ENFORCING CHILD CARE


REGULATIONS


Richard P. Kusw 

INSPECTOR GENERAL 

OEI.Q00 FEBRUARY 1990
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TABLE OF CONTENTS 

EXECUTIVE SUMMARY 

I NTR 0 D U CTI 0 N . ... .... ........ ..... ... ..... 1

................... ............. ............ ......... ....... ......... 4 FIN DI N GS. ... 

EFFECTIVE PRACTICES ....................................................................................... 17

..................... A .1 APP EN DIX 
EXECUTIVE SUMMARY 

PURPOSE 

The purse of th repo is to prvide an assessmnt of curnt State reguatory enforcment 

effor in chid car. 

BACKGROUND 

Stas have the pr responsibilty for estalihig and enforg stada ana regwnons 

regarg chid ca. The Of of Hum Development Serces supp chid ca thugh 

the Socal Serces Block Grt (tide XX. The Famy Suppo Act of 1988 fuds chid car 

for Ai to Fames with Dependent Chdrn (AF beneficies who tae par in the Job 

Opties and Basc Ski (JOBS) prgr Unde both Fe prgr, parcipatig 

prvi must meet applicable State stada. 

Ther ar th major kids of chid ca settgs in the Unite States. Accordg to the U:S. 

Census Buru, 41 percnt of preschool chidrn ofworg mothers spend their days in the 

homes of other mothers. Ths is known as famy chid ca. Although 47 States regulate 

famy chid car, 13. States defie it in such a way that large numbers of homes ar not 

cover 

ne pent of chidrn unde age 5 ar in or chid ca centers or preschools. Twenty 

Al Stas regute chid car cente and only tWo do not inspt centers annualy. 

The th ty of argement, for 30 pent of those unde age 5, is supervion in the 

chid' s own home by a nany, sitt, frnd, or relave. Th ty of ca is not regute in 

any State. 

METHODOLOGY 

adstto and insp in al SO States, the Distrct 

We inteewed chid car licensing 

of CoI bia, and New York City. In nie Stas and New York City, these intervews were 

conducte in person. On-site intews wer also held with resour and referr agency 

st, chid car provide, and chil ca exp frm the prvate and public sectors. 
FINDINGS 

Stis Do Not Regulat Child Car In AU Types Of Settngs. 

Patrn Of StDe Regulaon Are Constatly Cluging. 

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 Involvement Is Considered The Fir Un Of Defense But May Be The Weakst 

Li In The Chan. 

Stis Are Exprientng With New Ways To Improve The Oversght Of ChUd Care. 

Resource And Refen-al Agencies Are Emergng As An Effective Source For Training, 

Technial Assistance, And Provir Networking. 

EFFECTIVE PRACTICES 

In ou companon repo to th volum, we descbe a numbe of prtices' States might 

consde to imprve thei enforment expences. Thes prtices include tehnques to 

imve legal sanctions and prurs, inspons, moneta incentives and penalties, 

parnta involvemnt, and trnig and tehn assitace for prviders. For mor 

inoron, plea refer to 'Ofce of Insp 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 

prsente in a separte report 

BACKGROUND 

Sta have the pri responsibilty for estalihig and enforcg stada and regutions 

regarg chid car. The Ofce of Hum Development Serces support chid car thugh 

the Soc Serces Block Grt (tide XX. The Famy Suppo Act of 1988 fuds chid car 

for Ai to Fames with Dependent Chdrn (AF beneficiares who ta par in the Job 

Oppoties and Basc Skis (JOBS) prgr Unde both Fera prgr, parcipatig 

prvi must meet applicable Sta stada. 

