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- j. Pediatric first aid and pediatric CPR (age- appropriate) [x] [x] [x] k. Child abuse and neglect recognition and reporting [x] [x] [ ] l. Child development including major domains of cognitive, social, emotional, physical development and approaches to learning. [x] [x] [ ] based providers addressing compliance with health, safety, and fire standards: [ ] Annually. [x] More than once a year. If more than once a year, describe: Licensed group centers typically receive two or more unannounced monitoring visits per year, depending on size and type of facility and compliance history. The Lead agency conducts inspections related to complaints/serious incidents, initial licensing/certification, unlicensed complaints, and enforcement verification. Additionally, the Lead Agency has submitted a corrective action plan to ACF-OCC to come into full compliance with ensuring that all CCDF regulated providers (Family Child Care Centers, Group Child Care Centers, and Day Camps) are monitored for all CCDF required health and safety components. This corrective action plan will include updates to the administrative rules and policies governing the inspections of CCDF regulated providers. The corrective action plan is effective through August 30, 2026. [ ] Other. If other, describe: 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. [x] No. If no, describe: The lead agency does not monitor child care programs using a subset of requirements to determine compliance. Every regulated provider is monitored for the same health and safety standards annually, and for the complete set of administrative rules every two years. Additionally, the Lead Agency has submitted a corrective action plan to ACF-OCC to come into full compliance with ensuring that all CCDF regulated providers (Family Child Care Centers, Group Child Care Centers, and Day Camps) are monitored for all CCDF required health and safety components. This corrective action plan will include updates to the administrative rules and policies governing the inspections of CCDF regulated providers. The corrective action plan is effective through August 30, 2026. iv. Identify which department or agency is responsible for completing the inspections for licensed center-based providers. Lead Agency = The Department of Children and Families, Division of Early Care and Education, Bureau of Early Care and Regulation. 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. [x] More than once a year. If more than once a year, describe: Licensed family child care centers receive a minimum of one unannounced onsite monitoring visit per year but may receive more than the minimum depending on compliance history. [ ] Other. If other, describe: 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. [x] No. If no, describe: The lead agency does not monitor child care programs using a subset of requirements to determine compliance. Every regulated provider is monitored for the same health and safety standards annually, and for the complete set of administrative rules every two years. iv. Identify which department or agency is responsible for completing the inspections for licensed family child care providers. Lead Agency = The Department of Children and Families, Division of Early Care and Education, Bureau of Early Care and Regulation. 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: N/A 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. N/A 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: Monitoring for the purpose of determining the license-exempt program's compliance with health and safety administrative rules is achieved through unannounced or announced onsite visits. Licensing specialists typically conduct a minimum of one monitoring visit per year to each license-exempt child care program receiving or eligible to receive Wisconsin Shares reimbursement. These child care programs are monitored annually for compliance with health and safety standards including the eleven CCDF standards. Under normal circumstances all license-exempt programs participating in YoungStar receive the annual inspection required in the CCDBG legislation, regardless of whether children receiving Wisconsin Shares are currently enrolled in the program. During the annual monitoring visit to a license- exempt center-based program, a licensing specialist reviews the program's compliance with a subset of group child care administrative rules, identified as the Annual Health and Safety Rule Tag and included in the iPad mobile application. This subset of rules covers administrative rules in 11 health and safety areas identified in the CCDBG legislation as well as additional rules identified in Wisconsin as critical to health and safety protections. The review of licensing rules also includes fire protection and evacuation procedures, including fire extinguishers, exits and passageways, fire alarms and smoke detectors, and exit lighting. Monitoring results for license-exempt center-based programs must be documented in writing and published on the Child Care Finder website. The results of each annual visit are recorded and shared with the program on the Compliance Statement-Public School Operated Child Care Program form (used to document that no violations were observed at the visit) or Noncompliance Statement and Correction Plan - Public School Operated Child Care Program form (used to document all violations of administrative rules identified at the license- exempt program at the time of the onsite monitoring visit). The license-exempt center-based program