5.5 Monitoring and Enforcement of Licensing and Health and Safety Requirements

5.5.1 Inspections for licensed CCDF providers Licensing inspectors must perform at least one annual, unannounced inspection of each licensed CCDF provider for compliance with all child care licensing standards, including an inspection for compliance with health and safety and fire standards. Lead Agencies must conduct at least one pre-licensure inspection for compliance with health, safety, and fire standards of each child care provider and facility in the State/Territory. a. Licensed CCDF center-based providers i. Does your pre-licensure inspection for licensed center-based providers assess compliance with health standards, safety standards, and fire standards? X Yes. No. If no, describe: Not applicable. ii. Identify the frequency of annual unannounced inspections for licensed center- based providers addressing compliance with health, safety, and fire standards: Annually. More than once a year. If more than once a year, describe: Not applicable. X Other. If other, describe: California received a preliminary notice of non- compliance from Office of Child Care (OCC) on May 8, 2024, for this provision. The CDSS needs additional time to develop an implementation plan and may seek technical assistance from OCC. Licensed child care centers (CCC) and family child care homes (FCCH) are subject to an inspection at least once every three years as required under Health and Safety Code Sections 1597.09(d) and 1597.55a(e). However, under Health and Safety Code sections 1597.09(b) and 1597.55a(c) an unannounced annual inspection (once each year) of a facility is required, if any one of the following circumstances apply: When a license is on probation; When the terms of agreement in a facility compliance plan require an annual inspection; When an accusation against a licensee is pending; To verify that a person who has been ordered out of a CCC or FCCH by the Department is no longer at the facility. Health and Safety Code sections 1597.09(c) and 1597.55a(d) require annual unannounced inspections of no less than 30 percent of those CCC and FCCH facilities not otherwise subject to an annual inspection using a random sampling methodology. The Community Care Licensing Division may also inspect child care facilities as often as necessary to ensure the quality of care provided. iii. Does the Lead Agency implement a differential monitoring approach when monitoring licensed center-based providers? Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. Not applicable. X No. If no, describe: A Comprehensive and Regulatory Enforcement (CARE) Tool is used during an inspection. The CARE Tool focuses on prevention, compliance, and regulatory enforcement for all child care facilities. The domains for the child care centers include Care & Supervision, Children’s Records, Personal Rights, Physical Plant, Reporting Requirements, Staff Records, Staffing Ratio and Capacity, Food Services, and Toddler Component. The domains for the family child care homes are similar to those for centers. The CARE Tool does not contain all applicable statutes, regulations, or licensing standards with which a licensee is required to comply. Use of the CARE Tool does not limit the inspection authority of CCLD or its ability to issue citations or take disciplinary action for any deficiency. iv. Identify which department or agency is responsible for completing the inspections for licensed center-based providers. California Department of Social Services, Community Care Licensing Division, Child Care Licensing Program. b. Licensed CCDF family child care providers i. Does your pre-licensure inspection for licensed family child care homes assess compliance with health standards, safety standards, and fire standards? X Yes. No. If no, describe: Not applicable. ii. Identify the frequency of annual unannounced inspections for licensed family child care homes addressing compliance with health, safety, and fire standards: Annually. More than once a year. If more than once a year, describe: Not applicable. X Other. If other, describe: California received a preliminary notice of non- compliance from Office of Child Care (OCC) on May 8, 2024, for this provision. The CDSS needs additional time to develop an implementation plan and may seek technical assistance from OCC. Licensed FCCHs and CCCs are subject to an inspection at least once every three years as required under Health and Safety Code Sections 1597.09(d) and 1597.55a(e). However, under Health and Safety Code Sections 1597.09(b) and 1597.55a(c) an unannounced annual inspection (once each year) of a facility is required, if any one of the following circumstances apply: When a license is on probation; When the terms of agreement in a facility compliance plan require an annual inspection; When an accusation against a licensee is pending; To verify that a person who has been ordered out of a CCC or FCCH by the Department is no longer at the facility. Health and Safety Code Sections 1597.09(c) and 1597.55a(d) require annual unannounced inspections of no less than 30 percent of those CCC and FCCH facilities not otherwise subject to an annual inspection using a random sampling methodology. The Community Care Licensing Division may also inspect child care facilities as often as necessary to ensure the quality of care provided. iii. Does the Lead Agency implement a differential monitoring approach when monitoring licensed family child care providers? Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. Not applicable. X No. If no, describe: A Comprehensive and Regulatory Enforcement (CARE) Tool is used during an inspection. The CARE Tool focuses on prevention, compliance, and regulatory enforcement for all child care facilities. The domains for the child care centers include Care & Supervision, Children’s Records, Personal Rights, Physical Plant, Reporting Requirements, Staff Records, Staffing Ratio and Capacity, Food Services, and Toddler Component. The domains for the family child care homes are similar to those for centers. The CARE Tool does not contain all applicable statutes, regulations, or licensing standards with which a licensee is required to comply. Use of the CARE Tool does not limit the inspection authority of CCLD or its ability to issue citations or take disciplinary action for any deficiency. iv. Identify which department or agency is responsible for completing the inspections for licensed family child care providers. California Department of Social Services, Community Care Licensing Division, Child Care Licensing Program. c. Licensed in-home CCDF child care providers i. Does your Lead Agency license CCDF in-home child care (care in the child’s own home) providers? ☐ Yes. Yes. If yes, does your pre-licensure inspection for licensed in- home providers assess compliance with health, safety, and fire standards? ☐ X No. No. If no, describe: In-home child care providers are exempt from licensing requirements. ii. Identify the frequency of annual unannounced inspections for licensed in-home child care providers for compliance with health, safety, and fire standards completed: Annually. Not applicable More than once a year. If more than once a year, describe: Not applicable. X Other. If other, describe: In-home providers are exempt from licensing. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers. iii. Does the Lead Agency implement a differential monitoring approach when monitoring licensed in-home child care providers? Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. Not applicable. X No. iv. Identify which department or agency is responsible for completing the inspections for licensed in-home providers. In-home providers are exempt from licensing. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers, including which agency will be conducting the monitoring. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license- exempt providers. 5.5.2 Inspections for license-exempt providers Licensing inspectors must perform at least one annual monitoring visit of each license-exempt CCDF provider for compliance with health, safety, and fire standards. Inspections for relative providers will be addressed in subsection 5.8. Describe the policies and practices for the annual monitoring of: a. License-exempt CCDF center-based child care providers i. Identify the frequency of inspections for compliance with health, safety, and fire standards for license-exempt center-based providers: Annually. not applicable More than once a year. If more than once a year, describe: Not applicable. X Other. If other, describe: California received a preliminary notice of non- compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers. ii. Does the Lead Agency implement a differential monitoring approach when monitoring license-exempt center-based providers? If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. not applicable X No. iii. Identify which department or agency is responsible for completing the inspections for license-exempt center-based CCDF providers. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers, including which agency will be conducting the monitoring. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers. b. License-exempt CCDF family child care providers i. Identify the frequency of the inspections of license-exempt family child care providers to determine compliance with health, safety, and fire standards: Annually. More than once a year. If more than once a year, describe: Not applicable. Other. If other, describe: California received a preliminary notice of non- compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers, including which agency will be conducting the monitoring. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers. ii. Does the Lead Agency implement a differential monitoring approach when monitoring license-exempt family child care providers? If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. Not applicable. X No. iii. Identify which department or agency is responsible for completing the inspections for license-exempt family child care providers. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers, including which agency will be conducting the monitoring. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license- exempt providers. 