Ther ar th major kids of chid ca in the Unite States. For chidrn under 5, the most 

famy home ca, in which toer ar car for in the homes of common argement 

other mother. Accorg to the U.S. Census Buru, 41 pent of prschool chidrn of 

workig mothers spnd their days in such ca. An adtional 21 percent ar in organze 

chid ca cente or preschools. The th ty of argement, for 30 percent of those under 

5, is supeion in the chid' s own home by a nany, sitt, frend,or relative. The remaining 

Pent ar in a varety of other ca settgs. 

The Census Bmeu alo report that in 1986 fames with incomes above the povert lie 

f $45 per week for chid ca or 6 pent of their income. Those famlies paid an averge 


with incomes below the povert lie pai $32 pe week or 22 pent of their income. 

Chd ca is one of the fastest grwig segmnts of the Amca ecnomy. The Sma 

ta up.
 Business Admstrtion report that chid ca is now the numbe one new business 

In 1986, the Census Buru estimate th 9 mion prschool chidrn reuir car durg 

the hour their mothers work Yet, the 1986 Natonal State of Day Ca Regulation study 

found that State licensing agencies ar incrgly unable to meet their own inspetion 

reuiments. As demad for and supply of chi car esates, State licensing agencies 

rensibilty in regulatig chid car facties al incrs. 

Although prvious national studies have deliea States' licensing reuirments and 

regutions, none have looked at State reguatory enforent. Conseuently, ths inspection 

focuse on States' experiences in enforg their chi ca reguations. Our findigs 

sente to incrase congrssional and Deparnta awarness of the enforment issue and 

inor State licensing agencies of developments acss the nation. 
METODOLOGY 

Dat was collecte frm all 50 States and the Ditrct of Columbia thugh a combination of 

in-pen and telephone inteews. In 41 Stas and the Ditrct of Columbia, we conducte 

administr and inspto. In Connecticut, offcis in telephone discssions with State 

tWo Sta agencies which shar chid ca regution authorty were inteewed On-site 

inteews wer conducte in nie States and New York Oty. (Wen referrg to the numbe 

of Stas in ths rert the tota of 53 includs New Yor Oty, the Distrct of Columbia, and 

tWo State agencies in Connecticut.)


Respndents include State adstrto and insp, resour and refer agency sta, 

prvi, and chid car advocac grups. Prvat and public se exp wer also 

inteewed Finaly, we reviewed tWo nationa studies on State chid car regutions that 

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 

In ths repo we refer to th basc cagores of reguon: licensing, certcation, and 

is the most comprhensive for of reguation. Generay, it involves regitrtion. Licensing 

fi, heath, and State agency inspons pror to issuance of a license, and periodc 

intions whie the facilty is in operation. Cral and chid abuse reor ar checked 

Registratn and faty operatig policies ar develope and reviewed ca rage frm 

self-ccation by the provider with no outsde inspons to a process as complex as 

licensig. Certificatin fals betWeen licensig and regitrtion.

We al refer to th tys of facties. Child car centers ar non-residential facilties where 

prvi ca for a lage (genery mo th- 12) grup of chidrn not relate to them. A 

is usualy a resince wher one prvi cas for one to six chidrn. Ha of famly home 
 th category, wher 2 prvide car for up to 12 childrn. group homes,
 the Stas have 

(Spec defitions var frm State to State. 

In rety, there ar substatial differences amng the States in their definitions of these and 

other te. The same term can have diernt megs in State regulations. For example: 

can be located in "any hom or facty" or restrcted to "anyplace that is Centers 

not the residence of the license." Cente may sere "13 or more childrn under 

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 Group homes 


less than 7 or mor than 12 chin. Famly homes 
 car for "1 to 6 childrn,

5 or 6 chidrn." For both famy and grup homes, more than 10 childrn," or " 
can "include al chidrn of any cagiver" or "exclude the licensed capacity 


cartaer s own chidrn. 

does not necssay me "out of busess." Revocation can Ucense revocaton 


mean "the perment removal of a cente s license" or the "for 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 

months." In one lage State, a prvide whose licens has ben revoked can 

imedately reapply. 

faiur to comply (with of a license can oc when "a licens holder Susension 

reguations) has placed the heath, safety, or rights of pens seed by the 

progr in ;mm;nent dager or for "rte noncomplice that dos not 

endager the heath and saety of chidrn. 

ca be issued for a facty "applYig for inti licensu" or provisiona license 


when annual1icense expirs and applicat is tepoy unable to comply." It 

can be issued for a period "not to exce 6 months" or "not grater than 3 yea. 

y be issued "when the individual or agency fais to condtional license 


comply" or "to a new facty in or to pet applicant to demonstrte 

compliance. 

