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: 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: [x] Other. If other, describe: IDHS, the former Lead Agency for licensed childcare was informed of non-compliance on March 13, 2024. The Lead Agency does not have standards in place for all required Emergency Preparedness and Response Planning components for Licensed CCDF-eligible providers. The Lead Agency and DCFS seek to provide clarity as it pertains to the preservice orientation training as it appears to not be clear to DCFS and the Lead Agency in the process of the regulatory changes needed to come into full compliance. Additional time is required to complete the approval process and then to implement changes to policies and tools. iii. Does the Lead Agency implement a differential monitoring approach when monitoring licensed center-based providers? [x] Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. Monitoring process frequency depends on the licensing status and if there is a protective or corrective plan issued. For providers with a permit, the monitoring visit is conducted monthly during the permit period and during initial or provisional license within 60 days of issuance. If the provider is under a protective or corrective action plan, the monitoring visit is per scheduled on the plan. After the corrective action plan is completed, the monitoring visit occurs within seven days after the corrective plan end date when violations pose a threat to the health and safety of children, otherwise, within 60 days [ ] No. If no, describe: iv. Identify which department or agency is responsible for completing the inspections for licensed center-based providers. Illinois Department of Early Childhood 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: 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: [x] Other. If other, describe: IDHS, the former Lead Agency for licensed childcare, was informed of non-compliance March 13, 2024. The Lead Agency does not have standards in place for all required Emergency Preparedness and Response Planning components for Licensed CCDF-eligible providers. DCFS and IDEC seek to provide clarity as it pertains to the preservice orientation training as it appears to not be clear to DCFS. The Lead Agency is in the process of the regulatory changes needed to come into full compliance. Additional time is required to complete the approval process and then to implement changes to policies and tools. Annual monitoring is conducted once per year, in addition to unannounced post-violation monitoring to ensure compliance and on-going compliance with licensing standards for which the provider has been cited, unannounced complaint investigations visits, and when determined necessary due to a history of noncompliance. The Department also conducts monthly unannounced monitoring visits when the provider is on their permit (first 6 months of licensure), and weekly when the provider is operating under a protection plan due to a pending child/abuse neglect report or licensing complaint. iii. Does the Lead Agency implement a differential monitoring approach when monitoring licensed family child care providers? [x] Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. Monitoring process frequency depends on the licensing status and if there is a protective or corrective plan issued. For providers with a permit, the monitoring visit is conducted monthly during the permit period and during initial or provisional license withing 60 days of issuance. If the provider is under a protective or corrective action plan, the monitoring visit is per scheduled on the plan. After the corrective action plan is completed, the monitoring visit occurs within seven days after the corrective plan end date when violations pose a threat to the health and safety of children, otherwise, within 60 days. [ ] No. If no, describe: iv. Identify which department or agency is responsible for completing the inspections for licensed family child care providers. Illinois Department of Early Childhood (IDEC) 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? [x] No. [ ] Yes. If yes, does your pre-licensure inspection for licensed in-home providers assess compliance with health, safety, and fire standards? [ ] Yes. [ ] No. If no, describe: 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. [ ] More than once a year. If more than once a year, describe: [x] Other. If other, describe: Do not license in-home child care 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. [x] No. iv. Identify which department or agency is responsible for completing the inspections for licensed in-home providers. NA 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. [x] More than once a year. If more than once a year, describe: LE Providers receive an annual inspection visit, at minimum. If there are any non-compliances noted during a Health and Safety Monitoring visit, the Health and Safety Coach may need to schedule a follow up visit pending the non-compliances that were cited. [ ] Other. If other, describe: ii. Does the Lead Agency implement a differential monitoring approach when monitoring license-exempt center-based providers? [ ] Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. [x] No. iii. Identify which department or agency is responsible for completing the inspections for license-exempt center-based CCDF providers. Illinois Department of Early Childhood has executed grant agreements contracts with 16 statewide Child Care Resource and Referral Agencies. As a part of their contract, the agencies hire