ENFORCING CHILD CARE

REGULATIONS

Kusw 
Richard P. 
INSPECTOR GENERAL 
OEI.Q00 
FEBRUARY 1990 .................... ................ .... ......... ...................... ..... ............................. ... ...............  ......  
..................................................... .......... .......... 
TABLE OF CONTENTS 
EXECUTIVE SUMMARY 
.... ........ ..... ... ..... 1
I NTR 0 D U CTI 0 N . ... 
................... ............. ............ ......... ....... ......... 4
FIN DI N GS. ... 
EFFECTIVE PRACTICES ....................................................................................... 17
..................... A .1
APP EN DIX  EXECUTIVE SUMMARY 
PURPOSE 
curnt State reguatory enforcment 
The purse of th repo is to prvide an assessmnt of 
effor in chid car. 
BACKGROUND 
pr 
stada 
enforg  ana regwnons 
rSetagsa rhgav ce hthide  ca. There sOponfs ibofil tHy fuomr es Dtaelviehloipgm aenndt  Serces supp chid ca thugh 
Grt (tide XX. The Famy Suppo Act of 1988 fuds chid car 
the Socal Serces Block  Chdrn (AF benefiFciees w ho tae par in the Job 
for Ai to Fames with Dependent  prgr  prgr, parcipatig 
Opties and Basc Ski (JOBS)  Unde both 
stada. 
prvi 
must meet applicable State 
Ther ar th major kids of chid ca settgs in the Unite States. Accordg to the U:S. 
chidrn ofworg mothers spend their days in the 
Buru, 41 
Census  percnt of preschool  ca. 
Ths is known as famy chid  Although 47 States regulate 
homes of other mothers. 
ar not 
famy chid car, 13. States defie it in such a way that large numbers of homes 
cover  or 
ca 
Twenty  ne pent of chidrn unde age 5 ar in  inscphitd c entercse anntenrus aolry .p reschools.
Al Stas regute chid car cente and only tWo do not 
The th ty of argemnaennyt,,  fsoirt t3, 0 pent of those unTdhe  atgye 5 o, fis c sau pies rnvoiot nre ing uthtee  in 
chid' s own home by a  frnd, or relave. 
any State. 
METHODOLOGY 
adstto  insp 
and  in al SO States, the Distrct 
We inteewed chid car licensing 
New York City, these intervews were 
of CoI  bia, and New York City. In nie Stas and 
intews wer also held with resour and referr agency 
conducte in person. On-site  ca exp frm the prvate and public sectors. 
st, chid car provide, and chil  FINDINGS 
Child Car In AU 
Stis Do Not Regulat  Types Of Settngs. 
Cluging. 
Patrn Of StDe Regulaon Are Constatly 
Frequent Visits Are The Best Way To Ensur Complie. However, Only A Porton Of 
s Are MomwredR  mmi 
Legal Santins Are 7ime-Consuming And DilfuU To Enforce, Even In Cases Of 
Imminent Danger. 
Parnt  Fir Un Of Defense But May Be The Weakst 
Involvement Is Considered The 
Li 
In The Chan. 
Exprientng With New Ways To Improve The Oversght Of ChUd Care. 
Stis Are 
For Training, 
Resource And Refen-al Agencies Are Emergng As An Effective Source 
Provir 
Technial Assistance, And  Networking. 
EFFECTIVE PRACTICES 
In ou companon repo to th volum, we descbe a numbe of prtices' States might 
expences. Thes prtices include tehnques to 
consde to imprve thei enforment 
prurs, 
imve legal sanctions and  teinhspno ns, moneta incentives and penalties, 
mor 
assitace for prviders. For 
parnta involvemnt, and trnig andI nsp 
inoron, plea refer to 'Ofce of  Gener "Effecve Prtices in Chd 
Enforment," OAI-03-89-O701.  INTRODUCTION

PURPOSE 
The purse of ths report is to prvide an assessmnt of cmrnt State reguator enforcement 
effor in chid car. Ou fidigs on effective prces by Sta licensig agencies 
a separte report 
prsente in 
BACKGROUND 
pri  stada 
Sta  enforcg  and regutions 
have the  responsibilty for estalihig and 
thugh 
regarg chid car. The Ofce of Hum Development Serces support chid car 
the Soc Serces Block Grt (tide XX. Th(eA FaFm y Suppo Act of 1988 fuds chid car 
for Ai to Fames with Dependent Chpdrrng  r  beneficFiaerersa w hpor tga rp,a rp ainr cthiep aJotbig  
Oppoties and Basc Skis (JOBS)  Unde both 
prvi  Sta stada. 
must meet applicable 
th 
Ther ar  major kids of chid ca in the Unite States. For chidrn under 5, the most 
toer ar car 
common  famy home ca, in which  for in the homes of
other moartgehmeent r. Accorg to the U.S. Census Buru, 41 pent of prschool chidrn of 
ar in organze 
workig mothers spnd their days in stuhch  ctay.  An adtional 21 percent 
of argement, for 30 percent of those under 
chid ca cente or preschools. The 
supeion in the chid' s own home by a nany, sitt, frend,or relative. The remaining 
5, is 
ca settgs. 
Pent ar in a varety of other 
The Census Bmeu alo report that in 1986 fames with incomes above the povert lie 
ca 
f $45 per week for chid  or 6 pent of their income. Those famlies 
paid an averge 
 pent of their income. 
with incomes below the povert lie pai $32 pe week or 22 
Chd ca is one of the fastest grwig segmnts of the Amca ecnomy. The Sma 
ca 
Business Admstrtion report that chid  is now the numbe one new business  ta up.

