45 C.F.R. §§ 98.41–98.44

4 sections in range

§98.41. Health and safety requirements.

45 C.F.R. § 98.41

(a)

Each Lead Agency shall certify that there are in effect, within the State (or other area served by the Lead Agency), under State, local or tribal law, requirements (appropriate to provider setting and age of children served) that are designed, implemented, and enforced to protect the health and safety of children. Such requirements must be applicable to child care providers of services for which assistance is provided under this part. Such requirements, which are subject to monitoring pursuant to § 98.42, shall:

(1)

Include health and safety topics consisting of, at a minimum—

(i)

The prevention and control of infectious diseases (including immunizations); with respect to immunizations, the following provisions apply:

(A)

As part of their health and safety provisions in this area, Lead Agencies shall assure that children receiving services under the CCDF are age-appropriately immunized. Those health and safety provisions shall incorporate (by reference or otherwise) the latest recommendation for childhood immunizations of the respective State, territorial, or tribal public health agency.

(B)

Notwithstanding this paragraph (a)(1)(i), Lead Agencies may exempt:

(1) Children who are cared for by relatives (defined as grandparents, great grandparents, siblings (if living in a separate residence), aunts, and uncles), provided there are no other unrelated children who are cared for in the same setting.

(2) Children who receive care in their own homes, provided there are no other unrelated children who are cared for in the home.

(3) Children whose parents object to immunization on religious grounds.

(4) Children whose medical condition contraindicates immunization.

(C)

Lead Agencies shall establish a grace period that allows children experiencing homelessness and children in foster care to receive services under this part while providing their families (including foster families) a reasonable time to take any necessary action to comply with immunization and other health and safety requirements.

(1) The length of such grace period shall be established in consultation with the State, Territorial or Tribal health agency.

(2) Any payment for such child during the grace period shall not be considered an error or improper payment under subpart K of this part.

(3) The Lead Agency may also, at its option, establish grace periods for other children who are not experiencing homelessness or in foster care.

(4) Lead Agencies must coordinate with licensing agencies and other relevant State, Territorial, Tribal, and local agencies to provide referrals and support to help families of children receiving services during a grace period comply with immunization and other health and safety requirements;

(ii)

Prevention of sudden infant death syndrome and use of safe sleeping practices;

(iii)

Administration of medication, consistent with standards for parental consent;

(iv)

Prevention and response to emergencies due to food and allergic reactions;

(v)

Building and physical premises safety, including identification of and protection from hazards, bodies of water, and vehicular traffic;

(vi)

Prevention of shaken baby syndrome, abusive head trauma, and child maltreatment;

(vii)

Emergency preparedness and response planning for emergencies resulting from a natural disaster, or a man-caused event (such as violence at a child care facility), within the meaning of those terms under section 602(a)(1) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195a(a)(1)) that shall include procedures for evacuation, relocation, shelter-in-place and lock down, staff and volunteer emergency preparedness training and practice drills, communication and reunification with families, continuity of operations, and accommodation of infants and toddlers, children with disabilities, and children with chronic medical conditions;

(viii)

Handling and storage of hazardous materials and the appropriate disposal of biocontaminants;

(ix)

Appropriate precautions in transporting children, if applicable;

(x)

Pediatric first aid and cardiopulmonary resuscitation;

(xi)

Recognition and reporting of child abuse and neglect, in accordance with the requirement in paragraph (e) of this section; and

(xii)

May include requirements relating to—

(A)

Nutrition (including age-appropriate feeding);

(B)

Access to physical activity;

(C)

Caring for children with special needs; or

(D)

Any other subject area determined by the Lead Agency to be necessary to promote child development or to protect children's health and safety.

(2)

Include minimum health and safety training on the topics above, as described in § 98.44.

(b)

Lead Agencies may not set health and safety standards and requirements other than those required in paragraph (a) of this section that are inconsistent with the parental choice safeguards in § 98.30(f).

(c)

The requirements in paragraph (a) of this section shall apply to all providers of child care services for which assistance is provided under this part, within the area served by the Lead Agency, except the relatives specified at § 98.42(c).