may choose to submit a correction plan to address how the program will correct the cited violations. Licensing specialists verify correction of the cited violations at the next routine annual visit. Monitoring results are displayed on the Child Care Finder website one day after the information is finalized in WISCCRS. Violations and compliance information remain on the public website for three years. The Lead Agency has submitted a corrective action plan to ACF-OCC regarding the requirement to ensure full monitoring of certified child care providers and License-exempt public school programs for all CCDF required health and safety components. This corrective action plan will include updates to the administrative rules and policies governing the inspections of certified child care providers and License-exempt public school programs. The corrective action plan is effective through August 30, 2026. [ ] 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. Lead Agency = The State of Wisconsin Department of Children and Family Services, Division of Early Care and Education, Bureau of Early Care and Regulation. 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: Annually, child care programs are monitored for compliance with health and safety standards including CCDF standards. Typically, the Lead Agency and subcontracted agencies ensure that a subset of the DCF 202 administrative rules is reviewed for compliance annually, unannounced. This subset is comprised of administrative rules in eleven health and safety areas identified in the Child Care Development Block Grant federal legislation and additional rules identified in Wisconsin as critical to health and safety protections. The rules addressing the eleven health and safety areas are reviewed by licensing staff in Milwaukee County and by contracted local agencies in the balance of the state, annually, under normal circumstances. The mobile app is the tool used by the Lead Agency staff to record the results of each monitoring visit. Subcontracted local agency staff document monitoring results on a Standards and Checklist and enter their monitoring results in WISCCRS. Rules are entered as met or unmet (or not applicable for the center under review) in the mobile app and this information is automatically synchronized into the database that stores child care compliance information, the Wisconsin Child Care Regulatory System (WISCCRS). Local subcontracted workers must enter the monitoring results directly into WISCCRS. Unmet violations are documented and addressed through noncompliance statements requiring violation correction, and, if necessary, enforcement actions. The results of the compliance reviews on child care administrative rules are reported to the license- exempt child care provider, as well as posted on the Lead Agency's public website. License-exempt family child care operators are, typically, monitored at least once annually, unannounced, for compliance with health and safety standards. The Lead Agency has submitted a corrective action plan to ACF-OCC regarding the requirement to ensure full monitoring of certified child care providers and License-exempt public school programs for all CCDF required health and safety components. This corrective action plan will include updates to the administrative rules and policies governing the inspections of certified child care providers and License-exempt public school programs. The corrective action plan is effective through August 30, 2026. [ ] 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. Lead Agency = The State of Wisconsin Department of Children and Family Services, Division of Early Care and Education, Bureau of Early Care and Regulation. 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. In-home providers receive annual monitoring of health and safety standards that include CCDF standards, but the visit may be announced. Typically, the Lead Agency and subcontracted agencies ensure that a subset of the DCF 202 administrative rules is reviewed for compliance annually. Rules that are entered as met or unmet (or not applicable for the center under review) in the mobile app and this information is automatically synchronized into the database that stores child care compliance information, the Wisconsin Child Care Regulatory System (WISCCRS). Local subcontracted workers must enter the monitoring results directly into WISCCRS. Unmet violations are documented and addressed through noncompliance statements requiring violation correction, and, if necessary, enforcement actions. The results of the compliance reviews on child care administrative rules are reported to the license-exempt in-home child care provider. The Lead Agency utilizes differential monitoring requirements for care provided in a child's home. In-home care is monitored annually but the visit may be announced. Visits are typically conducted with the parent present. In-home operators are exempt from specific license-exempt rules under Wis. Admin. Code DCF 202 because the care is provided in the child's home. DCF 202.08 (3) states: When a license-exempt family child care operator cares for children in the children's own home, the operator shall comply with requirements in sub. (2) (c), (e), (L) and (n), but the operator is not required to comply with requirements in sub. (2) (a), (am), (b), (d), (f), (g), (i), (j), (k), (m), (o), and (p). 