The Office of Children and Family Services (the Office) must change New York State child care regulations to achieve compliance and consistency with the federal mandate. In order to comply, the Office must adopt emergency regulations to protect the health, safety and general welfare of children in care. OCFS is also simultaneously proceeding with a notice of proposed rulemaking to Title 18 of the Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR) sections 414.14, 415.4, 416.14, 417.14, 418-1.14 and 418-2.14.

SSL Section 390-a(3)(d) requires family day care and group family day care operators obtain training pertaining to the protection of the health and safety of children, prior to the issuance of a registration or license by the Office. This required training (a 15-hour health and safety classroom training) was updated to include the federally required health and safety pre-service/orientation trainings topics, and was implemented August 1, 2016. Individuals who completed the 15-hour health and safety classroom training on or after August 1, 2016 have complied with the new CCDBG requirement. Individuals who completed the 15-hour health and safety classroom training before August 1, 2016 will need to take Office-approved training by September 30, 2017 to comply with the new CCDBG requirement. Individuals seeking to operate a family day care or group family day care after the effective date of these regulations will comply with the new CCDBG requirement upon completion of the 15-hour health and safety classroom training course, prior to the Office issuing the registration or license. Family day care and group family day care homes permitted to replace the person named as the provider, must have the individual complete the 15-hour health and safety classroom training before becoming the provider.

Every assistant, substitute, and volunteer with the potential for regular and substantial contact with children in care must complete Office-approved training that complies with the federal minimum health and safety pre-service or three-month orientation period training requirements.

Every person in the position of assistant, substitute, or volunteer with the potential for regular and substantial contact with children at the time this regulation becomes effective must complete the Office-approved training by September 30, 2017. Any assistant or substitute who does not complete this training by September 30, 2017 must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

Every applicant for the position of assistant, substitute, or volunteer with the potential for regular and substantial contact with children after this regulation becomes effective must complete the Office-approved training, either pre-service or within three months of starting such position, or by September 30, 2017, whichever is later. Any assistant or substitute who has not completed the training, but will be completing the training within the first three months of starting such position, must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

Language is being added to the family day care and group family day care regulations to clarify that the pre-application orientation session is a separate requirement from the new CCDBG health and safety pre-service or three-month orientation requirement.

Small Day Care Centers, Day Care Centers and School-age Child Care Programs

Every director, teacher, caregiver, and volunteer with the potential for regular and substantial contact with children in care must complete Office-approved training that complies with the federal minimum health and safety pre-service or three-month orientation period training requirements.

Every person in the position of director, teacher, caregiver, or volunteer with the potential for regular and substantial contact with children at the time this regulation becomes effective must complete the Office-approved training by September 30, 2017. Any teacher or director who does not complete this training by September 30, 2017 must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

Every applicant for the position of director, teacher, caregiver, or volunteer with the potential for regular and substantial contact with children after this regulation becomes effective must complete the Office-approved training, either pre-service or within three months of starting such position, or by September 30, 2017, whichever is later. Any director or teacher who has not completed the training, but will be completing the training within the first three months of starting such position, must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

Language is being added to the licensing and registration child care regulations to clarify that the pre-application orientation session is a separate requirement from the new CCDBG health and safety pre-service or three-month orientation requirement.

Legally-Exempt Child Care Programs

To be enrolled by or to maintain enrollment with a legally-exempt caregiver enrollment agency to provide child care services to families receiving child care subsidies under the New York State Child Care Block Grant Program, every legally exempt caregiver, employee with a caregiving role, and volunteer with the potential for regular and substantial contact with children in care, except for a grandparent, great grandparent, sibling (if living in a separate residence), aunt, or uncle providing care pursuant to 415.1(h), must complete Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

For informal child care programs enrolled at the time this regulation becomes effective, the required individuals must complete the Office-approved training by September 30, 2017.

For legally-exempt group child care programs enrolled at the time this regulation becomes effective, the required individuals must complete the Office-approved training by September 30, 2017. Any individual who does not complete the training by September 30, 2017 must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

For applicants seeking to be enrolled as an informal child caregiver after this regulation becomes effective, the required individuals must complete the Office-approved training pre-service or by September 30, 2017, whichever is later.