staff to complete these monitoring inspections on behalf of the Lead Agency. As a result, from March 14, 2024 notice of preliminary monitoring results, IDHS, the former Lead Agency, was identified as not having a training component related to identification of and protection from bodies of water. However, the Lead Agency has a health and safety standard related to Building and Physical Location Safety, 1.B. 2 Barriers are used to restrict children from unsafe areas. Such areas include, but are not limited to swimming pools, open drainage ditches, wells or holes. These standards are sent to License Exempt Provider types in advance of their monitoring visit and provided technical assistance by the Health and Safety Coach. There are current measures in place to support providers on this Health and Safety topic but it is not explicitly included in the Health and Safety Basics Training and/or the ECE Level 1 Tier 1 training that providers are required to complete. The Lead Agency is working with the Illinois Network of Child Care Resource and Referral Agencies, INCCRRA, to address the missing training component. The Health and Safety coaches will continue to provide Technical Assistance and Consultation around this standard for 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. [x] More than once a year. If more than once a year, describe: LE Providers receive an annual inspection visit, at minimum. If there are any non-compliances noted during a Health and Safety Monitoring visit, the Health and Safety Coach may need to schedule a follow up visit pending the non-compliances that were cited. [ ] Other. If other, describe: ii. Does the Lead Agency implement a differential monitoring approach when monitoring license-exempt family child care providers? [ ] Yes. If yes, describe how the differential monitoring approach is representative of the full complement of health and safety requirements. [x] No. iii. Identify which department or agency is responsible for completing the inspections for license-exempt family child care providers. Illinois Department of Early Childhood has executed grant agreements contracts with 16 statewide Child Care Resource and Referral Agencies. As a part of their contract, the agencies hire staff to complete these monitoring inspections on behalf of the Lead Agency. As a result, from March 14, 2024 notice of preliminary monitoring results, IDHS, the former Lead Agency, was identified as not having a training component related to identification of and protection from bodies of water. However, the Lead Agency has a health and safety standard related to Building and Physical Location Safety, 1.B. 2 Barriers are used to restrict children from unsafe areas. Such areas include, but are not limited to swimming pools, open drainage ditches, wells or holes. These standards are sent to License Exempt Provider types in advance of their monitoring visit and provided technical assistance by the Health and Safety Coach. There are current measures in place to support providers on this Health and Safety topic but it is not explicitly included in the Health and Safety Basics Training and/or the ECE Level 1 Tier 1 training that providers are required to complete. The Lead Agency is working with the Illinois Network of Child Care Resource and Referral Agencies, INCCRRA, to address the missing training component. The Health and Safety coaches will continue to provide Technical Assistance and Consultation around this standard for 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. The CCDF non-relative license-exempt family child care providers, categorized as Type 764 and 766 providers by the Lead Agency will receive one announced annual monitoring visit to ensure compliance with the Child Care Assistance Performance Health and Safety Standards. Compliance with these requirements does not exempt a child care provider from complying with stricter health and safety standards under state law, local ordinance, or other applicable laws. Prior to a monitoring visit, the Health & Safety Coach, located at the Child Care Resource and Referral Agency, explains what the visit will include: namely, a walkthrough of the areas where child care is provided using the Health & Safety checklist. The Health & Safety Coach follows up the monitoring visit with a confirmation letter. During the monitoring visit, the Health and Safety Coach will review identified Health and Safety standards and indicate if the standard is in place. For any standard that is not being met, technical assistance will be provided, and a Corrective Action Plan will be developed and a timeframe to correct the standard set. The Health and Safety Coach will do a follow up visit to ensure the corrective action plan is completed. As a result, from March 14, 2024 notice of preliminary monitoring results, IDHS, the former Lead Agency, was identified as not having a training component related to identification of and protection from bodies of water. However, the Lead Agency has a health and safety standard related to Building and Physical Location Safety, 1.B. 2 Barriers are used to restrict children from unsafe areas. Such areas include, but are not limited to swimming pools, open drainage ditches, wells or holes. These standards are sent to License Exempt Provider types in advance of their monitoring visit and provided technical assistance by the Health and Safety Coach. There are current measures in place to support providers on this Health and Safety topic but it is not explicitly included in the Health and Safety Basics Training and/or the ECE Level 1 Tier 1 training that providers are required to complete. The Lead Agency is working with the Illinois Network of Child Care Resource and Referral Agencies, INCCRRA, to address the missing training component. The Health and Safety coaches will continue to provide Technical Assistance and Consultation around this standard for 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: IDEC through contracts grant agreements with Child Care Resource and Referral agencies. 