Licensing Standards for DayCare Centers

Section 418.4
Management and Administration

(a) Small day care centers are subject to and must meet the requirements set forth in sections 418.1, 418.2, 418.3, 418.4, 418.5, 418.6, 418.8, 418.12, 418.13, 418.14 and 418.18 of this Part.

(b) Small day care centers are subject to and must meet the requirements set forth in sections 417.7, 417.9, 417.10, 417.11, 417.15, 417.16 and 417.17 of this Title.

(c) Child day care centers and small day care centers must comply with the following standards:

(1) Each child day care center must obtain a license from the department and must operate in compliance with the regulations of the department and all other applicable laws and regulations;

(2) Each small day care center must register with the department and must operate in compliance with the regulations of the department and -all other applicable laws and regulations;

(3) No person or entity may operate a child day care center without a license from the department and no person or entity may operate a small day care center unless registered with the department;

(4) Providers who have registered with the department must provide proof of registration upon request;

(5) Providers who have been issued a license by the department must openly display such license in the center for which it was issued;

(6) An application for a license or registration to provide child day care in a day care center must be made to the department in the manner prescribed and on forms furnished by the department. Each applicant for a license or registration who is an individual, sole proprietor or an individual partner must also complete and submit with the application the form which is necessary for the department to inquire whether such person is the subject of an indicated report of child abuse or maltreatment on file with the State Central Register of Child Abuse and Maltreatment. The center must include in its personnel policies a procedure for obtaining such forms and making such inquiries for any applicant for employment;

(7) Each applicant must provide the department with a sworn statement by the applicant indicating whether, to the best of the applicant's knowledge, the applicant has ever been convicted of a misdemeanor or felony in New York State or any other jurisdiction. The applicant must obtain such a sworn statement from any applicant for employment or to be a volunteer. The center must include in its personnel policies a procedure for obtaining such information from any applicant for employment or to be a volunteer as a pre-condition for employment of all future employees or use of volunteers;

(8) A new application for a license or registration must be submitted to the department when there is a change of name, address or operator, when reinstatement of a withdrawn application is sought, or when a license or registration is sought following the department's revocation of or refusal to renew a license or registration;

(9) The provisions specified on the license or small day care center registration are binding and the day care center must operate in compliance with the terms of the license or small day care center registration. The number and age range of children specified thereon are the maximum number and age range of children who may be in the care of the child day care center or small day care center at any one time;

(10) Current and accurate records must be kept and maintained on forms furnished by the department or an approved equivalent and must be readily accessible to the department and provider. Such records include but are not limited to: the name, address, gender, and date of birth of each child; parents' names, addresses, telephone numbers and place or places at which parents or other persons responsible for the child can be reached in case of an emergency; the names and addresses of persons authorized to take child(ren) from the day care center; daily attendance records; copies of the written policy statement which was signed by the parent or caretaker relative; health records, including evidence of health examinations and immunizations, the name and dosage of any medications used by a child and the frequency of administration of such medications, and a record of illnesses, injuries and any indicators of child abuse; parent's agreement forms regarding consent for emergency medical treatment, fees, field trips and responsibility for children enroute to and from the center; State Central Register clearance forms; staff resumes; and a list of all staff and volunteers showing their titles, work assignments and work schedules;

(11) Information relating to an individual child is confidential and cannot be disclosed to anyone other than the department, its designees or a social services district unless a parent of the child has granted written permission for such disclosure.

(12) A child day care center or small day care center may not refuse to admit a child to the program solely because the child has been diagnosed as having human immunodeficiency virus (HIV), HIV-related illness or acquired immune deficiency syndrome (AIDS);

(13) Redisclosure of confidential HIV-related information, as defined in section 360.8.1 of this Title, concerning a child receiving child day care is not permitted except in a manner consistent with article 27-F of the Public Health Law;

(14) A child day care center or small day care center must not discriminate on the basis of race, color, gender, religion or national origin;

(15) A child day care center or small day care center must give the parent(s), at the time of admission of a child, a written policy statement including, but not limited to, the responsibilities of the program, the responsibilities of the parent(s), the policies of the day care center regarding admission, actions the day care center will take in the event the child is not picked up as scheduled, food service arrangements and the program activities to be provided;

(16) The parent of any child receiving child day care must have: unlimited and on demand access to such child; the right to inspect on demand at any time during the hours of operation of the day care center all parts of the building used for child day care or which could present a hazard to the health or safety of the child; unlimited and on demand access to the provider whenever such child is in care or during the normal hours of operation; and unlimited and on demand access to written records concerning such child except where access to such records is otherwise restricted by law;

(17) In addition to the other legal requirements which apply to the operation of a not-for-profit corporation, the governing board of a not-for-profit corporation which operates a child day care center or small day care center and each member of that board will be responsible for:

(i)

(a) assuring that none of its members is currently a paid employee of the program, unless prior approval has been given by the department; and

(b) filing with the department the names, home and work addresses and home and work telephone numbers of the current board members and principal officers and, where the program is incorporated, each such individual's experience related to philanthropic and community affairs.