durg 
In 1986, the Census Buru estimate th 9 mion prschool chidrn reuir car 
Ca 
the hour their mothers work Yet, the 1986 Natonal State of Day  Regulation study 
ar incrgly unable to meet their own inspetion 
found that State licensing agencies 
demad for and supply of chi car esates, State licensing agencies 
reuiments. As  al incrs. 
facties 
rensibilty in regulatig chid car 
Although prvious national studies have deliea States' licensing reuirments and 
enforent. 
at State reguatory  Conseuently, ths inspection 
regutions, none have looked 
enforg  chi ca 
focuse on States' experiences in  their  reguations. Our findigs 
Deparnta awarness of the enforment issue and 
sente to incrase congrssional and 
inor  acss the nation. 
State licensing agencies of developments  " " " " " "
METODOLOGY 
collecte frm all 50 States and the Ditrct of Columbia thugh a combination of 
Dat was  tr 
in-pen and telephone inteews. In 41 Stas andi nthse pDittorc.t  of Columbia, we conducte 
telephone  adminis and  In Connecticut, offcis in
tWo Sta adigscessniocnsi ewist hw Sthatiec h shar chid ca regution authorty were inteewed On-site 
in nie States and New York Oty. (Wen referrg to the numbe 
inteews wer conducte 
rert  Yor Oty, the Distrct of Columbia, and 
of Stas in ths  the tota of 53 includs New 
tWo State agencies in Connecticut.)

adstrto  insp,  sta, 
Respndents include State  and  resour and refer agency 
prvi, and chid car advocac grups. Prvat and public se exp wer also 
inteewed  tWo nationa studies on State chid car regutions that 
Finaly, we reviewed 
have not yet ben published 
Unless otherse cite al inormtion contaed in th repo is bas on intervews or 
reviw of State statutes and reguations. 
Defin 
ofTenns 
th 
reguon: 
In ths repo we refer to  basc cagores of  licensing, certcation, and 
is the most comprhensive for of reguation. Generay, it involves 
regitrtion.  Licensing 
agency inspons pror to issuance of a license, and periodc 
fi, heath, and State  Cral  reor ar 
checked 
the facilty is in operation.  and chid abuse 
intifoantsy  whie  ca rage frm 
and  operatig policies ar develope and reviewed  inspons Registratn
to a process as complex as 
self-ccation by the provider with no outsde 
fals 
betWeen licensig and regitrtion.
licensig.  Certificatin 
Wpre vail  recfaer  tofo tr ha  latgyes ( goef fnacetiresy.  moC thhil-d 1c2a)r g crenutersp   of achri dnornn -nreosti dreenlatitael  ftoac tihlteiems .w Ah ere 
chidrn. Ha of 
is ustuhaly  a resince wher one prvi cas for one to six 
famly home 
 wher 2 prvide car for up to 12 childrn. 
the Stas have  category,  group homes,

(Spec defitions var frm State to State. 
In rettye, .th ere ar substatial differences amngm thee gStast es in their definitions of these and 
diernt  in State regulations. For example: 
other  The same term can have 
can be located in "any hom or facty" or restrcted to "anyplace that is
Centers 
" Cente may sere "13 or more childrn under 
not the residence of the license.
age 16,  more than 5 chidrn or inants," or "21 or more childrn. 
can car for "no mo th 14 chidrn,  13 to 20 childrn," or "not 
Glreousps h otmhesa 
n 7 or mor than 12 chin.  Famly homes 
 car for "1 to 6 childrn,
" or "  5 or 6 chidrn." For both famy and grup homes,
more than 10 childrn, chidrn of any cagiver" or "exclude the 
can "include al 
licensed capacity 

cartaer 
s own chidrn. 
does not necssay me "out of busesfso." rR evocation can 
Ucense revocaton 