For applicants seeking to be enrolled as a legally-exempt group child care program after this regulation becomes effective, the required individuals must complete the Office-approved training pre-service or by September 30, 2017, whichever is later. Any required individual who has not completed the training by September 30, 2017 must not be left unsupervised with children in care until such time as the training has been completed. The person supervising the individual must have completed the Office-approved training that complies with the federal minimum health and safety pre-service training requirements.

1. Statutory authority:

Section 20(3)(d) of the Social Services Law (SSL) authorizes the Commissioner of the Office of Children and Family Services (Office) to establish rules, regulations, and policies to carry out the Office’s powers and duties under the SSL.

Section 34(3)(f) of SSL authorizes the Commissioner of the Office to establish regulations for the administration of public assistance and care within the State.

Section 390(2-a)(a) of the SSL authorizes the Office to establish regulations to set minimum quality program requirements for licensed and registered child day care programs, including staff training.

Section 390-a(3) of the SSL authorizes the Office to establish regulations requiring licensed and registered child day care providers to receive training.

Section 410(1) of the SSL authorizes a social services official of a county, city, or town to provide day care for children at public expense and authorizes the Office to establish criteria for when such day care is to be provided.

Section 410-x(3) of the SSL requires the Office to establish in regulation minimum health and safety standards that must be met by child care providers, funded under the New York State Child Care Block Grant, not required to be licensed or registered under section 390 of the SSL or to be licensed under the administrative code of the City of New York.

Section 658E(c)(2)(I) of the Child Care and Development Block Grant Act of 2014 (CCDBG) requires the Office to establish minimum health and safety training in specified topic areas for child day care providers to be completed pre-service or during an orientation period.

2. Legislative objectives:

The regulations support the legislative objectives underlying of sections 390, 390-a and 410-x of the Social Services Law to protect the health and safety of children in child care.

3. Needs and benefits:

The regulations bring the State in compliance with the requirements of the Child Care and Development Block Grant Act of 2014 (CCDBG) (42 U.S.C. 9858 et seq.) and will help to protect the health and safety of children in child care. CCDBG and the Child Care and Development Fund (CCDF) regulations require all directors, teachers, and caregiving staff at licensed, registered, and legally-exempt child care programs (except for certain legally-exempt relative caregivers) obtain health and safety training, either pre-service or during a three-month orientation period, as appropriate for the program setting. Section 98.44(b)(1)(i) of the CCDF regulations provide that this health and safety training must be completed before caregivers, teachers, and directors are allowed to care for children unsupervised. The required federal compliance date is September 30, 2017.

SSL Section 390-a(3)(d) requires family day care and group family day care operators obtain training pertaining to the protection of the health and safety of children, prior to the issuance of a registration or license by the Office. The 15-hour health and safety classroom training designated to satisfy this requirement was updated to include the federally required health and safety pre-service/orientation trainings topics, and was implemented August 1, 2016. Individuals who completed the 15-hour health and safety classroom training before August 1, 2016 will need to take Office-approved training by September 30, 2017 to comply with the new CCDBG requirement. Individuals who completed the 15-hour health and safety classroom training on or after August 1, 2016 have complied with the new CCDBG requirement. Individuals applying to operate a family day care or group family day care after the effective date of these regulations will comply with the CCDBG requirement upon completion of the 15-hour health and safety classroom training course, prior to the Office issuing the registration or license. Family day care and group family day care homes permitted to replace the person named as the provider, must have the individual complete the 15-hour health and safety classroom training before becoming the provider. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Although SSL 390-a(3)(d) does not require that assistants and substitutes at family day care and group family day care homes take health and safety training prior to licensure or registration, CCDBG requires these individuals obtain health and safety training, either pre-service or during a three-month orientation period. Additionally, SSL 390-a(3)(a) applies the statutory training requirements to volunteers who have the potential for regular and substantial contact with children in care of family day care homes and group family day care homes. Based on this, assistants, substitutes, and volunteers who have the potential for regular and substantial contact with children in care of family day care and group family day care homes must obtain health and safety training, either pre-service or during a three-month orientation period, or by September 30, 2017, whichever is later. Any assistant or substitute who does not complete this training by the required date must not be left unsupervised with children in care until such time as the training has been completed. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

SSL 390-a(2) requires the development and implementation of procedures, prior to issuing a license or registration, that requires: review and evaluation of background information provided by an applicant to volunteer at a day care center or school-age child care program, or by an applicant to be a director, provider, or employee at a licensed or registered program; establish minimal experiential and educational qualifications for employees and directors at child care centers; adequate and appropriate supervision of employees and volunteers of family day care homes, group family day care homes, child day care centers, and school-age child care programs; procedures to assure the safety of a child reported to the statewide central register of child abuse and maltreatment; and, uniform visitor control procedures.