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. [ ] 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. If checked, provide a direct URL/website link to the website where a blank checklist is posted: sunshine.dcfs.illinois.gov/Content/Licensing/Daycare/MonitoringReports.aspx iv. [x] Other. Describe: As a result, from March 14, 2024 notice of preliminary monitoring results, IDHS, the former Lead Agency, was identified as not posting full monitoring and inspection reports for License Exempt Provider Types. The Lead Agency does not post three years of results for monitoring and inspection reports, inspection reports, and corrective actions taken by the state and the child care provider. Health and safety violations, fatalities or serious injuries are not listed or prominently displayed on the inspection reports. However, the Lead Agency has the Health and Safety Standards Checklist that is used to monitor License Exempt Providers on the parent consumer education website, Illinois Cares for Kids. The Lead Agency needs time to work with the Illinois Network of Child Care Resource and Referral Agencies (INCCRRA) to build out the data systems and format to post the monitoring inspection reports and corrective action plans on the Illinois Cares for Kids website. This is anticipated to be completed by 10/1/24. 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: As a result, from March 14, 2024 notice of preliminary monitoring results, IDHS, the former Lead Agency, was identified as not posting full monitoring and inspection reports for License Exempt Provider Types. The Lead Agency does not post three years of results for monitoring and inspection reports, inspection reports, and corrective actions taken by the state and the child care provider. Health and safety violations, fatalities or serious injuries are not listed or prominently displayed on the inspection reports. However, the Lead Agency has the Health and Safety Standards Checklist that is used to monitor License Exempt Providers on the parent consumer education website, Illinois Cares for Kids. The Lead Agency needs time to work with the Illinois Network of Child Care Resource and Referral Agencies (INCCRRA) to build out the data systems and format to post the monitoring inspection reports and corrective action plans on the Illinois Cares for Kids website. This is anticipated to be completed by 10/1/24. ii: DCFS and IDEC are working with their IT staff to ensure that health and safety violations that resulted in serious injuries, Corrective Action Plans and 3 years of results of inspections will be posted on the Sunshine website. sunshine.dcfs.illinois.gov. The Sunshine website notes under annual report serious occurrences the number of serious injuries, Fatalities, Indicated abuse or neglect per facility types. Health & safety violations are noted as out of compliance with a corrective action plan. The health and safety violation are shown on the report vial the Licensed Day Care Compliance report which shows visit date, citation, address, action taken, status, corrective plan begin date & end date. The citation shows the rule in which the provider is out of compliance with. Listed on the website is also the blank shells that list all of the inspection items that the licensing staff inspect/review when doing their licensing inspections. iii. [x] Corrective action plans taken by the Lead Agency and/or child care provider. Describe: As a result, from March 14, 2024 notice of preliminary monitoring results, the Lead Agency was identified as not posting full monitoring and inspection reports for License Exempt Provider Types. The Lead Agency does not post three years of results for monitoring and inspection reports, inspection reports, and corrective actions taken by the state and the child care provider. Health and safety violations, fatalities or serious injuries are not listed or prominently displayed on the inspection reports. However, the Lead Agency has the Health and Safety Standards Checklist that is used to monitor License Exempt Providers on the parent consumer education website, Illinois Cares for Kids. The Lead Agency needs time to work with the Illinois Network of Child Care Resource and Referral Agencies (INCCRRA) to build out the data systems and format to post the monitoring inspection reports and corrective action plans on the Illinois Cares for Kids website. This is anticipated to be completed by 10/1/24. iii: The DCFS licensing currently does not post the actual corrective action plan for the actual facility that is being inspected with their individual information listed. We currently have a shell on the website that shows what the summary of corrective action plan looks like. The Lead Agency is currently trying to review other state agencies to see how they have been able to come into compliance with this requirement, engaging in discussion with DCFS and IDEC legal & policy as well as the with IDHS to ascertain method to reach compliance. We are requesting additional time to meet. iv. [ ] A minimum of 3 years of results, where available. v. If