mean "the perment removal of a cente s license" or the " act of closing a 
chid car facty due to violaon." A prvide whose licens is revoked can apply 
for a new license "  yea followig revoction" or "not for a period of at least 6 
licens has ben revoked can 
months." In one lage State, a prvide whose 
imedately reapply. 
oc 
of a license can  when "a licens holder faiur to comply (with
Susension  pens seed by the 
reguations) has placed the heath, sa"ferty,t oer r ights of 
progr  ;mm;nent dager or for  noncomplice that dos not 
in 
endager the heath and saety of chidrn. 
ca be issued for a facttye "papoplyYig  for inti licensu" or 
provisiona license 
 " It 
and applicat is  unable to comply.
when annual1icense expirs 
can be issued for a period "not to exce 6 months" or "not grater than 3 yea. 
y be issouedr " when the individual or agency fais to 
condtional license 
 pet 
comply" or "to a new facty in  to  applicant to demonstrte 
compliance. 
Re 
intetig  fidigs. 
should apprete these diernces in  our  FINDINGS 
STATES DO NOT REGULATE CHILD CARE IN ALL TYPES OF SETTINGS. 
ce 
Al States license or cert cente, and 28 license or  famy homes. Another 11 States 
regite famy homes and 3 use both licensg and regitrtion. Four regute famly homes 
only on a volunta bass, 3 reguate only subsidci efa my homes, and 3 do not reguate 
them at al Ha of the States license, regite, o:  grup homes. The table below 
shows the numbe of facties our respndents repo they reguate in eah category. 
Regulated Facilities
Number  of 
Cente  65,728
309 
Grup Homes 
Famy Homes  163,078 
Other  541 
Tota  240,656 
st 
Th  reui 
States reui a cral reor check of  in centers and 27  such checks for 
reui 
famy homes. Chd abus re  ar  for center providers in 17 States and 
tr checks 
for famy homes in 18 States. However, we found no clea consensus on whether such 
identig a 
checks have ben effective in  signcat numbe of potential violator. 
ce 
citaces 
unde  in 36 States. Grunds for waivers 
Reguations can be waived 
dier. Whe States do not waive heath and saety reuiments, waivers ar fruently 
outd  note 
advocate 
reuested for capacty, sta quacations, and  spac. A provider 
"Ter ar a  of unqualed  in cente, beause States 
grwig numbe  prvide, parculary 
often waive education reuiments so facties ca meet sta to chid ratios. 
Reguon. 
Family Homes Are Often Exemptfrom 
One in si fames live in States with ver lited or no reguation of family homes. Only 15 
States regute providers cag for one chtih o,r  mor. In 13 States regulation of famy 
homes begis with the enrllent of two,  orT fohur  childrn. Eleven do not regulate 
famy homes carg for fewer than five chidrn.  States don t regulate famly homes at 
all. The remag 10 either regulate on a volunta basis or did not prvide infonnation on 
the number of chidrn permtt in famly homes.  ! . . .
mion 
(41 pCeennstu)s  Baur rcaua r efporo in t sho mcofea otcnheeu  e9ll sm eion  s home.s cBhaosoemld c oihoni dnrre np ion  cfrhmid  cc3a4hr ,Si tn3a:t e7a s arn dc taher 
Disuict of.Columbia, we have  that alost 1.  prschool 
mion  chidrn 
for in regcuaate  famy ca. Accgly, we estiate that over 2  prSChbOl 
uncense or unguate famy homes. 
ar being  for in 
Preschool Children In
Number  of 
Homes
Unregulated Family  Care 
Ca 
Tota Chdrn  for in 
Famy Homes  690, 
Ca 
Chdrn  for in 
1,371,383 
Reguate Homes 
Ca 
Chdrn  for in 
Unrgute Homes  318,617* 
See the appndi for more deta on the method use to cacuate th figu. 
Most ChU Car Centers Are Reguatd. 
Natonwide, mor than 65,00 cente and grup thorme,s  have a combined license capacty of 
mion chidrn. Accorg to  adminis States inspte 87 pent (56,800 of 
Sta 
65,(0) of cente and 70 pent (4,40 of 6,3(0) of grup homes in 1988. 
reguons ar mo  cente than for famy homes. In 30 States, center
dStaitetso    strct for 
must have at least some college education or an equivalent amount of work 
ditors. 
expence. Only five States have no educational or expeence reuirments for 
Cente  met mium educational reuiments in 17 States. Seven States 
sta must also 
siar  4 Centers and 