Re should apprete these diernces in intetig our fidigs. 
FINDINGS 

STATES DO NOT REGULATE CHILD CARE IN ALL TYPES OF SETTINGS. 

Al States license or cert cente, and 28 license or ce 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 subsidi famy homes, and 3 do not reguate 

them at al Ha of the States license, regite, o: ce grup homes. The table below 

shows the numbe of facties our respndents repo they reguate in eah category. 

Number of Regulated Facilities

Cente 65,728

Grup Homes 309 

Famy Homes 163,078 

Other 541 

Tota 240,656 

Th States reui a cral reor check of st in centers and 27 reui such checks for 

famy homes. Chd abus re tr checks ar reui for center providers in 17 States and 

for famy homes in 18 States. However, we found no clea consensus on whether such 

checks have ben effective in identig a signcat numbe of potential violator. 

Reguations can be waived unde ce citaces in 36 States. Grunds for waivers 

dier. Whe States do not waive heath and saety reuiments, waivers ar fruently 

reuested for capacty, sta quacations, and outd spac. A provider advocate note 

"Ter ar a grwig numbe of unqualed prvide, parculary in cente, beause States 

often waive education reuiments so facties ca meet sta to chid ratios. 

Family Homes Are Often Exemptfrom Reguon. 

One in si fames live in States with ver lited or no reguation of family homes. Only 15 

States regute providers cag for one chi or mor. In 13 States regulation of famy 

homes begis with the enrllent of two, th, or four childrn. Eleven do not regulate 

famy homes carg for fewer than five chidrn. Th 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. 
! . . .

Census Burau repo th of the 9 mion school chidrn in chid car, 3:7 mion 

(41 pent) ar ca for in someone else s home. Based on repo frm 34 States and the 

mion prschool chin ar car Disuict of.Columbia, we have cacul that alost 1. 

for in reguate famy ca. Accgly, we estiate that over 2 mion prSChbOl chidrn 

ar being ca for in uncense or unguate famy homes. 

Number of Preschool Children In

Unregulated Family Care Homes

Tota Chdrn Ca for in 

Famy Homes 690, 

Chdrn Ca for in 

Reguate Homes 1,371,383 

Chdrn Ca 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 homes have a combined license capacty of 

mion chidrn. Accorg to Sta administr, States inspte 87 pent (56,800 of 

65,(0) of cente and 70 pent (4,40 of 6,3(0) of grup homes in 1988. 

States reguons ar mo strct for cente than for famy homes. In 30 States, center

dito must have at least some college education or an equivalent amount of work 

expence. Only five States have no educational or expeence reuirments for ditors. 

Cente sta must also met mium educational reuiments in 17 States. Seven States 

4 Centers and 


have siar educational grup homes
 reuirments for grup home dito.

ar also held acountable to mor rigid health and safety stda than famy homes. 

However, may States exempt lae numbers of child ca facties frm licensing. . In 28 

States, prgr approved by the Boar of Education ar exempt. Oter States exempt 

par-tie prschools (19), churh afte progr (12), and hospita adstere faclities 

(7). Ony si States have no exemptions. 
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PA1TRNS OF STATE REGULATION ARE CONSTANTLY CHANGING. 

years. Over Iuf of th StDes have sigmfiantly chaged th regullns within the past 

1\enty-nie States have ma major reguato changes in the past 2 year in the ara of chid 

ca. States ar cratig new cagores with chid ca regutions to meet changig nee. 

