Objective
There are two projects that will move forward in parallel: Family Child Care Regulation Modernization and Child Care Center Regulation Modernization. There are three components of each project:
- Key indicator systems for abbreviated inspections
- Risk-based tiered violation systems
- Revised licensing standards
Key Indicator Systems for Abbreviated Inspections
DHS will use methodology developed by the National Association for Regulatory Administration (NARA) to identify which licensing standards should be included in the abbreviated inspections. Abbreviated inspections will include a subset of standards known as key indicators, which statistically predict compliance with the entire list of standards. The key indicators are identified using an empirically based statistical methodology developed by NARA and the Research Institute for Key Indicators.
Currently, licensed child care providers are monitored annually for compliance with licensing standards. An abbreviated inspection would allow providers who qualify to receive a shorter review that is focused on a specific subset of standards. Stakeholders will be consulted about how providers should qualify for abbreviated inspections. They may consider criteria such as the length of time providers have been licensed and their history of compliance.
For this component NARA will:
- Identify which standards should be included in abbreviated inspections, based on a key indicators analysis;
- Work with stakeholders to determine eligibility criteria for an abbreviated inspection; and
- Develop materials to help licensors, providers, and the public understand abbreviated inspections and when they would be used.
Risk-Based Tiered Violation Systems
The National Association for Regulatory Administration (NARA) will work with stakeholders to develop a tiered framework that is weighted to reflect the level of risk that a violation poses to children. Enforcement mechanisms will be similarly tiered, linking the severity of the licensing action to the potential risk of harm to the child. Once adopted either in statute or in administrative rule, this system, which will be weighted based upon severity of harm, probability of harm, and frequency of the violation, will replace the existing violation system.
NARA will collect information regarding the risks associated with licensing standards, as well as appropriate enforcement mechanisms for each tier of violation. For this component NARA will:
- Gather data and input from family child care providers, child care centers, county licensing agencies, DHS, and other stakeholders to:
- Determine when various enforcement mechanisms would be used; and
- Develop a weighted risk assessment system;
- Develop a pilot project to implement the risk-based tiered violation system; and
- Develop materials to help licensors, providers, and the public understand the new system.
Revised Licensing Standards
The National Association for Regulatory Administration (NARA) will work with stakeholders to develop revised child care licensing standards to replace outdated standards that were written in the 1980s. Relying on its experience in other states, NARA will work with child care providers, county licensing agencies, DHS, and other child care stakeholders to develop the updated licensing standards. NARA will facilitate the process by:
- Collecting stakeholder input on current licensing standards;
- Drafting proposed revisions to licensing standards;
- Developing a pilot project to implement revised standards; and
- Reviewing and revising draft standards with stakeholders.
The development of the revised standards may be informed by the work on the risk-based tiered violation system and the key indicator system analysis. The proposed licensing standards must protect the health and safety of children and be child-centered, family-friendly, and fair to providers.
FAQs
Information on frequently asked questions (FAQs) will be posted here. You can find FAQs specific to family child care posted on the Family Child Care Regulation Modernization project page and FAQs specific to child care centers posted on the Child Care Centers Regulation Modernization project page.
What are abbreviated inspections?
Abbreviated inspections are licensing inspections that include a subset of standards known as key indicators, which statistically predict compliance with the entire list of standards. The statistical method for determining key indicators was developed by the National Association for Regulatory Administration (NARA) and has been successfully applied to several states’ human services licensing systems.
In addition to the key indicators, abbreviated inspections will also include:
- licensing standards which have been determined to be essential to include in all inspections, and
- a randomly selected set of licensing standards.
Abbreviated inspections combine these key indicators, essential standards, and the randomly selected standards to allow for shortened inspections and more time for supporting quality improvement. At the same time, this approach protects the health and safety of those being served. For more information, see the NARA Key Indicator Systems for Licensing brief.
Is there a higher level of risk with abbreviated inspections?
Research shows that programs in compliance with the key indicators, which are included in abbreviated inspections, will also be in substantial to full compliance with all regulations (For more on key indicators, see answer to “What are abbreviated inspections?” above). In addition, providers must qualify for abbreviated inspections. The criteria to qualify will be developed in consultation with stakeholders and may include factors such as length of time providers have been licensed and their history of compliance.
For programs that are eligible for an abbreviated inspection, a full review will be triggered if they are found to be out of compliance during the inspection. The conditions under which a full review would be triggered will be discussed during this project.
These safeguards ensure that only the most compliant providers receive abbreviated inspections, while other providers will still undergo full inspections and receive more support to improve compliance. For more information visit: Contemporary Issues in Licensing: Monitoring Strategies for Determining Compliance: Differential Monitoring, Risk Assessment, and Key Indicators.
What is a risk-based violation system?
A risk assessment helps determine the regulations that pose a greater risk of harm to children if they are violated. There are different ways licensing regulations can be assessed for risk, including probability of harm, severity of harm, and the frequency of violations.
A risk-based violation system will assign enforcement actions based on the level of risk that a violation poses. Violations of higher-risk will have a correspondingly higher enforcement action, and low-risk violations will have a lower enforcement action.
For more information and examples of how other states are using a risk assessment approach for their licensing, see Risk Assessment and Licensing Compliance (hhs.gov).
When will these changes to child care regulation and monitoring take effect?
Some of the regulatory components described in the project overview will need to be adopted into statute or administrative rule before they will take effect. The National Association for Regulatory Administration (NARA) will collaborate with DHS to develop a report and proposed legislation to implement the new licensing tools and revised licensing standards. This report is due to be submitted to the legislature by February 1, 2024.
Are certified license-exempt child care centers included in the scope of the regulation modernization projects?
No, they are not. The legislation that authorizes the Child Care Centers Regulation Modernization project specifies that the project should create a proposal for revised licensing standards for licensed child care centers. Certified license-exempt child care centers are not licensed, and fall outside the scope of this project (MN Laws 2021, First Special Session, Chapter 7, Article 2, section 75).
Are special family child care programs included in the scope of this project?
Yes. Special family child care providers follow the same regulations as other licensed family child care providers, and therefore do fall into the scope of this project.
How can the public get involved and provide feedback?
If you would like to receive updates on the Child Care Regulation Modernization projects, please sign up for email updates for Family Child Care Regulation Modernization or email updates for Child Care Centers Regulation Modernization. Information about meetings and other stakeholder engagement opportunities will be posted on the Child Care Regulation Modernization overview page under the Get Involved tab, as it becomes available. If you have questions or comments about the projects, please contact the project team at ccregmodernization.dhs@state.mn.us.
Who can I contact if I have questions, comments or concerns?
If you have questions, comments, or concerns about the projects, please contact the project team at ccregmodernization.dhs@state.mn.us.
What is the difference between family child care and child care centers?
Family child care is child care typically provided in a license holder’s own home to a smaller number of children. Child care centers are generally characterized by being offered at a location other than the provider’s home, and typically have larger numbers of children being cared for.
