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Module 10 - The Initial Licensing Process

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Module 10 - The Initial Licensing Process

Minnesota’s family child care licensing system. In this section, we will review the roles county agencies and the Department of Human Services play in the licensing process.

Understanding Minnesota’s licensing system

In Minnesota, counties partner with the Department of Human Services (DHS) to license family child care providers. This county-delegated system is required by state law.

County licensors visit providers’ homes to conduct licensing visits.

Your county licensor is your main point of contact for licensing questions. Your licensor will be happy to help you through each step of the licensing process.

Delegation of authority to county agencies

Minnesota Statutes, section 245A.16, subdivision 1, paragraph (a)

Paragraph (a). County agencies and private agencies that have been designated or licensed by the commissioner to perform licensing functions and activities under section 245A.04 and background studies for family child care under chapter 245C.

Authority of the Department of Human Services

Minnesota Statutes, section 245A.04, subdivision 7, paragraph (a)

Paragraph (a). If the commissioner determines that the program complies with all applicable rules and laws, the commissioner shall issue a license consistent with this section.

Licensing – Who does what?

County Licensing

  • Processes your application
  • Starts your background study
  • Will let you know if you need a fire marshal inspection
  • Visits your program to check for compliance with licensing regulations
  • Follows up on any complaints
  • Is your main contact for questions

Department of Human Services (DHS)

  • Supports your county licensor
  • Trains your licensor
  • Issues your license
  • Assists your licensor with investigations and licensing actions
  • Maintains Licensing Information Lookup online database of license holders
  • Is your licensor’s main contact for questions

The application

In this section, we will review the family child care application.

This is an exciting point in your journey to becoming a family child care provider! We will walk you through how your county licensor and the Department of Human Services will partner with you during the application process.

Application for licensure

Minnesota Statutes, sections 245A.04, subdivision 1, paragraph (a)

Paragraph (a). An individual, organization, or government entity that is subject to licensure under section 245A.03 must apply for a license.

Application

  • To get started with the application process, you will want to contact your county licensing agency.
  • Your county may require you to take a county-specific orientation before becoming licensed. If your county offers an orientation, the orientation will take place at least every 2 months. Information about a county-specific orientation is available through your county licensor.
  • The county will give you a license application form and explain the application process. You will apply directly through your county licensing unit.
  • Your county may charge an initial licensing fee of up to $50.

Application: Information you will need to provide

  • Your information, including: name, date of birth, if you’ve been licensed before, etc.;
  • Your tax ID or Social Security number. You are not required to have a tax ID, but you may choose to have one for your program;
  • Information about your home, including: your address, type of home, etc.;
  • Information about who lives with you and who will be working in your program;
  • References – You may want to think about 3 different people who will be able to speak to your character and any relevant experience you may have;
  • Which type of license and class you are applying for – You may remember this information from Module 6 – Capacity and ratios, where we reviewed classes and license types;
  • The days and hours you plan to provide care;
  • Information about worker’s compensation insurance – You may choose to have one or more employees or you may not, Either way, you will need to complete the worker’s compensation form; and
  • Information about whether or not you will accept public funding in your program. Public funding most often looks like Child Care Assistance Program (CCAP) or food program funds.

Steps leading to licensure

In this section, we will review the different steps that take place after your application has been submitted to your county licensing team.

Background studies

In this section, we will review information about background studies, who needs them, possible outcomes of the studies, and some frequently asked questions.

Who needs a background study?

Minnesota Statutes, Chapter 245C.03, subdivision 1, paragraph (a), clauses 1 - 5

Paragraph (a). The commissioner shall conduct a background study on:

  • Clause (1). the person or persons applying for a license
  • Clause (2). an individual age 13 and over living in the household where the licensed program will be provided who is not receiving licensed services from the program;
  • Clause (3). current or prospective employees or contractors of the applicant who will have direct contact with persons served by the facility, agency, or program;
  • Clause (4). volunteers or student volunteers who will have direct contact with persons served by the program to provide program services if the contact is not under the continuous, direct supervision by an individual listed in clause (1) or (3);
  • Clause (5). an individual age ten to 12 living in the household where the licensed services will be provided when the commissioner has reasonable cause as defined in section 245C.02, subdivision 15.

Background studies for adults

  • Fingerprint-based background studies are required for:
    • You;
    • All adults living in your home; and
    • Any caregiver who works in your program.
  • Background studies are required before an adult moves into your home.
  • Background studies are required before caring for children.
  • Background studies are repeated every 5 years.
  • A fingerprint-based study is required when a teen turns 18.

Background studies for minors

Household members ages 13 – 17 are required to submit their name and date of birth for a background study.

Fingerprint-based background studies are required for teens ages 13 – 17 if they:

  • Work in the program;
  • Live outside of Minnesota or have lived outside of Minnesota any time in the last 5 years;
  • Have a Minnesota criminal record; or
  • There is reasonable cause that they have a criminal record in another state.

Background studies frequently asked questions, part 1 of 2

What if I or someone in my home is disqualified?