5.5.3 Inspections for CCDF license-exempt in-home child care providers Lead Agencies may develop alternate monitoring requirements for care provided in the child’s home that are appropriate to the setting. This flexibility cannot be used to bypass the monitoring requirement altogether. a. Describe the requirements for the annual monitoring of CCDF license-exempt in-home child care (care in the child’s own home) providers, including if monitoring is announced or unannounced, occurs more frequently than once per year, and if differential monitoring procedures are used. California received a preliminary notice of non- compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license- exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers. b. List the entity(ies) in your State/Territory responsible for conducting inspections of license- exempt CCDF in-home child care (care in the child’s own home) providers: California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal TA team to draft health and safety standards for license- exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license- exempt providers, including which agency will be conducting the monitoring. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt in-home providers. 5.5.4 Posting monitoring and inspection reports Lead Agencies must post monitoring and inspection reports on their consumer education website for each licensed and CCDF child care provider, except in cases where the provider is related to all the children in their care. These reports must include the results of required annual monitoring visits and visits due to major substantiated complaints about a provider’s failure to comply with health and safety requirements and child care policies. A full report covers everything in the monitoring visit, including areas of compliance and non-compliance. If the Lead Agency does not produce any reports that include areas of compliance, the website must include information about all areas covered by a monitoring visit. The reports must be in plain language or provide a plain language summary Lead Agency and be timely to ensure that the results of the reports are available and easily understood by parents when they are deciding on a child care provider. Lead Agencies must post at least 3 years of monitoring and inspection reports. a. Does the Lead Agency post: i. ☐ X Pre-licensing inspection reports for licensed programs. ii. ☐ Full monitoring and inspection reports that include areas of compliance and non-compliance for all non-relative providers eligible to provide CCDF services. iii. ☐ X Monitoring and inspection reports that include areas of non-compliance only, with information about all areas covered by a monitoring visit posted separately on the website (e.g., a blank checklist used by monitors) for all non- relative providers eligible to provide CCDF services. Note: This option is only allowable if the Lead Agency does not produce monitoring reports that include both areas of compliance and non-compliance. If checked, provide a direct URL/website link to the website where a blank checklist is posted: California received a preliminary notice of non-compliance from the Office of Child Care (OCC) on May 8, 2024, for this provision. The CDSS needs additional time to develop an implementation plan and may seek technical assistance from OCC. The CDSS currently posts licensing reports that contain areas of non- compliance, however, does not post the areas of compliance. b. Check if the monitoring and inspection reports and any related plain language summaries include: i. ☐ X Date of inspection. ii. ☐ X Health and safety violations, including those violations that resulted in fatalities or serious injuries occurring at the provider. Describe how these health and safety violations are prominently displayed: For licensed providers, facility inspection reports and substantiated complaint investigation reports are written in plain language such that both the parents and providers may clearly understand the content. If the report contains a violation, it must include a factual description of the violation and fully state how the licensed provider did not comply with the law. If applicable, the report will describe the place or area where the violation occurred. iii. ☐ X Corrective action plans taken by the Lead Agency and/or child care provider. Describe: For licensed providers, the "plan of correction" for violations is included within the monitoring report found under the reports tab for an individual provider on California Department of Social Services (CDSS’) Child Care Facility Search website. iv. ☐ X A minimum of 3 years of results, where available. v. If any of the components above are not selected, please explain: N/A c. Lead Agencies must post monitoring and inspection reports and/or any related summaries in a timely manner. i. Provide the direct URL/website link to where the reports are posted: Child Care Facility Search ii. Identify the Lead Agency’s established timeline for posting monitoring reports and describe how it is timely: For licensed providers, once monitoring reports are completed (and the licensee has read and reviewed it), reports are uploaded to an internal database system which then automatically updates CDSS’ Facility Search Website accordingly, on a weekly basis, each Sunday. d. Does the Lead Agency certify that the monitoring and inspection reports or the summaries are in plain language that is understandable to parents and other consumers? ☐ X Yes. ☐ No. If no, describe: Not applicable. e. Does the Lead Agency certify that there is a process for correcting inaccuracies in the monitoring and inspection reports? ☐ X Yes. ☐ No. If no, describe: Not applicable. f. Does the Lead Agency maintain monitoring and inspection reports on the consumer education website? ☐ X Yes. ☐ No. If no, describe: Not applicable. 