have  educational reuirments for grup home dsittdo.a  grup homes

ar also held acountable to mor rigid health and safety  than famy homes. 
ca 
facties frm 
However, may States exempt lae numbers of child  licensing. . In 28 
States, prgr approved by the Boar of Education ar exempt. Otera Sdtastetse erxeem pt 
par- (19), churh afte progr (12), and hospita  faclities 
tie prschools 
(7). Ony  have no exemptions. 
si States  ............... ..........................................................
........... ................ 
PA1TRNS OF STATE REGULATION ARE CONSTANTLY CHANGING. 
th 
chaged  regullns  years.
Over Iuf of th StDes have sigmfiantly  within the past 
1c\aen. tyS-tanteies  aSrt actersa htaivge  nmewa c magajoorr erse gwuiathto c hchidan cgeas  irne tghuet ipoansst  2t oy emaere tin c thhaen agriag o nf echei.d  
Plas  inspe  Reguations have to be constady changig and flexible. 
State  explaied " prgr  afr 
In 6 Sctas, rheviionsi havde focu se con altaeat cra  .  such as befor and  school, 
night and sick car. Night car is for chidrn whos parnts work night or irguar shi. 
Sick car isa rapidly expandig new concet for chidrn who ar temporay to il for their 
us 
trg 
nie Stas wer in the prss of revig their reguations. Some ar  new 
In 1989,  car 
apphes to developing reguations, such as public for wi parnts and chid 
exp or appointig advi counci of exp, electe  administtor, advocacy grups,
and-parnts. 
an  Stas), provir  provir
Regulary clugesa nco sntcaeffr nto h cehaUlhd  ratsso ely( 7). (22  traimng  (8),
(7),
IJflatns 
.I. 
al incrg  trsption seces,  retion, and 
Stas ar  reguaton of  outdoor 
cral  prvide. Trag  also 
background and child abuse checks of  reuirments ar 
sta. 
being rase for cente ditors and 
sta to chid ratio reuiments. Whe most have incrased the 
Seven States have changed 
sta reuir  reuce ths numbe. Four States have adde or 
numbe of  tWo States have 
toer ca. 
stngtened regulations for inant and 
so 
ca  sece  following 
Most States place chid  licensing agencies in  deparents. The 
cha shows the tys of deparents in which Stas pla chid car licensing authorty. 
Avalable Sanctions 
n . &3 Sttes 
Sanctions  ! . . .
Th-eight (of 53) States pla chi ca linsing authorty in a soal servces Or huma 
deparnt. 
resOmcs  eight ar in a heath  Six ar in umbrella agencies 
dearent, whie 
coverg both heath and soal seces. One is in a consuer and reguto afai 
dearent. 
adtratve  chi  functin may have an effect on 
The  locatn olth  care liensing 
whih regulns are emp1ud an th type of sta who inspct facilites. 
so 
Accg to respndents,  sece olir theu m resomc agency sta may tend 
empha  uidig cos, santation, and 
chid development, and have  knowledge of 
nutrtion. 
inpe,  regist 
deparnt  genery  nures or persns with heath 
In contrt, health 
backgrunds, tend to emphas physical saety, nutrtion, and heath reord; they have 
lite 
apprpriate activities. 
knowledge of dicipliar tehnques and developmentay 
adsttors indicate th they strngly believe heath deparnts ar the 
Sta heath 
ca  Accorg 
most apprrie deparent to handle chid  teguaton enforement.  to one 
State heath offcial "Heath and saety ar the only major conces in chid 
enforment." However, a Norweste inspto voice the nee to, "Tnk of day car 
so serce.