  • If you or someone in your home is disqualified, you may still be able to get licensed.
  • The disqualified person may submit a request for reconsideration.
  • The disqualified person will receive a letter from DHS Background Studies division that will explain what they need to do.

What would disqualify someone?

  • Minnesota Statutes, section 245C.15 provides a list disqualifying crimes or conduct that may prevent someone from passing a background study.
  • Not every criminal offense will result in a disqualification.

Background studies frequently asked questions, part 2 of 2

How do I get a background study?

  • Your county licensor will help you get started.
  • Each person who needs a background study will need their own email address, including teens.
  • Each person will be sent an email that contains a Consent and Disclosure form.
  • Each person will need to bring their form to a designated fingerprint location in order to complete the process.

Is there a fee for a background study?

  • Yes, there is a fee for a background study.

How do I get my results from the background study?

  • Your results will be mailed to you by U.S. mail.

Program policies

In this section, we will provide information about what is required for your program policies. Policies contain written information about your program that can be shared with families.

Provider policies, part 1 of 2

Minnesota Rules, part 9502.0405, subpart 3, items A – G

The provider shall have the following written information available for discussion with parents or the agency:

  • Item A. the ages and numbers of children in care in the residence;
  • Item B. the hours and days of operation;
  • Item C. meals and snacks to be served;
  • Item D. labeling requirements for food brought from the child's home;
  • Item E. sleeping and rest arrangements;
  • Item F. nondiscrimination practices to comply with subpart 6;
  • Item G. policies for the care of ill children, disease notification procedures, immunizations, and medicine permission policies;

Provider policies, part 2 of 2

Minnesota Rules, part 9502.0405, subpart 3, items H – P

  • Item H. emergency, fire, and storm plans and the monthly fire drill log;
  • Item I. seat belt and transportation plans and field trip and transportation permission requirements;
  • Item J. fees;
  • Item K. termination and notice procedures;
  • Item L. plans for a helper and substitute for emergencies, vacations, or holidays;
  • Item M. the presence of pets in the residence;
  • Item N. a complete copy of parts 9502.0315 to 9502.0445;
  • Item O. insurance coverage; and
  • Item P. whether or not smoking is permitted in the residence during the hours children are in care.

Drug, alcohol, and grievance policies

Minnesota Statutes, section 245A.04, subdivision 1, paragraphs (c) and (d)

Paragraph (c). An applicant or license holder must have a policy that prohibits license holders, employees, subcontractors, and volunteers, when directly responsible for persons served by the program, from abusing prescription medication or being in any manner under the influence of a chemical that impairs the individual's ability to provide services or care. The license holder must train employees, subcontractors, and volunteers about the program's drug and alcohol policy.

Paragraph (d). An applicant and license holder must have a program grievance procedure that permits persons served by the program and their authorized representatives to bring a grievance to the highest level of authority in the program.

Overview of program policies

Your policies must contain the following information, but you can write your policies in a way that is unique to you and your program. Your policies are an important way of communicating who you are and the details of your program to the families in your care.

The ages and number of children in your program - Your license will define the numbers and ages of children you may care for. Within your license structure, you can make decisions on what you want your program to look like. For example: some providers may care for infants, toddlers, preschoolers, and school-aged children, while others may choose to care for only infants and toddlers or preschoolers.

The hours and days your program will be open - You will determine your own schedule, but may want to consider the needs of the families you want to care for. Do they work 8 a.m. to 5 p.m. jobs? Do they do shift work that requires other hours? These are some examples of helpful questions you may want to think about when deciding what days and hours you want to be open.

The meals and snacks you will provide - You will need to offer meals and snacks that include items from each food group. This is an area where you can further define who you are as a provider. Do you want to offer meals and snacks that are based on your culture? Is serving organic, vegetarian, or foods from your garden important to you?

Food brought from a child’s home must be labeled - This includes formula, breast milk, or special food to meet a child’s dietary needs. More information about this is covered in Module 4 – Health and Safety.

Sleeping schedules – You will want to partner with families of infants to understand their unique sleep schedules. When you think about your program overall, do you want to set a defined nap time in your program? What will that look like for the various ages of children in your program?

Nondiscrimination practices - You may not discriminate when you enroll families in your program. That means you may not choose who can come to your program based on their race, creed, color, national origin, religion, or sex.

Care of ill children – It is a given that children will get sick. Your sick policies will be an important part of your communication with families. If a child in your care gets sick, you must notify their parent/guardian. If the child has a communicable disease, you will also need to notify other families. You will want to consider questions such as, what do you want the parent/guardian to do when their child is sick? Will you expect the child to be taken home? Are you willing to administer medication? You must have current immunization records on file for each child. More information about caring for ill children is provided in Module 4 – Health and Safety.

Emergency, fire, and storm plans – You must plan for emergencies. This means thinking ahead about what you would do if you would experience a fire, storm, or other emergency. It is important that you tell the families enrolled in your program how you will handle different emergencies and what they can expect for their children. You will need to create plans for fires and storms and then practice them with the children at least every month. More information about these plans is covered in Module 7 – Preparing for Emergencies.

