Regulatory Compliance

1
Regulatory Compliance

• Licensed and Certified
• Child Care Programs
• DHFS/BRL and DWD/CCS 9-13-04

2
Regulatory Compliance Principles

• Fair
• Easy for programs, parents and public to
  understand
• Easy to determine
• Consistently applied across program types
• Promotes and enhances quality child care practices

3
Regulatory ComplianceMonitoring Process

• Regulating agencies monitor programs, investigate
  complaints and take corrective action as
  appropriate.
• Counties and tribes certify programs that care
  for 3 or fewer children under age 7 years. DWD
  55 is certification rule.
• DHFS Bureau of Regulation and Licensing regulates
  programs that care for 4 or more children under
  age 7 years. HFS 45 and 46 are the licensing
  rules.

4
Regulatory ComplianceDefinition

• A licensed or certified program will be
  considered to be in regulatory compliance
  unless there is an enforcement action or the
  program has serious non-compliances.

5
Enforcement ActionsLicensing

• Approximately 7 of licensed centers receive an
  enforcement action each year.
• Warning Letters
• Orders
• Forfeitures
• 2nd probationary license due to serious
  non-compliance
• Summary Suspension
• Revocation

6
Enforcement ActionsCertification

• Suspension
• Revocation

7
Serious Non-ComplianceLicensing and Certification

• As a part of the implementation process, specific
  rules that address critical health and safety
  provisions would be identified as indicative of a
  serious non-compliance.
• Some examples of serious non-compliance are
  violations of requirements in the following
  categories

8
Serious Non-Compliance

• Staff/provider qualifications
• Staff to child ratio
• Maximum group size
• Supervision of children in care
• Inappropriate discipline of a child in care
• Repeat violations in various categories

9
Regulatory Compliance

• Consideration will be given to the seriousness of
  the violation, corrective action and compliance
  history before the quality rating is reduced.

10
Data Collection and Information Sharing

• Current DWD system collects violation history and
  enforcement actions.
• Current DHFS system collects enforcement actions.
• Information needs to be accessible to parents.