(ii) Requests to have one or more paid employees of the center serve as board members must be made in writing to the department. A justification showing a reasonable need for paid employees of the program to serve on the board must be included in such request. In determining whether to approve a paid employee of the center as a board member, the department will apply the following criteria:

(a) the total number of board members must be at least seven;

(b) no more than one-seventh of the board members (rounded down) may be paid employees of the center;

(c) the paid employees of the center may not be considered in determining whether the board has a quorum for conducting business;

(d) the paid employees of the center must be prohibited from voting on matters before the board directly affecting their own compensation or benefits; and

(e) the director, executive director or other chief administrative officer of the center may not serve on the board except as a non-voting member;

(18) Day care centers must make available to the parents of children enrolled in the center, the following:

(i) the department's day care center regulations;

(ii) the name(s), addresses and telephone numbers of person(s) with the legal responsibility and administrative authority for the operation of the day care center; and

(iii) the address and telephone number of the appropriate regional office of the department which may be contacted to lodge a complaint against the center for violations of statutory and regulatory requirements;

(19) Day care centers must post or display conspicuously in a place to which parents have free and daily access the department's regulations which apply to child day care centers or small day care centers, as appropriate;

(20) Day care centers must admit inspectors and other representatives of the department onto the grounds and premises at any time during the hours of operation of the center. Such inspectors and representatives must be given free access to the building or buildings used by the center, staff and children and any records of the center;

(21) Day care centers must comply with all applicable State and federal laws relating to equal employment opportunities;

(22) The child day care center or small day care center must report to the department: any change to the building in which the program is located; any change of director or other person responsible for developing, directing and supervising the daily activity program for children, any change of the health status of any staff member; and any other change in the operation of the program that would place the program out of compliance with the regulations applicable to the program;

(23) All staff of the child day care center or small day care center must be familiar with the regulations governing such programs. Such regulations must be readily accessible to staff for reference purposes;

(24) The provider must immediately notify the department upon learning of the death of a child enrolled in a child day care center or small day care center where the death occurred while the child was in care at the center or was being transported by the provider;

(25) A child day care center or small day care center may not refuse to admit a disabled child who otherwise is eligible for admission if a space is available, the child could benefit from participation in the program and reasonable modifications can be made in the premises and/or program to accommodate the child. Each disabled child must be evaluated by the provider to determine if the child could be accomodated in the program if reasonable modifications are made to the premises and/or program. Nothing contained in this paragraph shall be deemed to require the provider to incur significant additional expenses to modify the premises and/or program to accomodate such a child; and

(26) Parents must be given the opportunity to discuss issues related to their children and care of their children with an appropriate staff member or members. Such opportunities must occur at the time the child enters care and at least once every six months thereafter.

(1) No license or registration will be issued unless the provider is in full compliance with the regulations of the department and all other applicable laws and regulations except where a waiver of one or more requirements of this Part has been approved in writing by the department in accordance with section 418.18 of this Part;

(2) Small day care center providers holding as of October 22, 1991, a valid operating permit issued by the department will be deemed to be registered until the expiration date of the current permit. Such providers will not be required to apply to the department for initial registration but may apply for renewal of registration as described in section 418.3 of this Part;

(3) The effective period of the initial license and any subsequent licenses will be up to two years each so long as the provider remains in compliance with applicable laws and regulations during such periods. The effective period of the initial registration will be up to one year and the effective period of subsequent registrations will be up to two years so long as the provider remains in compliance with applicable laws and regulations during such periods;

(4) A license or registration is not transferable to any other provider or location;

(5) Day care centers required to be licensed or registered with the department will not be exempt from this requirement through licensing or registration with another State agency or certification, registration or licensure by any local governmental agency or authorized agency;

(6) Any child day care provider not required to be licensed or registered may register with the department voluntarily; and

(7) Before denial or rejection of an application for a license or registration or renewal of a license or registration, the provider is entitled to a hearing before the department pursuant to section 418.18 of this Part.

(1) a copy of the evacuation plan showing alternate means of egress, as required in section 418.12 of this Part or section 417.12 of this Title, as appropriate;

(2) a health care plan on forms furnished by the department, as required in section 418.9 of this Part or section 417.9 of this Title, as appropriate;

(3) copies of health records of each employee;

(4) a description of specific procedures which will assure the safety of a child who is reported to the State Central Register of Child Abuse and Maltreatment as well as other children provided care in the day care center;

(5) a description of the procedure to be used to review and evaluate the background information supplied by applicants for employment and volunteer positions, as required in section 418.14 of this Part;

(6) copies of the day care center's personnel policies and practices, except where such provider is a small day care center;

(7) a description of the pattern of supervision of staff by the director or responsible person and procedures to assure adequate and appropriate supervision of employees and volunteers of the program as described in sections 418.14 and 418.15 of this Part;

(8) a description of policies and practices regarding appropriate supervision of children in conformance with section 418.15 of this Part;

(9) a list of all staff with job assignments and schedules and a resume for each employee;

(l0) a description of the schedule and content of training as required in section 418.16 of this Part or section 417.16 of this Title, as appropriate, including use of both in-service training and outside training resources;

(11) copies of four weeks of current menus for snacks and meals, as required in section 418.10 of this Part, reviewed and signed by a person qualified in nutrition; .

(12) a description of food service arrangements if meals are not prepared at the center;

(13) a sample copy of all forms used in the day care center;

(14) a copy of a certificate of insurance from an insurance company showing the intent to provide general liability insurance to the day care center upon licensure or registration and a copy of the insurance policy;

(15) a copy of the latest self-assessment, as required in section 418.11 of this Part, except where such provider is a small day care center;

(16) copies of the written policy statement signed by a parent of each child in care;

(17) when the child day care center or small day care center is incorporated, the following additional documentation:

(i) a copy of the certificate of incorporation;

(ii) verification of filing of the certificate of incorporation with the Secretary of State; and

(iii) a current list of the names of the board of directors and their addresses, telephone numbers of the current principal officers and members, and the business and civic qualifications of all such individuals; and

(18) when the child day care center or small day care center is owned an individual, corporation, partnership or other entity using a busing or assumed name, a copy of the certificate of doing business under an assumed name obtained from the county clerk.

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