is prohibited with children younger than age 2 5 12
N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011.
*The table shows the number of States that have licensing requirements about nutrition, physical activity, and screen time that are
similar to the elements in the Let’s Move! Child Care initiative’s goal areas. Additional information about Let’s Move! Child Care is
available at http://www.healthykidshealthyfuture.org.
National Center on Early Childhood Quality Assurance 13
http:http://www.healthykidshealthyfuture.org
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Behavior Guidance and Discipline
■ Forty-two (42) States specify the types of discipline or behavior guidance that centers are allowed to
use with children, and 52 States and Territories specify forms of discipline centers are not allowed to
use with children.
Two (2) States (Louisiana and South Carolina) allow corporal punishment by specifically listing it
as a form of acceptable discipline in their licensing regulations.
Activities and Equipment and Materials
■ Forty-nine (49) States specify the types of activities—such as outdoor play, active play, quiet play,
naptime, and group activities—that must be included in the daily schedule for children.
■ Forty-one (41) States specify that the domains of children’s development must be addressed in
activities. Most of these States require centers to address children’s social, physical, language and
literacy, cognitive and intellectual, and emotional development. Nearly half of States require centers to
address cultural development.
■ Seventy-five (75) percent of States have requirements for the types of equipment and materials centers
must have for children, such as indoor and outdoor gross-motor equipment, fine-motor manipulatives,
books and other literacy materials, and art supplies.
Child Assessment
■ Three States (Massachusetts, Nevada, and Vermont) require centers to use observation and/or
assessment methods to document children’s development and to share the results of assessments
with families.
Parent Involvement
■ Nearly half of States have parent involvement requirements for centers, including requiring centers to
provide opportunities for parents to be involved in program activities.
■ Forty-six (46) States have requirements about communication with parents, with half of States requiring
centers to keep logs of children’s care and communicate with parents, and more than a third requiring
centers to hold regularly scheduled meetings with parents.
■ Forty-seven (47) States require centers to provide parents with access to the facility at all times when
their child is present.
Transportation
■ Fifty-one (51) States and Territories have requirements about transporting children in vehicles.
As shown in table 9, there has been a small increase in the number of States with these
requirements since 2011.
National Center on Early Childhood Quality Assurance 14
=
=
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 9: Number of States with Transportation Requirements for Child Care Centers,
2011 and 2014
Transportation Requirements
2011
(N = 50)
2014
(N = 53)
Requirements for transporting children in vehicles 49 51
Safety restraints for children (e.g., seat belts, car seats) 44 47
Driver requirements (e.g., driver’s license, minimum age requirements) 43 46
Specific child-staff ratio requirements for transporting children in vehicles 39 40
Supervision of children when they board and exit vehicles 24 24
Attendance records of children being transported 20 20
Additional checks for children remaining on board are conducted once
vehicles are unloaded
7 7
N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011.
Care of Infants and Toddlers
■ The number of States requiring centers to place infants on their backs to sleep to reduce incidences of
SIDS has increased by 5 States since 2011, as shown in table 10. Twenty-four (24) States had this
requirement in 2005.
■ States have also added requirements about physician authorization for different sleep positions and
prohibited the use of soft bedding in cribs. Five States have also added training requirements about
reducing SIDS.
Table 10: Number of States with Requirements for Child Care Centers about Reducing
the Risk of SIDS, 2011 and 2014
SIDS Reduction Requirements
2011
(N 50)
2014
(N 53)
Infants must be placed on their backs to sleep 42 47
Physicians may authorize different sleep positions for infants 35 38
Soft bedding or materials must not be used in cribs 25 30
Facilities must use cribs that meet the U.S. Consumer Product Safety
Commission requirements
NA 28
Staff are required to complete preservice or orientation training about
reducing SIDS
10 16
Parents can authorize a different sleep position for infants 5 6
N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011.
NA = Data not collected in 2011.
National Center on Early Childhood Quality Assurance 15
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
■ Among the 50 States that have requirements for infant and toddler care, 23 require that centers assign
a primary, consistent caregiver to each child. This has not changed since 2011.