(d)

Lead Agencies shall describe in the Plan standards for child care services for which assistance is provided under this part, appropriate to strengthening the adult and child relationship in the type of child care setting involved, to provide for the safety and developmental needs of the children served, that address:

(1)

Group size limits for specific age populations;

(2)

The appropriate ratio between the number of children and the number of caregivers, in terms of age of children in child care; and

(3)

Required qualifications for caregivers in child care settings as described at § 98.44(a)(4).

(e)

Lead Agencies shall certify that caregivers, teachers, and directors of child care providers within the State or service area will comply with the State's, Territory's, or Tribe's child abuse reporting requirements as required by section 106(b)(2)(B)(i) of the Child Abuse and Prevention and Treatment Act (42 U.S.C. 5106a(b)(2)(B)(i)) or other child abuse reporting procedures and laws in the service area.

Notes, amendments, and revision history

Amendments

[81 FR 67582, Sept. 30, 2016]

Authority

Authority: 42 U.S.C. 618, 9857 et seq.

Source

Source: 63 FR 39981, July 24, 1998, unless otherwise noted.

Amendments

[81 FR 67582, Sept. 30, 2016]

§98.42. Enforcement of licensing and health and safety requirements.

45 C.F.R. § 98.42

(a)

Each Lead Agency shall certify in the Plan that procedures are in effect to ensure that child care providers of services for which assistance is made available in accordance with this part, within the area served by the Lead Agency, comply with all applicable State, local, or tribal health and safety requirements, including those described in § 98.41.

(b)

Each Lead Agency shall certify in the Plan it has monitoring policies and practices applicable to all child care providers and facilities eligible to deliver services for which assistance is provided under this part. The Lead Agency shall:

(1)

Ensure individuals who are hired as licensing inspectors are qualified to inspect those child care providers and facilities and have received training in related health and safety requirements appropriate to provider setting and age of children served. Training shall include, but is not limited to, those requirements described in § 98.41, and all aspects of the State, Territory, or Tribe's licensure requirements;

(2)

Require inspections of child care providers and facilities, performed by licensing inspectors (or qualified inspectors designated by the Lead Agency), as specified below:

(i)

For licensed child care providers and facilities,

(A)

Not less than one pre-licensure inspection for compliance with health, safety, and fire standards, and

(B)

Not less than annually, an unannounced inspection for compliance with all child care licensing standards, which shall include an inspection for compliance with health and safety, (including, but not limited to, those requirements described in § 98.41) and fire standards (inspectors may inspect for compliance with all three standards at the same time); and

(ii)

For license-exempt child care providers and facilities that are eligible to provide services for which assistance is made available in accordance with this part, an annual inspection for compliance with health and safety (including, but not limited to, those requirements described in § 98.41), and fire standards;

(iii)

Coordinate, to the extent practicable, monitoring efforts with other Federal, State, and local agencies that conduct similar inspections.

(iv)

The Lead Agency may, at its option—

(A)

Use differential monitoring or a risk-based approach to design annual inspections, provided that the contents covered during each monitoring visit is representative of the full complement of health and safety requirements;

(B)

Develop alternate monitoring requirements for care provided in the child's home that are appropriate to the setting; and

(3)

Ensure the ratio of licensing inspectors to such child care providers and facilities is maintained at a level sufficient to enable the State, Territory, or Tribe to conduct effective inspections on a timely basis in accordance with the applicable Federal, State, Territory, Tribal, and local law;

(4)

Require child care providers to report to a designated State, Territorial, or Tribal entity any serious injuries or deaths of children occurring in child care.

(c)

For the purposes of this section and § 98.41, Lead Agencies may exclude grandparents, great grandparents, siblings (if such providers live in a separate residence), aunts, or uncles, from the term “child care providers.” If the Lead Agency chooses to exclude these providers, the Lead Agency shall provide a description and justification in the CCDF Plan, pursuant to § 98.16(l), of requirements, if any, that apply to these providers.

Notes, amendments, and revision history

Amendments

[81 FR 67583, Sept. 30, 2016]

Authority

Authority: 42 U.S.C. 618, 9857 et seq.

Source

Source: 63 FR 39981, July 24, 1998, unless otherwise noted.

Amendments

[81 FR 67583, Sept. 30, 2016]

§98.43. Criminal background checks.