Plas State inspe explaied "Reguations have to be constady changig and flexible. 

In 6 Stas, reviions have focuse on alteat ca prgr such as befor and afr 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 chid car. 

In 1989, nie Stas wer in the prss of revig their reguations. Some ar trg new 

apphes to developing reguations, such as public for wi parnts and chid car 

administtor, advocacy grups, exp or appointig advi counci of exp, electe 

and-parnts. 

provir (22 (8), Regulary cluges concern healh an soely Stas), provir traimng 

an staff to chUd rats (7). (7), IJflatns 

.I. 

Stas ar al incrg reguaton of trsption seces, outdoor retion, and 

cral background and child abuse checks of prvide. Trag reuirments ar also 

being rase for cente ditors and sta. 

Seven States have changed sta to chid ratio reuiments. Whe most have incrased the 

numbe of sta reuir tWo States have reuce ths numbe. Four States have adde or 

stngtened regulations for inant and toer ca. 

Most States place chid ca licensing agencies in so sece deparents. The following 

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 

resOmcs dearent, whie eight ar in a heath deparnt. Six ar in umbrella agencies 

coverg both heath and soal seces. One is in a consuer and reguto afai 

dearent. 

The adtratve locatn olth chi care liensing functin may have an effect on 

whih regulns are emp1ud an th type of sta who inspct facilites. 

Accg to respndents, so sece or hum resomc agency sta may tend 

empha chid development, and have lite knowledge of uidig cos, santation, and 

nutrtion. 

In contrt, health deparnt inpe, genery regist nures or persns with heath 

backgrunds, tend to emphas physical saety, nutrtion, and heath reord; they have 

lite knowledge of dicipliar tehnques and developmentay apprpriate activities. 

Sta heath adsttors indicate th they strngly believe heath deparnts ar the 

most apprrie deparent to handle chid ca teguaton enforement. Accorg 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.


Whe some inspeto in both health and soal se agencies believe that heath 

dearents have grter enforcement powers, most health deparnts (6 of 8) had diculty 

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 some licensg agencies, it was not possible to

detee whether adstrtive locon acy afec enforment effectiveness. In 22 

States, local agencies can playa major role in linsing and intig chid car facties. 

Sixten Stas have home roe prvions, which alow cities or counties to reguate facties 

if their stada met State gudelies. 

FREQUENT VISITS ARE BEST WAY TO ENSURE COMPLIANCE. HOWEVER, 

ONLY A PORTION OF FACILITIES ARE MONITORED REGULARLY. 

Inspto visit chid car facties to detee whether a license should be issued or 

renewed monito compliance, and investiga colats. An inspetion visit includes a 

heath and saety check, a fie review, and chid-sta obseaton. It ca last frm I hour to 

days depending on e siz and condition of the facty. 

Al but one of the insptors intervewed coplete a teguto checklt durg a visit. In 

most cas, an exit conference is held with the prvide to review the checklst and explai 

any deficiencies cite If nee the in prpars a cotive action plan which tI 

prvi signs. The insptor will either mae a follow-up viit or ask the provider to infonn 
. .

her or hi when the c01Ttion has ben ma. Ths basic prss involves considerable 

papCor and follow-up with provi. 

Many StDes inpect only a sample ofUcensed or reglredfamUy homes. . 

Whe 21 States inspet al famy homes anuay, adm;n;strto in 2 other States said few 

famy homes ar visite even though anual inspons ar reui Nationwide fewer than 

ha (71,00 of 163,078) of al licens or regite famy homes wer inspte in 1988. 

FJfn States inspt only a samle of homes eah yea, with samples ragig frm 10 to 50 

pent. inspto in seven States viit famy homs only in response to a complait. 