■ Fifty-two (52) States and Territories have requirements about how to feed infants, and 43 have
requirements about breastfeeding or feeding breast milk to children in care.
■ Seventeen (17) States have specific qualifications for staff that work with infants and toddlers that
include training on how to care for these age groups.
Care of School-Age Children
■ Thirteen (13) States have separate sets of regulations for facilities that care for only school-age
children. In addition, 47 States have incorporated requirements for the care of school-age children into
the regulations for mixed-age child care centers.
■ Of the 47 States with requirements in center regulations, 28 States have specific qualifications for staff
that work with school-age children.
■ Forty-three (43) States specify the types of activities centers should provide for school-age children.
■ Twenty-eight (28) States require centers to have specific types of equipment for school-age children.
■ Twenty (20) States have requirements specific to the supervision of children in this age group.
Care of Children with Disabilities or Other Special Needs
■ Thirty-nine (39) States have requirements about the care of children with special needs in their child
care center regulations. Table 11 includes some of the most common requirements for child care
centers.
Table 11: Requirements about the Care of Children with Disabilities or Special Needs for
Child Care Centers, 2014
Requirements about the Care of Children with Disabilities Number of States
Facility must keep information about disabilities or special needs in children’s
records
19
Facility must obtain information from parents about children’s disabilities or
special needs
19
Facility must develop activity plans or accommodate existing plans for children
with disabilities or special needs
17
For children identified as having a disability or special need, facility must keep IEP
plans or IFSPs in records
10
Facility staff must communicate with families about children’s progress
concerning special needs
10
Facility must develop plans for caring for children with disabilities or special needs 9
N = 53 States (including two Territories, and the District of Columbia).
IEP = Individualized Education Program
IFSP = Individual Family Services Plan
National Center on Early Childhood Quality Assurance 16
=
=
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Facility Health and Safety Requirements
■ As shown in table 12, between 2011 and 2014, there has been an increase in the number of States
with common health and safety requirements for child care centers. Some of the increases are due to
the addition of requirements from Guam and the Virgin Islands to the 2014 data collection. Any
instances of three or more States that changed their requirements since 2011 are noted below:
Three States added requirements about the following:
Fire safety—Alaska, Idaho10, and Kentucky;
Keeping daily attendance records—Idaho, Nebraska, and Rhode Island;
Handwashing for children—Idaho, South Dakota, and Wyoming; and
Prohibiting smoking in child care centers—Idaho, Nebraska, and Wyoming.
Four States added requirements about reporting serious injuries that occur to children in child care
centers—Idaho, Nebraska, Rhode Island, and Utah.
Five States added requirements about reporting deaths that occur to children in child care
centers—Idaho, Nebraska, Rhode Island, Utah, and Virginia.
In 2011, five States added a requirement that prohibited firearms in child care centers—Arkansas,
Connecticut, Delaware, the District of Columbia, and North Carolina. Two more States (Nevada
and Rhode Island) have added that prohibition since 2011.
Table 12: Number of States with Requirements about Health and Safety for Child Care
Centers, 2011 and 2014
State Health and Safety Requirements for Center-Based Facilities
2011
(N 50)
2014
(N 53)
Environmental tests and inspections
Environmental tests (e.g., lead paint, lead in water, asbestos, radon) 13 13
Environmental inspections (e.g., fire, health, building code) 41 41
Indoor and outdoor space
Amount of indoor space per child is 35 square feet 41 41
Amount of outdoor space per child is 75 square feet 31 31
Fence or other enclosure around outdoor space 40 41
Fire safety and emergency preparedness
Requirements for fire safety 47 51
Fire drills 39 42
Emergency preparedness (e.g., weather, utility-related, acts of terrorism) 38 38
Security
Daily attendance records kept 37 41
Procedures for accepting and releasing children (i.e., signing in and out) 27 28
10 Idaho’s changes are due to new statewide licensing requirements that were promulgated in 2011 (after the data
collection for the 2011 Child Care Licensing Study). Prior to this, Idaho did not have statewide requirements for child
care centers and was not included in the studies.