5.5.5 Qualifications and training of licensing inspectors Lead Agencies must ensure that individuals who are hired as licensing inspectors (or qualified monitors designated by the Lead Agency) are qualified to inspect child care providers and facilities and have received health and safety training appropriate to the provider setting and age of the children served. Describe how the Lead Agency ensures that licensing inspectors (or qualified monitors designated by the Lead Agency) are qualified and have received training on health and safety requirements that are appropriate to the age of the children in care and the type of provider setting. The Community Care Licensing Division (CCLD) is mandated to make efforts to recruit licensing inspectors, known as Licensing Program Analysts (LPAs), with early learning and care experience, training, or education. The LPAs are required to have a bachelor’s degree or prior state service and 12 semester or 18 quarter units of specified college courses. In addition, LPAs are required to take a training and experience evaluation prior to applying. Finally, LPAs are subject to fingerprinting and criminal record checks by the California Department of Justice and the Federal Bureau of Investigation. The LPAs begin their training with a four-week long academy of coursework that includes: health and safety requirements, and language and cultural diversity of the providers. In addition, LPAs are required to complete 40 hours of training in child development or early childhood education which addresses the developmental needs of children in care and type of provider setting. Additionally, LPAs are required to complete 36 hours of training each year that include regulation administration as well as communication skills, writing skills, and human relations skills. Finally, LPAs participate in cross-sector training and symposium trainings hosted by the CCLD Child Care Licensing Program. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision as related to license-exempt providers and needs additional time to meet the requirement. The CDSS, has been meeting regularly with the federal TA team, to draft health and safety standards for license-exempt providers and is now focusing the TA on developing monitoring policies and training requirements for license-exempt providers. When completed, CDSS will begin the legislative and budgetary processes to codify the standards, training, and monitoring policies for the license-exempt providers into state co California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS, has been meeting regularly with the federal technical assistance (TA) team, to draft health and safety standards for license-exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers, including the qualifications for the monitors. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers. 5.5.6 Ratio of licensing inspectors Lead Agencies must ensure the ratio of licensing inspectors to child care providers and facilities in the State/Territory are maintained at a level sufficient to enable the Lead Agency to conduct effective inspections of child care providers and facilities on a timely basis in accordance with federal, State, and local laws. Provide the ratio of licensing inspectors to child care providers (i.e., number of inspectors per number of child care providers) and facilities in the State/Territory and include how the ratio is sufficient to conduct effective inspections on a timely basis. As of December 2023, the CCLD’s Child Care Licensing Program has approximately 43,772 licensed child care facilities statewide. The inspector (LPA) to licensed provider ratio standard (as of December 2023) is approximately one LPA for every 51 child care centers and one LPA for every 99 family child care homes. In practice, LPAs cover regions that include both licensed center and home providers, and their individual caseload ratios vary accordingly. Under current provider ratio standards, CCLD is able to meet mandated statutory timeframes for unannounced inspections and complaint investigation inspections, as required by Health and Safety Code Sections 1596.853, 1597.09 and 1597.55a. CDSS is required to notify the appropriate legislative as required by HSC 1596.816(d). California received a preliminary notice of non-compliance from Office of Child Care on December 13, 2021, for this provision in relation to license-exempt providers and needs additional time to develop an implementation plan. The CDSS has been meeting regularly with the federal technical assistance (TA) team to draft health and safety standards for license- exempt providers. It is now focusing its efforts and the TA on developing training requirements and monitoring policies and practices for license-exempt providers. When completed, CDSS will initiate the legislative, regulatory, budgetary and collective bargaining processes to formalize and implement the standards, training and monitoring policies for the license-exempt providers.