se 
soal 
Whe some inspeto in both health and  agencies believe that heath 
deparnts  diculty 
dearents have grter enforcement powers, most health  (6 of 8) had 
g legal acons. Health deparnts did not repo a grate number of sanctions imposed 
than other agencies. 
Beuse of the lak of Statewide data in somaec liyce nsg agencies, it was not possible to
detee 
whether adstrtive locon  afec enforment effectiveness. In 22 
intig 
States, local agencies can playa major role in linsing and  chid car facties. 
facties 
Sixten Stas have home roeg purvdioensl,i ewhsic.h  alow cities or counties to reguate 
if their stada met State 
FREQUENT VISITS ARE BEST WAY TO ENSURE COMPLIANCE. HOWEVER, 
ONLY A PORTION OF FACILITIES ARE MONITORED REGULARLY. 
detee 
Inspto visit chid car facties to  whether a license should be issued or 
renewed monito compliance, and investiga colats. An inspetion visit includes a 
frm I 
heath and saety check, a fie review, and chid-fsatac otbyse.a ton. It ca last  hour to 
e siz and condition of the 
days depending on 
coplete a teguto checklt durg a visit. In 
Al but one of the insptors intervewied n 
most cas, an exit conferenncee eis  held with the prvide to creoviteiwv teh e checklst and explai 
any deficiencies cite If  the  prpars a  action plan which tI 
prvi signs. The insptor will either mae a follow-up viit or ask the provider to infonn  . .
prss 
her or hi when the c01Ttion has ben ma. Ths basic  involves considerable 
provi. 
papCor 
and follow-up with 
Many StDes inpect only a sample ofUcensed or reglredfamUy homes. . 
strto 
Whe 21 States inspet al famy homes  adm;n; reuin i2  other States said few 
anuay, 
anual inspons ar  Nationwide fewer than 
famy homes ar visite even though  inspte 
ha (71,00 of 163,078) of al licens or regite famy homes wer  in 1988. 
FJfn States inspt only a samle of homes eah yea, with samples ragig frm 10 to 50 
pent. inspto  famy homs only in response to a complait. 
in seven States viit 
famy 
Stas us a varety of other approhes to monito  homes, includig self-crtcation 
inti 
and muti-yea insptions. Two States vit famy homs only for the  registrtion or 
loicensigp and doe not rnetu unmess ther ins a com.pl ait. 
accurat pictue of afacUiI'
Respondnt believe frquent visits are th best way get an 
adtor 
th 
Nealy ha of inspeto (30) and one- of State  (17) felt that fruent 
mata 
visits ar the best way to  regauagtor  complice. Over hal of the resour and 
refer agency respondents (6 of 11) 
In fact, 
Center and famy home providers genery endor State reguation and inspetion. 
20 pent of providers reommende mor fruent insptions. One assert "Unless 
somene viits, there s not much point to havig roes." A famy home provider said, 
Famy chid car is a safer envinmnt due to inspons. 
Inspectors sai thy faced obstales in performng thir dues. 
th 
Ony one- of insptors feel they always have enough tie to prepar and perform 
nee mo  obseg the facty s day 
inspons. Aras ttrhegy fe lt  atntion include 
prgr offerig  and tehnca assitace, and being involved in the initial 
unded 
aplicaon pross to ensur that prvide  the reguations. 
re 
agr  trg 
Sever prvide  saying there is to much emphass on  keeping and not 
Prvide also suppoed State education and 
enough on the car chidrn reive. 
lie mo trnig. 
(of 50) said they would 
reuiments. Foureen 
Both prviders and inspetors felt that reguons rcoov erg appropriateness and qualty of th 
intetation. 
chid ca progr ar vague and leave to much  for individual 
Accg  insp, 
ther is a "lot of latitude for interpreting (what a) 
to a New England 
progr is. 
developmentay appropriate 
inspto 
was the prblem of "wearng two hats." They 
Another obstale mentioned by 
found it frstrting to relate to provide as both enfor and tehnical consultat. Nealy  ........................,.....
 ................... .....
. . " .. . .. . .
insp 
th 
one- of cente prviders (9 of 28) felt  should be mor suppove an less 
police-li. A Southern inpeto sad, ''We re (expte to be) frend, consultat, and 
regutor to the stas of facties. 
viitsi.n 
Into  inspor 
alow  to view a
in some States mae unanounce vits. These vits 
facty as it nory optes. Some (14) sad they lack tie to conduct
unounce 
Whe over hal of the Statest (h27-) qgivue apr videirsn. atdvoanc e notice (avergig 18 days) of 
upcomig insption visits,  cor  of  (45 of 61) believe gnivoigr yad vance 
notice may alow provide to  violations befor the vit. . A facty  openLtig 
exale, 
in violaon of sta to chid ratios, for  could come into compliance for the day of the 
vit. 
Insctors often have lare caseload. 
ca  tie 
adto  inspetion casload, 
natona remmndations for chid 
AltHough we found no 
suggest a cente caload should be no 
stdy data  a Midwest State 
prvide by  caloa  mo 
famy home  should be no  than 104 facties. 
grter than 55 facties, and a 
.I.  The average yealy insption casloaid nfor i nspto of both cente and famy homes waS 
centers and 58 homes). For inspeto who visit only centers, the average 
118 facties (60 
. caload was 92. Famy chid car  ha an averge caeload of 145 facties. 
repo 
followig char the averge cente caload  was alost tWce the 
As shown in the  hal 
reommende workoad whie the averge famy home caload was nearly one and a 
tis 
reommnde workoad 
the 
Inspector Caseloads 
180 
. 140 

120 
I 100

80 ........

P 80

40 .... 
20 ....  No Recmmedation 
'.1., HOI 
Cente.  Cete1' an Home.