National Center on Early Childhood Quality Assurance 17
=
=
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
State Health and Safety Requirements for Center-Based Facilities
2011
(N 50)
2014
(N 53)
Insurance
Liability insurance 25 25
Automobile insurance 28 31
Reporting to the licensing agency
All serious injuries that occur to children in programs 34 39
All deaths that occur to children in programs 33 39
Hand washing
Hand washing for staff 46 47
Hand washing for children 45 49
Diapering
Requirements for diapering 49 50
Sanitation of diapering area 42 43
Specify when diapers are changed 32 32
Smoking policies
Smoking not allowed in facility 33 36
Firearms
Firearms not allowed in facility 22 25
N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011.
Trends in State Child Care Center Licensing Policies
The information in this section was compiled and analyzed from the 2014 NARA Child Care Licensing
Programs and Policies Survey.
Number of Licensed Child Care Centers
■ There are a total of 110,309 licensed child care centers in the United States, with a total of 266,017
licensed facilities (centers and family and group child care homes), as shown in table 13.
The number of child care centers has decreased slightly (1 percent) since 2011. The total number
of licensed centers and homes has decreased by nine percent.
Many States report that the economy has been a factor in the decrease in licensed facilities. Other
factors they report include low enrollment, changing demographics, and increased provider
requirements.
Licensed Capacity in Centers
■ There are more than 9.8 million licensed child care slots in the United States as shown in table 13.
Licensed capacity in licensed centers and homes has decreased by two percent since 2011.
■ Eighty-five (85) percent of licensed child care slots are in center-based programs.
■ The number of licensed slots in child care centers has decreased slightly (0.36 percent).
National Center on Early Childhood Quality Assurance 18
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 13: Number of Licensed Facilities and Licensed Capacity in Child Care Centers,
2011 and 2014
Number of Facilities 2011 2014 Difference
Child care centers 111,701 110,309 -1,392
Total number of licensed facilities 291,865 266,017 -25,848
Licensed Capacity
Child care centers 8,392,054 8,362,036 -30,018
Total licensed capacity 10,053,124 9,853,135 -199,989
N = 53 States (including two Territories, and the District of Columbia). N = 50 States in 2011.
Frequency of Licensing
■ Child care center licenses are valid in most States for either one or two years. Nonexpiring licenses are
issued in 12 States—Arkansas, California, Colorado, Maryland, Nebraska, North Carolina,11 Ohio,
Oklahoma, South Dakota, Texas, Washington, and Wisconsin.
Since 2011, one State (Ohio) has adopted a nonexpiring license.
Types of Inspections
■ As shown in table 14, all States conduct an inspection prior to issuing a license. Eighty-five (85)
percent of States conduct an announced inspection before issuing a license.
■ All States make routine compliance inspections and 75 percent always conduct these inspections
unannounced.
■ Most States conduct unannounced inspections for license renewal.
Table 14: Types of Inspections Conducted in Child Care Centers,
Announced and Unannounced, 2014
Type of Inspection Number of States
Inspection conducted before issuing a license 53
Announced only 34
Unannounced only 8
Both announced and unannounced 11
11 One-star licenses in North Carolina are nonexpiring. Two- to five-star licenses are renewed every three years.
National Center on Early Childhood Quality Assurance 19
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Type of Inspection Number of States
Inspection conducted for routine compliance 53
Announced only 1
Unannounced only 40
Both announced and unannounced 12
Inspection conducted for license renewal 40
Announced only 13
Unannounced only 21
Both announced and unannounced 5
License is nonexpiring (no renewal) 12
No response 1
N = 53 States (including two Territories, and the District of Columbia).
Frequency of Inspections
■ As shown in table 15, most States inspect child care centers at least once a year. There has been little
change in the frequency of inspections since 2011.
Table 15: Frequency of Licensing Inspections in Child Care Centers, 2014
Frequency of Inspections Number of States
More than three times a year 2
Three times a year 6
Twice a year 14
Once a year 25
Once every 2 years 5
Once every 3 years 0
Less than once every 3 years 1
N = 53 States (including two Territories, and the District of Columbia).