SSL 390-a(3)(a) requires operators, directors, employees, assistants, and volunteers who have the potential for regular and substantial contact with children in care of family day care homes, group family day care homes, school-age child care programs, and day care centers receive thirty hours of training every two years, provided that fifteen hours of such training is received within the first six months of licensure, registration or employment.

Directors, teachers, and volunteers with the potential for regular and substantial contact with children in care of school-age child care programs and day care centers may obtain the federally required training, either pre-service or during a three-month orientation period, or by September 30, 2017, whichever is later. Directors and teachers located in school-age child care programs and day care centers who have not completed the training by September 30, 2017 must not be left unsupervised with children in care until after such individuals have completed the training. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Legally-exempt child care programs are not subject to the SSL 390-a(2) pre-licensure or pre-registration requirements or the SSL 390-a(3) training requirements, and there are no similar regulatory requirements as part of the legally-exempt enrollment process. Due to these differences in the licensing/registration and legally-exempt enrollment processes, the Office has determined that licensed and registered child care settings are appropriate settings to allow for completion of the federally required health and safety training during a three-month orientation period; however, this option was not extended to legally-exempt child care programs.

The Office will not allow individuals at legally-exempt child care programs to complete the required training during an orientation period. Those legally-exempt informal child caregivers who are required to complete the training, must do so pre-service or by September 30, 2017, whichever is later. Failure to complete the training by the required date will result in termination of the caregiver’s enrollment. Individuals associated with legally-exempt group child care programs who are required to complete the training, must do so pre-service or by September 30, 2017, whichever is later. Individuals at legally-exempt group child care programs who do not complete the training by the required date must not have unsupervised contact with children in care. Failure to complete the training by the required date may result in termination of the legally-exempt group child care program’s enrollment.

Language is being added to the licensing and registration child care regulations to clarify that the pre-application orientation session is a separate requirement from the new CCDBG health and safety pre-service or three-month orientation requirement.

4. Costs:

The implementation of emergency and proposed regulations may result in costs to child care programs. The Office plans to offer a training, at no cost to programs, that will satisfy the federal requirement for pre-service/orientation health and safety training. For those that use the Office training course to satisfy this requirement, the costs will be minimal.

5. Local government mandates:

The emergency and proposed regulations impose no new mandates on local governments.

6. Paperwork:

Child care programs will have to keep a record of compliance with the new training standards, as they are required to do with the current training standards.

7. Duplication:

The new requirements do not duplicate any existing State or federal requirements.

8. Federal standards:

The regulations are consistent with the Child Care and Development Block Grant Act of 2014 (42 U.S.C. 9858 et seq.), which requires the Office to establish minimum health and safety training in specified topic areas to be completed pre-service or during an orientation period.

9. Compliance schedule:

The regulations are effective when filed, as the federal requirement is already in effect, and States are required to have implemented the requirement by September 30, 2017.

10. Alternative approaches:

No alternative approaches were considered because such training is required by federal statute and regulation, as a condition of receiving federal CCDBG funding.

1. Effect on small businesses and local governments:

The emergency and proposed regulations will affect all licensed and registered family day care homes, group family day care homes, school age child care programs, and day care centers (outside of New York City), approximately 17,230 programs. Additionally, approximately 30,000 legally-exempt child care programs statewide and 12,000 day care centers in New York City will be affected.

2. Compliance requirements:

Child care programs will have to keep a record of compliance with the new training standards, as they are required to do with the current training standards.

CCDBG and the Child Care and Development Fund (CCDF) regulations require all directors, teachers, and caregiving staff at licensed, registered, and legally-exempt child care programs (except for certain legally-exempt relative caregivers) obtain health and safety training, pre-service or during a three-month orientation period, as appropriate for the program setting. Section 98.44(b)(1)(i) of the CCDF regulations provide that this health and safety training must be completed before caregivers, teachers, and directors are allowed to care for children unsupervised. The required federal compliance date is September 30, 2017.