Type of Failty 

R,comllndd  Actual CUean)  , .. ' . .
in  to lae. Th-
felt their casload wer  nie percnt sad more inspetion 
Some insnpteores  
sad, "Te caload is physicaly impossible to keep 
st ar  One Western 
Accorg  administr, "Te diemm fuac tbiy  reguator agencies with 
ucple awi etnh"o rment matdo aa tSetaste  is that they would not have to be  as fruen!ly if ther 
st 
wer  to car out positive (meas) raer than negative sactons. 
chU ras an Ucensed capacity require the most 
Accordig to inspectors, staff to 
moniring w ensure compliance. 
con 
report 
ratios was the most  seous violation  Sevenatyg  r 
sta to chid 
pent  adstrtor (37 of 53) and tWo-th of their insptors (42 of 65) 
of State 
stag 
sta cite  as facties' numbe 
Both center  resour and refer agency  incr 
prviders and 
omnea sp ribt lmemo.  Udicpuglrt gto  emduacattiaon sal tre tuoi cmhein rtas otesn.d sW toh e more Sthtae tecsos ht aovfe  cianr candr  
ad st  reuce reuiments in ordr 
qualcations to their regutions, a few Stas have 
to mae mo chid ca avaiable. 
Opverrvapiac tsyay  wiat sis  dthiec uselto ntod  mhois tt hfer ureenut ivi onlautmiobne m oefn qtiuonaelde bdy  sitnarp aaet t cou.n Sto smea l 
their linsed caacty beuse it is  for al childrn to 
levels. A few enroll childrn over 
providers said they want quaed sta but can t risk pricig themselves 
atnd day. Most 
reh of parnts. 
beyond the 
xce si 
adnitrtors cite  g grup  as another common violation. 
Twenty State 
Although a faciity s overa capacty may be lae, Stas may limit the siz of dierent age 
the supervon of each prvi with the facty. Chd car expert we 
grups under
 ipves quaty of ca without incrasing its cost. 
inteewed felt that smaler grup siz 
th 
Twenty- States regulate grup si. 
re 
Insp 
also said supervion -(8), saety (17),  keepig (11), santation (10), and 
st 
qualcations (9) nee fruent enfOrment atntion. 
ENFORCE, 
LEGAL SANCTIONS ARE TlME-CONSUMING AND DIFFICULT TO 
EVEN IN CASES OF IMMINENT DANGER. 
adss 
States ca use a rage of legal sanctions to  cnoonnco mplice. Warh ile termnology and 
fines, license 
application of sanctions vares by State, the most  penalties 
revocation. 
restctions, and license 
Takng legal action against violaors is a moor problem. 
viola  proedur. 
Sta  to cour is a lengty and complex 
offcials told us that bringing a 
Doumentation, supervsory approvals, due prss heags, and appeals ar tie-consuming 
and expepsive.  . : 
. : - -  - -
sta 
May respndents believe that State linsing agencies with their own  attorneys ar best 
sta. 
able to tae legal action agaist seous violat. However, few agencies have such 
legal supo al had attorneys within 
The four respndents who spoke positively about their ateys  inspors 
said that 
on sta, 
their agency. In licensing agencies which do not have  ca 
ar unble or unwig to prsecte chid  reguation violators. 
their legal representatives 
Most (42 of 66) insptors cite a nee for strnger and mo imate legal authority. 
th 
Nealy a quar (15) were conceed  they lack any authorty in crsis situations.  lie 
th 
Inspto say provide know  State regusatopnsg "l ak teth" A few sad they would 
to be able to give providers tickets, siar to  tickets, fO! mior deficiencies. 
Sti prosecutin  inconstent 
authorities are 
Prsection authority vares frm State Atteytas  Gener to local shcehriisd. rA acrc org 
in actual 
respndents, loc prosecuto ar hesitat to  legal action uness 
daJer. 
Oter legal authorties var as well Al but one State linsing agency have the power to 
fing 
deny a license. Twenty-si States ca suspnad da tlircvense a nd 24 have civi penalties or 
closu ordrs. 
authorty. Ofcials in five States can issue 
repo 
The followig char ilustrtes the sanctons avaiable as  by State offcials. 
Child Care 
. Administrative Location of 
Licensina Agencies 
n . ii 8tatel

Other 
Umbrella Agenoles 
Heal th
 ! . . . - -
Most provirs comply when citd. Even for repeat of/endrs, inspectors usualy rely on 
con-ective actin plans andfoUow up. 
Al Stateso use cforr tivte hactione plas . pAs prrviovusly inodte theese arr w.rtt n or verbal plas 
with prvirs to achieve reguto complice. The plan sets out the titable and actions 
reui 
Accg  into,  cot  tiely maer. 
to  most provide  cite deficiencies in a 
Hionweve r, some providers contiualy tetet rong th e edmgea otf aco mpliance. Ofn these repet 
neither the money nor the  to  compliance. A Southern State
offende have  reui 
refene to them as "squea wheels" who constady  enforcment attntion. 
thir 
Twent-lour Stis can levy Jines, but Stia luiernsin g agencs do not agree on 
wi jing 
effectiveness. Some agencies  rarly use it 
th 
Ofci  stngten enforment Ha of the 
intoi n  States mentionfeidg fi es as a way to  ties 
frm States without  authorty (14 of 29) believe that authorty to levy 
imve  th fies ar raly use in the 24 States 
would  compliance. However, we found  fig 
with such authority. Ofcial in eight of these States felt tht  is not an effective 
enforment measur.

diult 
report that fies ar oftn  to levy. Some States reuir cour 
These respndents  lae 
intion and doumentation. One insptor in 
appval whie others reuir day 
re not effective. 
Eatern city sad, "The fies ar so low, they 
the violation. Collectig 
Fmes rage frm $5 to $200 pe day dependig on ther seecveert y of 
fies can be dicult and they ar oftn overed or ta roen fapupeadl. Osne. S tate s solution 
ha ben to withold unpaid fies frm Sta income 
prvi 
intor  fie 
Some  feel it is counterprouctve to  when the money would be bettr 
ca  chin. Ther is al a sentint that weather prviders could buy 
spnt on 
 for the 
their way out of compliance. 
intermedi  as proviional licenses. 
Over half of the States have  satins, such 
Pcrav iissisounea tle lmicepnosreas  cliacne nbse egs. rInt eal  ibnu t3 3t hSet maso.s t Tdwoi  iontshtearce su, sS tcaotneds ituisoen aclo lircretnivsees ,a acntido nfo ur 
plans, warg lettrS, and compliance coernces pror to sekig these sanctions. 
Santins ar used priarly for cri inrventn when chidren ar inc ilmmoinenst de!ngder..  
Wh all Stats can  wi serius vilans, few ar ever 
close facilities 
re 
In 1988, sanctions were levied agaist fewer than 1 percnt of all licensed registere or 
wher  ar maintaed at the State level, 
hild car facilties. In the 27 States 
ceed  facties. 
against 142,522 
623 sactions were issued  / .