National Center on Early Childhood Quality Assurance 20
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Monitoring Tools
■ Seventy (70) percent of States report using abbreviated compliance forms that shorten the list of
requirements that are checked during inspections. This is an increase from 55 percent of States in
2011.
Seventy (70) percent of these States report that abbreviated compliance forms are used during
routine compliance inspections.
Sixty-five (65) percent of these States have specific policies for determining when to switch from
an abbreviated compliance form during an inspection to a full compliance review of all regulations.
States report that they often chose the rules for inclusion in abbreviated compliance forms based
on a consensus about rules considered most critical to protecting children’s health and safety and
an assessment of risk of harm to children.
Eight States report developing a set of key indicators that could predict overall compliance as
a method for determining the rules to include on an abbreviated compliance form.
■ Twenty-six (26) percent of States report having a method for determining the frequency and/or depth of
monitoring based on an assessment of a child care center’s level of compliance with regulations, also
known as “differential monitoring.”12
■ More than 50 percent of States report having identified the requirements within their licensing
regulations that pose the greatest risk of harm to children.
Most of these States have identified categories of requirements as high-risk or identified the
highest-risk requirements. About a quarter of the States have assigned a risk level or weight to all
requirements.
Table 16 shows the common uses of a risk assessment of licensing requirements as related to
monitoring and enforcement efforts.
Table 16: States’ Use of Risk Assessment of Licensing Requirements, 2014
Use of Risk Assessment Number of States
Determining frequency of inspections based on risk level of violations 21
Determining enforcement actions based on risk level of violations 17
Categorizing violations 15
Monitoring high-risk rules during abbreviated inspections 15
N = 28 States that report having conducted a risk assessment of their licensing requirements.
■ Nearly all States report providing technical assistance and consultation during monitoring activities to
help facilities achieve compliance with regulations.
12 “Differential monitoring” is defined as a method for determining the frequency and/or depth of monitoring based on
an assessment of a facility’s level of compliance with regulations. This process may also be called “risk assessment
monitoring” or “risk-based monitoring,” and it can be used to determine the number of inspections needed for a
particular facility and the content of inspections.
National Center on Early Childhood Quality Assurance 21
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
The percentage of States reporting that they provide technical assistance to assist facilities in
improving quality and exceeding minimum licensing requirements rose from 45 percent in 2011 to
65 percent in 2014.
Use of Technology
■ Thirty-four (34) States report using portable devices to help staff efficiently inspect and monitor licensed
facilities, such as laptops, portable digital assistants, and tablets with specific software for capturing
information during licensing inspections.
■ Nearly all States (50) have an automated licensing data system. Table 17 shows the common uses of
these databases.
Table 17: States’ Uses for Licensing Databases, 2014
Licensing Database Uses Number of States
Provide supervisory oversight 46
Manage caseloads 44
Analyze compliance data 40
Determine staff performance 34
Evaluate workload needs 31
Assess potential enforcement actions 29
Identify technical assistance and training needs 27
Guide revisions 25
Evaluate the licensing program and measure effectiveness 24
Track serious injuries 19
Track fatalities 17
Determine differential monitoring levels 13
N = 53 States (including two Territories, and the District of Columbia).
Enforcement Actions
The most common enforcement actions used with facilities that are not in compliance with the
regulations are denial of a license, revocation of a license, emergency or immediate closure of a
facility, issuance of a conditional license, nonrenewal of a license, and civil fines. As shown in table
18, all these actions are used by at least 50 percent of States.
Of the common enforcement actions listed below, States most frequently imposed civil fines,
conditional licenses, and license revocations.
National Center on Early Childhood Quality Assurance 22
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 18: Use of Enforcement Actions in Child Care Facilities, 2014
Enforcement Actions
Number of States
Using Enforcement
Action in 2014
Number of Actions
Taken Against Facilities
by All States
Denial of license 53 720
Revocation of license 52 1,383
Emergency or immediate closure of facility 52 646
Issuance of a conditional license 42 1,122
Nonrenewal of license 37 317
Civil fine 30 2,108
Probation 23 547
Consent agreement 19 80
N = 53 States (including two Territories, and the District of Columbia).