Stas us a varety of other approhes to monito famy homes, includig self-crtcation 

and muti-yea insptions. Two States vit famy homs only for the inti registrtion or 

licensig and do not retu uness ther is a complait. 

Respondnt believe frquent visits are th best way get an accurat pictue of afacUiI' openmn. 

Nealy ha of inspeto (30) and one-th of State adtor (17) felt that fruent 

visits ar the best way to mata reguato complice. Over hal of the resour and 

refer agency respondents (6 of 11) agr 

Center and famy home providers genery endor State reguation and inspetion. In fact, 

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. 

Ony one-th of insptors feel they always have enough tie to prepar and perform 

inspons. Aras they felt nee mo atntion include obseg the facty s day 

prgr offerig trg and tehnca assitace, and being involved in the initial 

aplicaon pross to ensur that prvide unded the reguations. 

Sever prvide agr saying there is to much emphass on re keeping and not 

enough on the car chidrn reive. Prvide also suppoed State education and trg 

reuiments. Foureen (of 50) said they would lie mo trnig. 

Both prviders and inspetors felt that reguons coverg appropriateness and qualty of th 

chid ca progr ar vague and leave to much ro for individual intetation. 

Accg to a New England insp, ther is a "lot of latitude for interpreting (what a) 

developmentay appropriate progr is. 

Another obstale mentioned by inspto was the prblem of "wearng two hats." They 

found it frstrting to relate to provide as both enfor and tehnical consultat. Nealy 
. . ........................,.....

.. . .. ................... ..... 

one-th of cente prviders (9 of 28) felt insp 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. 

Into in some States mae unanounce vits. These vits alow inspor to view a in (14) sad they lack tie to conduct facty as it nory viits. optes. Some

unounce 

Whe over hal of the States (27) give prviders. advance notice (avergig 18 days) of 

upcomig insption visits, th-qua of into (45 of 61) believe givig advance 

notice may alow provide to cor violations befor the vit. . A facty nory openLtig 

in violaon of sta to chid ratios, for exale, could come into compliance for the day of the 

vit. 

Insctors often have lare caseload. 

AltHough we found no natona remmndations for chid ca inspetion casload, tie 

stdy data prvide by a Midwest State adto suggest a cente caload should be no 

grter than 55 facties, and a famy home caloa should be no mo than 104 facties. 

.I. 

The average yealy insption casload for inspto of both cente and famy homes waS 

118 facties (60 centers and 58 homes). For inspeto who visit only centers, the average 

. caload was 92. Famy chid car in ha an averge caeload of 145 facties. 

As shown in the followig char the averge cente caload repo was alost tWce the 

reommende workoad whie the averge famy home caload was nearly one and a hal 

tis the reommnde workoad 

Inspector Caseloads 

180 

. 140 


120 

I 100


80 ........


P 80


40 .... 

20 .... No Recmmedation 

Cente. '.1., HOI Cete1' an Home.


Type of Failty 


R,comllndd Actual CUean) 
, .. 

. .

Some insptors felt their casload wer to lae. Th-nie percnt sad more inspetion 

st ar nee One Western in sad, "Te caload is physicaly impossible to keep 

administr, "Te diemm fac by reguator agencies with 

up with" Accorg to a State 

clea enorment madates is that they would not have to be uti as fruen!ly if ther 

wer st to car out positive (meas) raer than negative sactons. 

Accordig to inspectors, staff to chU ras an Ucensed capacity require the most 

moniring w ensure compliance. 

sta to chid ratios was the most con seous violation report Seventy 

pent of State adstrtor (37 of 53) and tWo-th of their insptors (42 of 65) agr 

Both center prviders and resour and refer agency sta cite stag as facties' numbe 

one prblem. Upgrg educational reuiments tends to incr the cost of car and 

mas it mo dicult to mata st to chi raos. Whe more States have incr 

ad st qualcations to their regutions, a few Stas have reuce reuiments in ordr 

to mae mo chid ca avaiable. 