45 C.F.R. § 98.43

(a)

(1)

States, Territories, and Tribes, through coordination of the Lead agency with other State, territorial, and tribal agencies, shall have in effect:

(i)

Requirements, policies, and procedures to require and conduct background checks, and make a determination of eligibility for child care staff members (including prospective child care staff members) of all licensed, regulated, or registered child care providers and all child care providers eligible to deliver services for which assistance is provided under this part as described in paragraph (a)(2) of this section;

(ii)

Licensing, regulation, and registration requirements, as applicable, that prohibit the employment of child care staff members as described in paragraph (c) of this section; and

(iii)

Requirements, policies, and procedures in place to respond as expeditiously as possible to other States', Territories', and Tribes' requests for background check results in order to accommodate the 45 day timeframe required in paragraph (e)(1) of this section.

(2)

In this section—

(i)

Child care provider means a center based child care provider, a family child care provider, or another provider of child care services for compensation and on a regular basis that:

(A)

Is not an individual who is related to all children for whom child care services are provided; and

(B)

Is licensed, regulated, or registered under State law or eligible to receive assistance provided under this subchapter; and

(ii)

Child care staff member means an individual (other than an individual who is related to all children for whom child care services are provided):

(A)

Who is employed by a child care provider for compensation, including contract employees or self-employed individuals;

(B)

Whose activities involve the care or supervision of children for a child care provider or unsupervised access to children who are cared for or supervised by a child care provider; or

(C)

Any individual residing in a family child care home who is age 18 and older.

(b)

A criminal background check for a child care staff member under paragraph (a) of this section shall include:

(1)

A Federal Bureau of Investigation fingerprint check using Next Generation Identification;

(2)

A search of the National Crime Information Center's National Sex Offender Registry; and

(3)

A search of the following registries, repositories, or databases in the State where the child care staff member resides and each State where such staff member resided during the preceding five years:

(i)

State criminal registry or repository, with the use of fingerprints being—

(A)

Required in the State where the staff member resides;

(B)

Optional in other States;

(ii)

State sex offender registry or repository; and

(iii)

State-based child abuse and neglect registry and database.

(c)

(1)

The State, Territory, or Tribe in coordination with the Lead Agency shall find a child care staff member ineligible for employment for services for which assistance is made available in accordance with this part, if such individual:

(i)

Refuses to consent to the criminal background check described in paragraph (b) of this section;

(ii)

Knowingly makes a materially false statement in connection with such criminal background check;

(iii)

Is registered, or is required to be registered, on a State sex offender registry or repository or the National Sex Offender Registry; or

(iv)

Has been convicted of a felony consisting of—

(A)

Murder, as described in section 1111 of title 18, United States Code;

(B)

Child abuse or neglect;

(C)

A crime against children, including child pornography;

(D)

Spousal abuse;

(E)

A crime involving rape or sexual assault;

(F)

Kidnapping;

(G)

Arson;

(H)

Physical assault or battery; or

(I)

Subject to paragraph (e)(4) of this section, a drug-related offense committed during the preceding 5 years; or

(v)

Has been convicted of a violent misdemeanor committed as an adult against a child, including the following crimes: child abuse, child endangerment, and sexual assault, or of any misdemeanor involving child pornography.

(2)

A child care provider described in paragraph (a)(2)(i) of this section shall be ineligible for assistance provided in accordance with this subchapter if the provider employs a staff member who is ineligible for employment under paragraph (c)(1) of this section.

(d)

(1)

A child care provider covered by paragraph (a)(2)(i) of this section shall submit a request, to the appropriate State, Territorial, or Tribal agency, defined clearly on the State or Territory Web site described in paragraph (g) of this section, for a criminal background check described in paragraph (b) of this section, for each child care staff member (including prospective child care staff members) of the provider.

(2)

Subject to paragraph (d)(3) of this section, the provider shall submit such a request:

(i)

Prior to the date an individual becomes a child care staff member of the provider; and

(ii)

Not less than once during each 5-year period for any existing staff member.