: & l 
admini strto ar reluctat to close a facty uness chidrn ar in dager. Rather than 
State  cargiver 
pen"ag  to help them be the best  possible. An Eatern State
insp  provide, they want tag  mag 
sad, "Enforement is  peple into  changes, not revokig licenses. 
Even though al States can revoke a license, in the 21 States wher inortion was avaiable, 
only 347 facties were close in 1988. 
PARENTAL INVOLVEMENT IS CONSIDERED THE FIRST LINE OF DEFENSE 
BUT MAY BE THE WEAKEST LINK IN THE CHAIN. 
Most Stis require parent access. 
Th-four States have regutions regarg parnta acss. Reguon reuirments rage 
nnHmite access in al tys of facties to restrte viits to some facties. Ou 
frm 
inteews indicated that prvide not only alow but encourge parnts to visit regaress o( 
State reguations. Most respndents considr parnta parcipation an importt means 
aSsUrg quaty car.

sfaclit. 
t knw wha w look for in thir chid'
Parnt do car, but they often don 
reguons 
Twenty-six State offcis mentioned the nee to educate parnts about  and wh 
ar impot.  reive clasrm 
they  Only two States madate that parnts  education abOut 
s car facty. 
assessig their chid' 
Sever  that if parnts knew what to look for and what to ask questions 
respndents suggested 
would be forc to tae complice with reguations more seriously. One 
abut, providers  rey 
State offci' commnte " Public awarness is  the key to the whole situaton. ca 
spc  tae 
Encourge parnts to ask  questions; then prvide wi have to gea up and 
of business. 
adstrarrs  complaits. 
Most  report Qa parent ar th most frequent source of 
call w report problems. 
However, parnts seldom 
Whe few States keep detaed rean abut complats, they report that most complaits 
investigate and, if substatiate include in the prvide' s licensur fie. Al States have a 
pross for fig complaits, and most reui their complait prours to be distrbute to 
in child car facties. 
parnts or posted 
' complaits often deal with 
State offcial say that, due to their lak of knowledge, parnts
issues not covere by State reguations, such as disagrments with providers over child 
reng matt  investigate 
and holiday or late fees. These complats must sti be 
Inspto sad responding to misdte complaints ca ad to their alady heavy caseload.  - -
. l

parnt paraton. 
. Sta ar trng to generate more 
Insprs and providers indicate that ther is a low level of parnta parcipation at most 
chidrn in car must work. They
ti  ths was beause parnts of 
facties. Respondents said 
or oppoty to visit the facty durg the day. Respndents also told
'raly have the 