Overapacty was the seond most fruent violation mentioned by inpeto. Some 

prvi say it is dicult to hi the reui numbe of qualed sta at cunt sal 

levels. A few enroll childrn over their linsed caacty beuse it is ra for al childrn to 

atnd day. Most providers said they want quaed sta but can t risk pricig themselves 

beyond the reh of parnts. 

Twenty State adnitrtors cite xceg grup si as another common violation. 

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


inteewed felt that smaler grup siz ipves quaty of ca without incrasing its cost. 

Twenty-th States regulate grup si. 

Insp also said supervion -(8), saety (17), re keepig (11), santation (10), and 

st qualcations (9) nee fruent enfOrment atntion. 

LEGAL SANCTIONS ARE TlME-CONSUMING AND DIFFICULT TO ENFORCE, 

EVEN IN CASES OF IMMINENT DANGER. 

States ca use a rage of legal sanctions to adss noncomplice. While termnology and 

application of sanctions vares by State, the most con penalties ar fines, license 

restctions, and license revocation. 

Takng legal action against violaors is a moor problem. 

Sta offcials told us that bringing a viola to cour is a lengty and complex proedur. 

Doumentation, supervsory approvals, due prss heags, and appeals ar tie-consuming 

and expepsive. 
. : 

May respndents believe that State linsing agencies with their own sta attorneys ar best 

able to tae legal action agaist seous violat. However, few agencies have such sta. 

The four respndents who spoke positively about their legal supo al had attorneys within 

their agency. In licensing agencies which do not have ateys on sta, inspors said that 

their legal representatives ar unble or unwig to prsecte chid ca reguation violators. 

Most (42 of 66) insptors cite a nee for strnger and mo imate legal authority. 

Nealy a quar (15) were conceed th they lack any authorty in crsis situations. 

Inspto say provide know th State reguatons "lak teth" A few sad they would lie 

to be able to give providers tickets, siar to spg tickets, fO! mior deficiencies. 

Sti prosecutin authorities are inconstent 

Prsection authority vares frm State Atteys Gener to local sheris. Accorg 

respndents, loc prosecuto ar hesitat to ta legal action uness chidr ar in actual 

daJer. 

Oter legal authorties var as well Al but one State linsing agency have the power to 

deny a license. Twenty-si States ca suspnd a licens and 24 have civi penalties or fing 

authorty. Ofcials in five States can issue adtrve closu ordrs. 

The followig char ilustrtes the sanctons avaiable as repo by State offcials. 

. Administrative Location of Child Care 

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 States use corrtive action plas. As prviously note these ar wrttn or verbal plas 

with prvirs to achieve reguto complice. The plan sets out the titable and actions 

reui of the prvider. 

Accg to into, most provide cot cite deficiencies in a tiely maer. 

However, some providers contiualy tete on the edge of compliance. Ofn these repet 

offende have neither the money nor the trg to mata compliance. A Southern State in refene to them as "squea wheels" who constady reui enforcment attntion. 

Twent-lour Stis can levy Jines, but Sti liensng agencs do not agree on thir 

effectiveness. Some agencies wi jing auri rarly use it 

Ofci in th States mentioned fies as a way to stngten enforment Ha of the 

into frm States without fig authorty (14 of 29) believe that authorty to levy ties 

would imve compliance. However, we found th fies ar raly use in the 24 States 

with such authority. Ofcial in eight of these States felt tht fig is not an effective 

enforment measur.


These respndents report that fies ar oftn diult to levy. Some States reuir cour 

appval whie others reuir day intion and doumentation. One insptor in lae 

Eatern city sad, "The fies ar so low, they re not effective. 

Fmes rage frm $5 to $200 pe day dependig on the severty of the violation. Collectig 

fies can be dicult and they ar oftn overed or rece on appeal. One State s solution 

ha ben to withold unpaid fies frm Sta income ta refuds. 