SSL Section 390-a(3)(d) requires family day care and group family day care operators obtain training pertaining to the protection of the health and safety of children, prior to the issuance of a registration or license by the Office. The 15-hour health and safety classroom training designated to satisfy this requirement was updated to include the federally required health and safety pre-service/orientation trainings topics, and was implemented August 1, 2016. Individuals who completed the 15-hour health and safety classroom training before August 1, 2016 will need to take Office-approved training by September 30, 2017 to comply with the new CCDBG requirement. Individuals who completed the 15-hour health and safety classroom training on or after August 1, 2016 have complied with the new CCDBG requirement. Individuals applying to operate a family day care or group family day care after the effective date of these regulations will comply with the new CCDBG requirement upon completion of the 15-hour health and safety classroom training course, prior to the Office issuing the registration or license. Family day care and group family day care homes permitted to replace the person named as the provider, must have the individual complete the 15-hour health and safety classroom training before becoming the provider. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Assistants, substitutes, and volunteers who have the potential for regular and substantial contact with children in care of family day care and group family day care homes must obtain health and safety training, either pre-service or during a three-month orientation period, or by September 30, 2017, whichever is later. Any assistant or substitute who does not complete this training by the required date must not be left unsupervised with children in care until such time as the training has been completed. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Directors, teachers, and volunteers with the potential for regular and substantial contact with children in care of school-age child care programs and day care centers may obtain the federally required training pre-service or during a three-month orientation period, or by September 30, 2017, whichever is later. Directors and teachers located in school-age child care programs and day care centers who have not completed the training by September 30, 2017 must not be left unsupervised with children in care until after such individuals have completed the training. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Those legally-exempt informal child caregivers who are required to complete the training, must do so pre-service or by September 30, 2017, whichever is later. Failure to complete the training by the required date will result in termination of the caregiver’s enrollment. Individuals associated with legally-exempt group child care programs who are required to complete the training, must do so pre-service or by September 30, 2017, whichever is later. Individuals at legally-exempt group child care programs who do not complete the training by the required date must not have unsupervised contact with children in care. Failure to complete the training by the required date may result in termination of the legally-exempt group child care program’s enrollment.

3. Professional services:

No new professional services are required by small business or local government to comply with this change.

4. Compliance costs:

The implementation of emergency and proposed regulations may result in costs to child care programs. The Office plans to offer training, at no cost to programs, that will satisfy the federal requirement for pre-service health and safety training. For those that use the Office training course to satisfy this requirement, the costs will be minimal.

5. Economic and technological feasibility:

No new economic or technology requirements for small business or local government are expected.

6. Minimizing adverse impact:

To minimize the impact of the regulations on child care programs, the Office is funding the development of an on-line training course that will meet the federal requirements. The training course is constructed in modular sessions and takes into consideration the time constraints on the child care program and the individual. The training course is anticipated to be available on the effective date of the emergency and proposed regulations and will be available at no cost to the participants.

7. Small business and local government participation:

In the development of the 2016-2018 Child Care and Development Fund Plan, the Office held three regional public hearings, in which the federal training requirements were presented to child day care providers and local social services districts. The Office held a statewide webinar for child day care providers that outlined these and other changes. The draft 2016-2018 Child Care and Development Fund Plan was posted on the Office website. Child day care providers, local governments, and the public made comments on the proposed 2016-2018 Child Care and Development Fund Plan.

1. Types and estimated numbers of rural areas:

The emergency and proposed regulations will affect day care centers, school-age and home-based child care providers, and legally-exempt child care providers located in all 44 rural areas of the State. Statewide, there are approximately 17,230 child care programs, 30,000 legally-exempt child care programs statewide, and 12,000 day care centers in New York City that have to complete the required training course and will be affected.

2. Reporting, recordkeeping, and other compliance requirements and professional services:

Child care programs will have to keep a record of compliance with the new training standards, as they are required to do with the current training standards.