car 
us that parnts spnd litte tie researhig their  options. One Midwest State offcial 
Parnts spnd mo tie shopping for a Ca than choosing their chid' s day care. 
said, &&
parnta 
States want parnts tSot aatces a hsa tvhee icr rUetyee sa na nadr ye ao" fin m thaet efiesld t.o T hoe glpe npearrntets  mae chid car 
parcipation, some  faty. 
desions. Oter States reui regutions to be poste in the 
degr of parnta parcipation in their chidrn s car. State 
Twenty-six Stas madate some 
adsion 
madates ca include regu prgrss report (15), pr- meetigs (10), and parnt. 
confernces (10). Five States include parnts on State or facty advior boar. One State 
boar 
ad11jni trto sad, uCenterswith parnt advisor  tend to be bettr. 
STATES ARE EXPERIMENTING WITH NEW WAYS TO IMPROVE THE OVER
SIGHT OF CHILD CARE. 
Sti 
incentves. 
encourage regitraton through 
Agrcultu Deparent 
Prvide ar respondtirg gto i ncentives to registe. These include the 
Chd Ca Progr  and tehncal assistace and cash grts. Ha oPf rthge rS tate 
admini trto (27) consider the Agrcutu Deparent s Chd Ca Foo  the best 
Prvi  must met State licensig or registrtion reuirments to
incentivef rfo r registrtion.  estite 
reive  meals and snacks for chidrn in their ca. A Western State offcial 
prgr 
applicaons for cecation jump 60 pent when ths  was established 
trg 
registrtion. 
May  administrtors (18) sad prvide  is one way to encourge 
State 
trg progr incr networg amng prvide. Expert considr 
They feel 
netWorg an impot facto in reucig tuover amng famy home prviders. 
Th 
lea si  registrtion.  States offer cah grts up 
At  States offer other incentives for 
$20  insurce rates. Oter offer fr smoke detetor or 
one lower libilty 
extiguher. 
repo 
Mor inonntion is 
These ar just a few of the effective pratices  by respndents. 
Prces 
prsente in our companion repo ''Effective  in Child Ca Enforcement, 
OEI-03-89-00701.  ..  . .
WORKING. 
RESOURCE AND REFERRAL AGENCIES ARE EMERGING AS AN EFFECTIVE 
SOURCE FOR TRAINING, TECHNICAL ASSISTANCE, AND PROVIDER NET
wi 
approprie providers. Some inspect 
Resource and refen-al agencies link up parents  out 
homes; in a few plaes they ar th only source of  inspection. 
trg, 
inortion, 
Resour and referr agencies prvide  and referrs for parnts, 
employer, and chi ca prviders. Many States prvide paral fudig for these agencies. 
acss 
individual agencies  the 
At leat two nationasl reessou re and refer broker contrt with 
lare  icaly, sever resour 
countr to prvide  for employees of 
corons. 
and. refer agencies cover the nee of one State. 
detere 
genery gets inortion frm parnts to  their 
resour and referr agency 
chid ca nee. Al agencies visite provide parnts with educational material, includig 
inoron 
on choosing quaty car. Although only a few distrbute copies of State 
reguons, most provide a  summary.  Agencis give parnts a lit of approprate
prvi  th), mrebale  g 
(usualy  it clea that their referrs ar not reommendations. 
refer 
.I.  Sever States contrt with resour and  agencies to either license providers or 
monito subsidi car. These agencies fruendy spnsor the Deparent of Agrcultu 
Prgr  carg  progr, 
. Chd Ca Foo  In  out their responsibilties under ths  they visit 
th 
prvide  ties per year. 
refer agencies in our samle, 3 viite some of the providers they 
Qf the 11 resoure and 
mied view of their role in monitog. The president of one
liste Agency sta have a 
Ea reut 
and referr agency said, "Licensig agencies don t tae advantage of 
seces  could assist in monitog." However, at least two otherl'sour and 
li our which 
refer respndents wer strngly opposed to a monitog role. 
Resoure. an refen-al agencis recrut and trai new provirs and offer a range of other 
serves. 
Resour and refer agencies view retmnt andretention as their ma goal for famy 
Over hal of the agencies inteewed (6) have established support 
chid car prviders. 
grups to help reuce provide "bur-oUL" They repo lower tuover and grter 
self-estem among suppo grup parcipants. Five famy chid car providers mentioned 
resour and referr seces as an incentive to regite. Seven said they belonged to a 
suppo grup spnsor by  resour and referr agency. 
refer 
Another major objective of resour and  agencies is helping providers fid qualifed 
sta. Low salares combined with a tight labo maet result in high tuover. To addrss this 
matan 
agencies  substitute worker pols. 
prblem, some resoure and referr  ; .
Opt rresouor and vreferr iagendcy acteivities i.nclu de offerg prvide grup purhaing 
in solvig prblems, and toy lendig 
discunts, grup liabilty and health insurce, advice 
libres. Two agencies in our surey offer fiancial assistace to their famy child car .. 
I.. . 
EFFECTIVE PRACTICES 
In our companon repo to ths volum, we descbe a numbe of prtices States might 
tehiques to 
conside to imprve their enforment expeences. These prtices include 
improve legal sanctions antd rprgoe durs, insptions, moneta incentives and penalties, 
parnta  and tehncal assistace for providers. For more 
involvement, and 
inortion, pleas refer to Ofce of Insptor Gener, "Effective Prtices in Chd 
Enforcment," OEI-03-89-0001.  - .
ENDNOTES 
Estite 
1. U. S. Deparnt of Comm, "Chd Car Costs  at $14 Bilon in 1986, 
" Washigtn, U.S. Deparent of Commerc, 1989. pp. 1
Census Burau Surey Shows,
2. National Acadmy of Sciences, "Regulation of Chid Car Under State Law," 1989. 
Unpublihed data 
3. U.S. Deparent of Commer, p. 1. 
4. Moran, G., pp. 4-1 - 4-6. 
data 
5. Natona Acadmy of Sciences, Unpublished  APPENDIX

Respondents
Number  of 
Admtrtors 
State 
Insptor 
Ca 
Chd  Center Prviders 
Ca Prvide 
Famy Chd 
Refer 
Resoure and  Agencies 
11 
Chd Advocac Grups 
.1. 
Preschool ChIldren In
Number  of 
Unt:egulated Family Care Homes 
Ca 
Number of Chdrn  for in Famy Homes  690,00* 
Ca 
Numbe of Chdrn  for in Regulate Homes  371,383** 
Total  617 
* U.S. Census Burau Estites for 1986 (1/89) 
repo 
** The  capacty of reguate famy chid car homes is frm 34 
States and the Distrct of Columbia which reprsent 76 percnt of the tota 
S. poulation for chidrn unde 5 year of age. In order to estimate the 
numbe of reguate facties in the U.S., the followig equation was use: 
Capacty Repo = 76 percnt of Tota U.S. Capacity 
042,21 = .76 (x) 
371,383 = x