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: Lead Agency contracts with local counties and tribes to administer child care certification under Wis. Statutes, s. 48.651. Counties and tribes may choose to subcontract with a CCR&R or similar agency to administer the program locally. All subcontracts must be approved by the Lead Agency. The Lead Agency monitors the performance of certification agencies using contract performance standards and it conducts a three year Certification Review. A list of certification agencies is found here: https://dcf.wisconsin.gov/files/ccregulation/cccertification/certifiers.pdf. 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: The complete Licensing Checklist is available on the department’s webpage here https://dcf.wisconsin.gov/cclicensing/ccformspubs and the Monitoring Guide can be found here: https://dcf.wisconsin.gov/files/publications/pdf/5279.pdf. iv. [ ] Other. Describe: 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: The Lead Agency provides on the Child Care Finder website plain-language summaries for all regulated providers. Information included: the dates of monitoring visits, results of monitoring visits, number of violations in the last three years and, if submitted, the actions in place to correct identified violations. iii. [x] Corrective action plans taken by the Lead Agency and/or child care provider. Describe: Licensed child care programs and license-exempt family child care providers are required to submit a correction plan for each violation cited on the noncompliance statement and must include a date by which the correction will be made. Correction plans and dates for completion are reviewed by licensing staff or certification agency staff for acceptability and are posted on the Child Care Finder website one day after approval. Licensing specialists and certification workers verify that the corrections have been made at the next monitoring visit. Enforcement actions, stipulations, and warning letters - sanctions or penalties that the Lead Agency imposes to gain a licensed child care center's compliance with administrative rule - are also listed on the Child Care Finder website next to summaries of the rules violated. iv. [x] A minimum of 3 years of results, where available. v. If any of the components above are not selected, please explain: 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: Reports are posted to individual child care program records found on the Child Care Finder webpage. Users can access this webpage (https://childcarefinder.wisconsin.gov/) to view specific program compliance history. ii. Identify the Lead Agency’s established timeline for posting monitoring reports and describe how it is timely: Monitoring results are posted to the Child Care Finder webpage the day after the noncompliance or compliance statement issue date has been entered into the Wisconsin Child Care Regulatory System (WISCCRS) which isthe licensing monitoring database. 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 State of Wisconsin's classification specification, for licensing inspectors, states that the qualifications required for these positions will be determined at the time of recruitment. Such determinations will be made based on an analysis of the goals and worker activities performed and by an identification of the education, training, work or other life experience which would provide reasonable assurance that the knowledge and skills required upon appointment have been acquired. Licensing inspectors have: Experience investigating complaints and/or concerns; Experience interpreting and applying state statutes and/or administrative codes; Experience working in early education, child welfare, family services, or other human services field; Experience working with state computer and information systems; Experience writing complex and detailed reports; Experience preparing for and testifying in court or administrative hearings; Experience conducting home visits or business site visits in a regulatory capacity; Experience working independently with the ability to establish priorities. In addition, all licensing inspectors attend New Licensing Staff Training, which addresses the health and safety requirements for family child care homes and group child care centers, including license-exempt group centers. Computer-based training (CBT) and training with supervisors and other experienced licensing inspectors compliments the new licensing staff training to build understanding of the licensing rules. Additionally, the Lead Agency provides On the Job training to all new licensing staff which includes specific training on the application of safety requirements that are appropriate to the age of the children as well as the different provider types that they will be responsible to monitor. Lastly, the Lead Agency will be developing specific CBT trainings covering these areas to ensure all new and experience staff have access to these trainings on an ongoing basis. 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. The Lead Agency maintains a policy for monitoring activity standards that describes the expectations for monitoring visits, complaint investigations, and other duties of licensing specialist staff. Additionally, the Lead Agency determines the number of licensing staff necessary to meet the expectations contained in the licensing activity standards and monitors to ensure that all programs receive the required number of monitoring visits, that all complaints are investigated in a timely manner, and that other licensing specialist responsibilities are met. Wis. Statute, s. 48.66 providers the Lead Agency with authority to inspect regulated child care programs. The Lead Agency’s current ratio is one licensing specialist to 79 programs.