Note: Not all States were able to provide data about the number of actions taken against child care facilities. In addition, the number
of actions does not equal the number of facilities that were in violation of the licensing regulations. Facilities could have been subject
to multiple actions during one year.
Illegally Operating Providers
■ All States respond to complaints from the public about providers operating illegally. In addition, States
work with local law enforcement agencies, monitor outlets where providers advertise, and seek to
educate the public with campaigns about the importance of licensing.
■ Nearly all States encourage providers operating illegally to become licensed. However, as shown in
table 19, States take various actions against providers found to be operating illegally.
Table 19: Actions Taken against Providers Found to Be Operating Illegally, 2014
Actions Taken against Providers Number of States
An injunction or cease-and-desist order may be issued 45
Law enforcement may be contacted in certain circumstances 42
Civil penalties or monetary fines may be assessed 32
Misdemeanor charges may be filed 26
Felony charges may be filed 5
N = 53 States (including two Territories, and the District of Columbia).
Complaint Investigations
■ Most States, as shown in table 20, will take complaints about child care providers from calls to the
general licensing agency telephone number. States also have forms to submit complaints on their Web
National Center on Early Childhood Quality Assurance 23
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
site and dedicated phone numbers for taking licensing complaints. Most States will investigate
complaints filed anonymously.
Table 20: Mechanisms for the Public to Submit Complaints about Licensed Child Care
Providers, 2014
Mechanisms for Submitting Complaints Number of States
Telephone call to general licensing agency (no dedicated phone number) 43
Form to submit on licensing Web site 23
Telephone complaint hotline just for licensing (dedicated phone number) 17
Telephone complaint hotline shared with another program, such as child
protective services
15
N = 53 States (including two Territories, and the District of Columbia).
Note: States often report multiple mechanisms for submitting complaints.
■ All States report that their licensing agency will investigate complaints. Thirty (30) States report only
using the same staff that conduct inspections, and two report using only staff dedicated to complaint
investigations. The remaining States report using various types of staff.
■ Nearly two-thirds of States report that an unannounced inspection is conducted for every complaint
received. The remaining States conduct unannounced inspections only when an on-site visit is needed
for the investigation.
■ States report that child abuse and neglect complaints filed against child care facilities are often
investigated by the protective services agency, law enforcement, and the licensing agency. Thirty (30)
percent of States have a specialized unit to investigate these complaints.
■ Ten (10) States report that they investigate all complaints made against providers who are legally
exempt from licensing. More often, States only investigate to determine or verify that the facility is
legally exempt. However, more than half of the States report that allegations of abuse and neglect are
referred to their child protective services agency.
Licensing Information on the Internet
■ Table 21 shows the number of States that post licensing inspection reports, complaints, and
enforcement actions to a public Web site for consumers and providers.
Since these data were first collected in 2005, the number of States posting licensing information
on the Web has increased significantly, by more than 300 percent.
National Center on Early Childhood Quality Assurance 24
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 21: Licensing Information Posted on the Internet, 2005, 2011, and 2014
Licensing Information Posted on the Internet 2005 2011 2014
Licensing inspection reports 9 29 34
Full report 7 16 16
Inspection summary 2 13 18
Licensing complaints 8 25 29
All complaints 2 6 9
Substantiated complaints 6 19 20
Enforcement actions NA NA 21
N = 53 States (including two Territories, and the District of Columbia).
NA = Data not collected in 2005 and 2011.
Licensing Fees
■ More than 70 percent of States charge child care centers a fee to obtain a license. Licensing fees for
child care centers are most often based on the number of children in a facility.
Half of the States that charge a licensing fee use the revenue to support the licensing agency. In
most of the remaining States, the revenue from licensing fees goes into the States’ general funds.
Two (2) States (Tennessee and Virginia) report that licensing fees are used for training child care
providers.