CCDBG and the Child Care and Development Fund (CCDF) regulations require all directors, teachers, and caregiving staff at licensed, registered, and legally-exempt child care programs (except for certain legally-exempt relative caregivers) obtain health and safety training, pre-service or during a three-month orientation period, as appropriate for the program setting. Section 98.44(b)(1)(i) of the CCDF regulations provide that this health and safety training must be completed before caregivers, teachers, and directors are allowed to care for children unsupervised. The required federal compliance date is September 30, 2017.

SSL Section 390-a(3)(d) requires family day care and group family day care operators obtain training pertaining to the protection of the health and safety of children, prior to the issuance of a registration or license by the Office. The 15-hour health and safety classroom training designated to satisfy this requirement was updated to include the federally required health and safety pre-service/orientation trainings topics, and was implemented August 1, 2016. Individuals who completed the 15-hour health and safety classroom training before August 1, 2016 will need to take Office-approved training by September 30, 2017 to comply with this CCDBG requirement. Individuals who completed the 15-hour health and safety classroom training on or after August 1, 2016 have complied with this CCDBG requirement. Individuals applying to operate a family day care or group family day care after the effective date of these regulations will comply with the CCDBG requirement upon completion of the 15-hour health and safety classroom training course, prior to the Office issuing the registration or license. Family day care and group family day care homes permitted to replace the person named as the provider, must have the individual complete the 15-hour health and safety classroom training before becoming the provider. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Assistants, substitutes, and volunteers who have the potential for regular and substantial contact with children in care of family day care and group family day care homes must obtain health and safety training, either pre-service or during a three-month orientation period, or by September 30, 2017, whichever is later. Any assistant or substitute who does not complete this training by the required date must not be left unsupervised with children in care until such time as the training has been completed. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Directors, teachers, and volunteers with the potential for regular and substantial contact with children in care of school-age child care programs and day care centers may obtain the federally required training, either pre-service or during a three-month orientation period, or by September 30, 2017, whichever is later. Directors and teachers located in school-age child care programs and day care centers who have not completed the training by September 30, 2017 must not be left unsupervised with children in care until after such individuals have completed the training. Failure to obtain the training by the required date may result in regulatory violations, and potential enforcement action against the child care program.

Those legally-exempt informal child caregivers who are required to complete the training, must do so pre-service or by September 30, 2017, whichever is later. Failure to complete the training by the required date will result in termination of the caregiver’s enrollment. Individuals associated with legally-exempt group child care programs who are required to complete the training, must do so pre-service or by September 30, 2017, whichever is later. Individuals at legally-exempt group child care programs who do not complete the training by the required date must not have unsupervised contact with children in care. Failure to complete the training by the required date may result in termination of the legally-exempt group child care program’s enrollment.

3. Costs:

The implementation of emergency and proposed regulations may result in costs to child care programs. The Office plans to offer a training, at no cost to programs, that will satisfy the federal requirement for pre-service health and safety training. For those that use the Office training course to satisfy this requirement, the costs will be minimal.

4. Minimizing adverse impact:

To minimize the impact of the regulations on child care programs, the Office is funding the development of an on-line training course that will meet the federal requirements. The training course is constructed in modular sessions and takes into consideration the time constraints on the child care program and the individual. The training course is anticipated to be available on the effective date of the emergency and proposed regulations and will be available at no cost to the participants.

5. Rural area participation:

In the development of the 2016-2018 Child Care and Development Fund Plan, the Office held three regional public hearings, in which the federal training requirements were presented to child care providers and local social services districts. The Office held a statewide webinar for child care providers that outlined these and other changes. The draft 2016-2018 Child Care and Development Fund Plan was posted on the Office website. Child day care providers, local governments, and the public made comments on the proposed 2016-2018 Child Care and Development Fund Plan.

The emergency and proposed regulations are not expected to have a negative impact on jobs or employment in either the public or private sector.

Nature of Impact:

The Office does not expect any reduction to the number of employees at family day care homes, group family day care homes, day care centers, school age child care programs, or legally-exempt child care programs based on the regulations.

Categories and Numbers Affected:

There are no changes in categories or numbers.

Regions of Adverse Impact:

There are no regions where the regulations would have a disproportionate adverse impact on jobs or employment opportunities.

Self-Employment Opportunities:

No measureable impact on opportunities for self-employment is expected.