Some intor feel it is counterprouctve to fie prvi when the money would be bettr 

ca for the chin. Ther is al a sentint that weather prviders could buy 

spnt on 


their way out of compliance. 

Over half of the States have intermedi satins, such as proviional licenses. 

Prvisional licenses can be grte in 33 Stas. Two other us conditional licenses, and four 

ca issue tempora licenses. In al but the most di instaces, States use corrtive action 

plans, warg lettrS, and compliance coernces pror to sekig these sanctions. 

Santins ar used priarly for cri inrventn when chidren ar in imminent d!nger. 

Wh all Stats can close facilities wi serius vilans, few ar ever closed. 

In 1988, sanctions were levied agaist fewer than 1 percnt of all licensed registere or 

hild car facilties. In the 27 States wher re ar maintaed at the State level, ceed 

623 sactions were issued against 142,522 facties. 
/ .

: & l 

admini strto ar reluctat to close a facty uness chidrn ar in dager. Rather than State 

pen"ag provide, they want to help them be the best cargiver possible. An Eatern State insp sad, "Enforement is tag peple into mag 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.


Parnt do car, but they often don t knw wha w look for in thir chid'sfaclit. 

Twenty-six State offcis mentioned the nee to educate parnts about reguons and wh 

they ar impot. Only two States madate that parnts reive clasrm education abOut 

assessig their chid' s car facty. 

Sever respndents suggested that if parnts knew what to look for and what to ask questions 

abut, providers would be forc to tae complice with reguations more seriously. One 

State offci' commnte " Public awarness is rey the key to the whole situaton. 

Encourge parnts to ask spc questions; then prvide wi have to gea up and tae ca 

of business. 

Most adstrarrs report Qa parent ar th most frequent source of complaits. 

However, parnts seldom call w report problems. 

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 

parnts or posted in child car facties. 

State offcial say that, due to their lak of knowledge, parnts' complaits often deal with 

issues not covere by State reguations, such as disagrments with providers over child 

reng matt and holiday or late fees. These complats must sti be investigate 

Inspto sad responding to misdte complaints ca ad to their alady heavy caseload. 
. l


. Sta ar trng to generate more parnt paraton. 

Insprs and providers indicate that ther is a low level of parnta parcipation at most 

facties. Respondents said ths was beause parnts of chidrn in car must work. They ti or oppoty to visit the facty durg the day. Respndents also told 'raly have the 


us that parnts spnd litte tie researhig their car options. One Midwest State offcial 

said, &&Parnts spnd mo tie shopping for a Ca than choosing their chid' s day care. 

States want parnts to ac as their Ueyes and ea" in the field. To generte parnta 

parcipation, some States have crte an ary of mates to help parnts mae chid car 

desions. Oter States reui regutions to be poste in the faty. 

Twenty-six Stas madate some degr of parnta parcipation in their chidrn s car. State 

madates ca include regu prgrss report (15), pr-adsion meetigs (10), and parnt. 

confernces (10). Five States include parnts on State or facty advior boar. One State 

ad11jni trto sad, uCenterswith parnt advisor boar tend to be bettr. 

STATES ARE EXPERIMENTING WITH NEW WAYS TO IMPROVE THE OVERSIGHT OF CHILD CARE. 

Sti encourage regitraton through incentves. 

Prvide ar respondig to incentives to registe. These include the Agrcultu Deparent 

Chd Ca Progr trg and tehncal assistace and cash grts. Ha of the State 

admini trto (27) consider the Agrcutu Deparent s Chd Ca Foo Prgr the best 

incentive for registrtion. Prvi must met State licensig or registrtion reuirments to

reive fr meals and snacks for chidrn in their ca. A Western State offcial estite 

applicaons for cecation jump 60 pent when ths prgr was established 

May State administrtors (18) sad prvide trg is one way to encourge registrtion. 