Licensing Staff Requirements
■ Thirty-nine (39) States report that they require licensing line staff to have a bachelor’s degree. In 24
States, the content or major of the degree or coursework must be early childhood education, child
development, or a related topic. Twenty-one (21) States also require experience working in a setting
with children.
■ Twenty-eight (28) States require licensing line staff to complete additional training each year in various
topics, as seen in table 21. Almost all States make training available to licensing staff through the
licensing agency, local and state conferences, and community-based organizations. More than half of
States receive training from outside consultants and/or national conferences.
■ Most States use multiple sources of funds to support licensing functions. More than 85 percent of
States use the CCDF to hire and support child care licensing staff. Two-thirds of States also use
general state funds for this purpose.
National Center on Early Childhood Quality Assurance 25
Trends in Child Care Center Licensing Regulations and Policies for 2014 (No. 314) November 2015
Table 22: Annual Training Topics Required for Licensing Staff, 2014
Annual Training Topics Number of States
Regulatory issues 16
Health and safety issues 16
State’s regulations 15
State’s licensing policies and procedures 15
Cultural competency and sensitivity 12
Identifying child abuse and neglect 11
Early childhood education and child development 11
Provider-licensor relationships and communication 11
Supervision 8
Disaster and emergency preparedness 8
Fire safety 6
Adult development 3
Business administration and management 3
N = 53 States (including two Territories, and the District of Columbia).
Conclusion
The role of licensing in the early care and education system is to provide a mandatory floor of program
standards and monitoring that will protect children from physical harm and enhance learning and
development. Within the early care and education system, licensing covers the broadest content, the
largest number of children ages birth to school-age, and the largest population of providers. This research
brief illustrates that licensing is the foundation for child care quality, and provides evidence that States are
making positive changes in their licensing requirements and policies to protect the health and safety of
children in out-of-home care.
The CCDBG Act of 2014 was signed into law after these data were collected. The findings shown in this
brief, such as changes in preservice and ongoing training requirements, background check requirements,
and monitoring systems, are all key pieces of the new federal statute. In the next few years, States will be
making even more significant changes to their licensing requirements and monitoring policies to come
into compliance with the federal statute. The next time these data are collected and analyzed will provide
an opportunity to learn how the law has impacted health and safety requirements for all children in child
care.
National Center on Early Childhood Quality Assurance
9300 Lee Highway, Fairfax VA, 22031 Phone: 877-296-2250 | Email: QualityAssuranceCenter@icfi.com
National Center on Early Childhood Quality Assurance 26
mailto:QualityAssuranceCenter@icfi.com
- RESEARCH BRIEF #1:TRENDS IN CHILD CARE CENTER LICENSINGREGULATIONS AND POLICIES FOR 2014
Introduction
Licensing Systems
New Federal Statute
Scope and Purpose
Compilation of State Licensing Requirements
NARA Survey of Licensing Programs and Policies
Comparative Analysis
Summary of Key Findings
Licensing Regulations
Licensing Policies
Trends in State Child Care Center Licensing Regulations
Child Care Centers Licensed
Dates and Types of Regulations
Definition of Licensed Child Care Centers
Licensing Exemptions
Staff Roles and Age Requirements
Staff Qualifications and Ongoing Training Requirements
Orientation Training
Health and Safety Topics Required in Preservice and Orientation Training
Background Checks
Staff Hiring Requirements
Child-Staff Ratios and Group Size
Supervision of Children
Health Requirements and Medical Care
Nutrition and Maintaining Healthy Weight
Behavior Guidance and Discipline
Activities and Equipment and Materials
Child Assessment
Parent Involvement
Transportation
Care of Infants and Toddlers
Care of School-Age Children
Care of Children with Disabilities or Other Special Needs
Facility Health and Safety Requirements
Trends in State Child Care Center Licensing Policies
Number of Licensed Child Care Centers
Licensed Capacity in Centers
Frequency of Licensing
Types of Inspections
Frequency of Inspections
Monitoring Tools
Use of Technology
Enforcement Actions
Illegally Operating Providers
Complaint Investigations
Licensing Information on the Internet
Licensing Fees
Licensing Staff Requirements
Conclusion