Transportation – When you think about your program, will you want to drive children in your care to places like preschool or field trips? Would you prefer not to drive them?

Field trip information – As you develop your program, you may want to consider field trips. Will you want to take the children on walks to the park? Do you want to take them to the library or to local events? If so, you must provide that information to the parents/guardians of the children in your care and get their written permission first.

Overview of program policies, continued

Fees – You will be running a family child care business. The fees you charge will be an important part of your business design and must be communicated to the parents/guardians of the children in your care. It is up to you to decide what your fees will be.

Termination and notice procedures – There are many reasons a child may leave your program. You may decide to dis-enroll a child or the family may decide to end care in your program. You will need to define your expectations about how this will work. Will you give or require a 2-week notice? Do you want to either give or receive a written notice? These are some examples of things you will want to consider as you write your termination and notice expectations.

Plans for a substitute or helper – You must tell families if you plan to use a helper and what your plans are for vacations and holidays. For example, will you expect them to find someone else to care for their children when you are on vacation or will you be providing a substitute? Will you be closed on holidays? If an emergency were to happen, how will you handle that? More information about using a substitute or helper may be found in Module 9 – Requirements for Substitutes and Other Caregivers.

Pets – Do you have any pets in your program? If so, you must tell families. More information about pets is covered in Module 4 – Health and Safety.

Summary of Minnesota Rules, chapter 9502 – The families who enroll in your program must be given a summary of Minnesota Rules, chapter 9502, which covers family child care licensing requirements.

Liability insurance – You may decide whether or not to carry liability insurance for your program. Either way, you must provide notice to the families in your program that either provides your liability insurance information or tells them that you do not carry insurance.

Smoking or vaping – You must tell families if smoking or vaping is allowed in your home when your program is not open.

Grievance procedure – What happens if a parent/guardian becomes upset about something in your program? How will the conflict be handled? Misunderstandings can happen, so planning for them ahead of time is helpful for everyone.

Drug and alcohol use – You must create a drug and alcohol use policy for you and any other caregivers in your program. This must be given to the families in your program. Your policy must let them know that anyone who cares for the children in your program must not be under the influence of drugs or alcohol.

Mandated reporter policy –You must notify all families in your program that you are a mandated reporter. That means that you must report any suspected abuse or neglect.

Home inspections

In this section, we will review information about the home inspections that take place before you are licensed.

Fire marshal inspection

Minnesota Statutes, section 245A.151

When licensure under this chapter or certification under chapter 245H requires an inspection by a fire marshal to determine compliance with the State Fire Code under section 299F.011, a local fire code inspector approved by the state fire marshal may conduct the inspection. If a community does not have a local fire code inspector or if the local fire code inspector does not perform the inspection, the state fire marshal must conduct the inspection. A local fire code inspector or the state fire marshal may recover the cost of these inspections through a fee of no more than $50 per inspection charged to the applicant or license holder or license-exempt child care center certification holder. The fees collected by the state fire marshal under this section are appropriated to the commissioner of public safety for the purpose of conducting the inspections.

Overview of a fire marshal inspection

You may need a state or local fire marshal to inspect your program if:

  • You will be using your basement for your program;
  • Your program is in a manufactured mobile home;
  • Your program has a freestanding heating source (For example: a wood-burning stove);
  • Your program is located in a townhome, duplex, or other mixed-occupancy building;
  • You plan to care for more than 10 children; or
  • Your licensor determines one is necessary due to potential hazards.
  • The cost of a fire marshal inspection is $50.

Licensing study

Minnesota Rules, part 9502.0335, subpart 2

The applicant shall give the agency access to the residence for a licensing study to determine compliance with parts 9502.0315 to 9502.0445.

Overview of licensing study

  • The licensing study is commonly called a pre-licensing visit or review. This is usually the first time your licensor will come to your program to meet with you. This is your opportunity to share the details of your program and ask any questions you have.
  • Your licensor will be inspecting your property, both inside and outside. Your licensor will want to see all the rooms in your house and learn about the areas you will use for your program. Outside play spaces will be reviewed to make sure they are safe.
  • You may need to make changes to your home to meet licensing standards. Some examples of this include adding gates to stairways that have more than 3 steps, covering your outlets, adding safety locks to cabinets and drawers, and making sure sharp items like knives and scissors are out of children’s reach.
  • The goal of the licensing study is to license your program. Your initial licensing visit will likely take place after you have attended any orientations, submitted your application, completed your background studies and training, submitted a physician’s report, written your policies, finished a fire marshal inspection (if applicable), and completed any other pre-licensing materials. The timeline for this varies and depends on how quickly you complete each task.

Is there a chance I may not get licensed?

There are reasons why some applicants may not get licensed. In this section, we will review some of those reasons.

Reasons your application may be denied

Examples of why your application could be denied:

  • You submit an incomplete application.
  • You don’t provide accurate or important information during the licensing process.
  • You or a member of your household did not pass the background study.
  • You did not follow applicable laws or rules with a previous license.
  • If you held a previous license, that license was revoked, and you are still in the exclusion period.
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