any of the components above are not selected, please explain: DCFS and IDEC are requesting additional time to meet as the I.T. team is transitioning as well as an update technology team ILCONNECT is currently working on licensing systematic updates. As a result, from March 14, 2024 notice of preliminary monitoring results, IDHS, the former Lead Agency, was identified as not posting full monitoring and inspection reports for License Exempt Provider Types. The Lead Agency does not post three years of results for monitoring and inspection reports, inspection reports, and corrective actions taken by the state and the child care provider. Health and safety violations, fatalities or serious injuries are not listed or prominently displayed on the inspection reports. However, the Lead Agency has the Health and Safety Standards Checklist that is used to monitor License Exempt Providers on the parent consumer education website, Illinois Cares for Kids. The Lead Agency needs time to work with the Illinois Network of Child Care Resource and Referral Agencies (INCCRRA) to build out the data systems and format to post the monitoring inspection reports and corrective action plans on the Illinois Cares for Kids website. This is anticipated to be completed by 10/1/24. iv: IDEC licensing acknowledges that there are some inconsistencies on the website as there are some providers that show a couple of years of inspections, but it is not consistent. This will require some technical assistance from I.T. to work out a program that in conducive to meet the requirements of this mandate. 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: sunshine.dcfs.illinois.gov/Content/Licensing/Daycare/MonitoringReports.aspx ii. Identify the Lead Agency’s established timeline for posting monitoring reports and describe how it is timely: The Lead Agency has 7 days to post once completed. If the visit is done using the mobile monitoring app it is posted within a couple of days as it is automated and one the rep synchs and the supervisor review in in the mobile app they can approve it immediately and then the final synching synchs the violations and uploads the information into the system. 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: 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: f. Does the Lead Agency maintain monitoring and inspection reports on the consumer education website? [x] Yes. [ ] No. If no, describe: 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 Illinois Department of Central Management Services is the personnel agency for the State of Illinois. An official job description with required qualifications exists for the Day Care Licensing Representative position. Individuals who apply for these jobs must meet the requirements, which include a minimum of a bachelor’s degree and college coursework in early childhood or child development and/or experience in licensing or in a licensed child care setting. Once hired, individuals receive on-the-job training from their supervisors which requires each of the licensing representatives to be certified in the day care licensing standards. This involves the licensing representative to pass tests on the licensing standards for child care centers, family child care homes, group child care homes, and the Child Care Act. The licensing standards include federally required health and safety topics. Since child care facilities cover ages 0-12 years, for both homes and centers, the training received covers different ages and settings. Also the child development is a basic component of the required bachelor's degree the License representative is required to have. These individuals are not assigned a case load until they have successfully passed these tests and completed on-the-job training. License Exempt Monitors must be pre-screened by the IDHS Family Community Resource Centers (FCRC)/Employment and Training Liaison staff, have at least a high school diploma or high school equivalency, be able to clear a comprehensive background check including CANTS, SOR, and Criminal Background via fingerprint check, successfully complete the required training, have a valid driver's license and auto insurance, have basic oral and written communication skills, and basic computer skills. Licensing staff are required to take yearly trainings: Ethics, DEI, Disabilities, Cyber Security, Sexual Harassment & LGBTQIA+. DCFS Day Care Licensing Representatives are currently required to attend & complete the items listed above as mandated by the Child Care Act of 1969 and their Central Mangement Service Job duty requirements any additional requirements would have to be negotiated with their Employee Union & the employment agent. 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. Based on Annual report there were 117 DCLRS (Day Care Licensing Representative) and 8,743 facilities, which averages to about 75 facilities per representative. The typical caseload is larger for those representatives who license only homes and smaller for those who only carry centers. Unannounced monitoring is conducted annually,; renewals are on a three-year-cycle. Permit monitoring is done at least monthly. Protection plan monitoring is conducted weekly on an average during the life of the complaint. Post-complaint, post-violation, or follow-up monitoring’s are conducted based on the severity and risk the violation(s) present. There are no policies related to caseload standards in Illinois. With regard to statutory requirements, that would be the Child Care Act of 1969, which can be found in Section 5(h)