They feel trg progr incr networg amng prvide. Expert considr 

netWorg an impot facto in reucig tuover amng famy home prviders. 

At lea si States offer other incentives for registrtion. Th States offer cah grts up 

$20 one lower libilty insurce rates. Oter offer fr smoke detetor or 

extiguher. 

These ar just a few of the effective pratices repo by respndents. Mor inonntion is 

prsente in our companion repo ''Effective Prces in Child Ca Enforcement, 

OEI-03-89-00701. 
.. . .

RESOURCE AND REFERRAL AGENCIES ARE EMERGING AS AN EFFECTIVE 

SOURCE FOR TRAINING, TECHNICAL ASSISTANCE, AND PROVIDER NET­ WORKING. 

Resource and refen-al agencies link up parents wi approprie providers. Some inspect 

homes; in a few plaes they ar th only source of out inspection. 

Resour and referr agencies prvide inortion, trg, and referrs for parnts, 

employer, and chi ca prviders. Many States prvide paral fudig for these agencies. 

At leat two national resoure and refer broker contrt with individual agencies acss the 

countr to prvide ses for employees of lare corons. icaly, sever resour 

and. refer agencies cover the nee of one State. 

resour and referr agency genery gets inortion frm parnts to detere their 

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 reble summary. Agencis give parnts a lit of approprate

prvi (usualy th), mag it clea that their referrs ar not reommendations. 

.I. Sever States contrt with resour and refer agencies to either license providers or 

monito subsidi car. These agencies fruendy spnsor the Deparent of Agrcultu 

. Chd Ca Foo Prgr In carg out their responsibilties under ths progr, they visit 

prvide th ties per year. 

Qf the 11 resoure and refer agencies in our samle, 3 viite some of the providers they 

liste Agency sta have a mied view of their role in monitog. The president of one

Ea reut and referr agency said, "Licensig agencies don t tae advantage of 

seces li our which could assist in monitog." However, at least two otherl'sour and 

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 and retention as their ma goal for famy 

chid car prviders. Over hal of the agencies inteewed (6) have established support 

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. 

Another major objective of resour and refer agencies is helping providers fid qualifed 

sta. Low salares combined with a tight labo maet result in high tuover. To addrss this 

prblem, some resoure and referr agencies matan substitute worker pols. 
.

Ot resour and referr agency activities include offerg prvide grup purhaing 

discunts, grup liabilty and health insurce, advice in solvig prblems, and toy lendig 

libres. Two agencies in our surey offer fiancial assistace to their famy child car provide. 
.. 

I.. . 

EFFECTIVE PRACTICES 

In our companon repo to ths volum, we descbe a numbe of prtices States might 

conside to imprve their enforment expeences. These prtices include tehiques to 

improve legal sanctions and proedurs, insptions, moneta incentives and penalties, 

parnta involvement, and trg and tehncal assistace for providers. For more 

inortion, pleas refer to Ofce of Insptor Gener, "Effective Prtices in Chd 

Enforcment," OEI-03-89-0001. 
ENDNOTES 

1. U. S. Deparnt of Comm, "Chd Car Costs Estite at $14 Bilon in 1986, 

Census Burau Surey Shows," Washigtn, U.S. Deparent of Commerc, 1989. pp. 1­

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. 

5. Natona Acadmy of Sciences, Unpublished data 
APPENDIX


Number of Respondents

State Admtrtors 

Insptor 

Chd Ca Center Prviders 

Famy Chd Ca Prvide 

Resoure and Refer Agencies 

Chd Advocac Grups 11 

.1. 

Number of Preschool ChIldren In

Unt:egulated Family Care Homes 

Number of Chdrn Ca for in Famy Homes 690,00* 

Numbe of Chdrn Ca for in Regulate Homes 371,383** 

Total 617 

* U.S. Census Burau Estites for 1986 (1/89) 

** The repo 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