(3)

A child care provider shall not be required to submit a request under paragraph (d)(2) of this section for a child care staff member if:

(i)

The staff member received qualifying results from a background check described in paragraph (b) of this section;

(A)

Within 5 years before the latest date on which such a submission may be made; and

(B)

While employed by or seeking employment by another child care provider within the State;

(ii)

The State provided to the first provider a qualifying background check result, consistent with this subchapter, for the staff member; and

(iii)

The staff member is employed by a child care provider within the State, or has been separated from employment from a child care provider within the State for a period of not more than 180 consecutive days.

(4)

A prospective staff member may begin work for a child care provider described in paragraph (a)(2)(i) of this section after receiving qualifying results for either the check described at paragraph (b)(1) or (b)(3)(i) of this section in the State where the prospective staff member resides. Pending completion of all background check components in paragraph (b) of this section, the staff member must be supervised at all times by an individual who received a qualifying result on a background check described in paragraph (b) of this section within the past five years.

(e)

Background check results.

(1)

The State, Territory, or Tribe shall carry out the request of a child care provider for a criminal background check as expeditiously as possible, but not to exceed 45 days after the date on which the provider submitted the request, and shall provide the results of the criminal background check to such provider and to the current or prospective staff member.

(2)

States, Territories, and Tribes shall ensure the privacy of background check results by:

(i)

Providing the results of the criminal background check to the provider in a statement that indicates whether a child care staff member (including a prospective child care staff member) is eligible or ineligible for employment described in paragraph (c)(1) of this section, without revealing any disqualifying crime or other related information regarding the individual.

(ii)

If the child care staff member is ineligible for such employment due to the background check, the State, Territory, or Tribe will, when providing the results of the background check, include information related to each disqualifying crime, in a report to the staff member or prospective staff member, along with information on the opportunity to appeal, described in paragraph (e)(3) of this section.

(iii)

No State, Territory, or Tribe shall publicly release or share the results of individual background checks, except States and Tribes may release aggregated data by crime as listed under paragraph (c)(1)(iv) of this section from background check results, as long as such data is not personally identifiable information.

(3)

States, Territories, and Tribes shall provide for a process by which a child care staff member (including a prospective child care staff member) may appeal the results of a criminal background check conducted under this section to challenge the accuracy or completeness of the information contained in such member's criminal background report. The State, Territory, and Tribe shall ensure that:

(i)

Each child care staff member is given notice of the opportunity to appeal;

(ii)

A child care staff member will receive clear instructions about how to complete the appeals process if the child care staff member wishes to challenge the accuracy or completeness of the information contained in such member's criminal background report;

(iii)

If the staff member files an appeal, the State, Territory, or Tribe will attempt to verify the accuracy of the information challenged by the child care staff member, including making an effort to locate any missing disposition information related to the disqualifying crime;

(iv)

The appeals process is completed in a timely manner for each child care staff member; and

(v)

Each child care staff member shall receive written notice of the decision. In the case of a negative determination, the decision should indicate the State's efforts to verify the accuracy of information challenged by the child care staff member, as well as any additional appeals rights available to the child care staff member.

(4)

States, Territories, and Tribes may allow for a review process through which the State, Territory, or Tribe may determine that a child care staff member (including a prospective child care staff member) disqualified for a crime specified in paragraph (c)(1)(iv)(I) of this section is eligible for employment described in paragraph (c)(1) of this section, notwithstanding paragraph (c)(2) of this section. The review process shall be consistent with title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.);

(5)

Nothing in this section shall be construed to create a private right of action if a provider has acted in accordance with this section.

(f)

Fees for background checks. Fees that a State, Territory, or Tribe may charge for the costs of processing applications and administering a criminal background check as required by this section shall not exceed the actual costs for the processing and administration.

(g)

Transparency. The State or Territory must ensure that its policies and procedures under this section, including the process by which a child care provider or other State or Territory may submit a background check request, are published in the Web site of the State or Territory as described in § 98.33(a) and the Web site of local lead agencies.

(h)

Disqualification for other crimes.

(1)

Nothing in this section shall be construed to prevent a State, Territory, or Tribe from disqualifying individuals as child care staff members based on their conviction for crimes not specifically listed in paragraph (c)(1) of this section that bear upon the fitness of an individual to provide care for and have responsibility for the safety and well-being of children.

(2)

Nothing in this section shall be construed to alter or otherwise affect the rights and remedies provided for child care staff members or prospective staff members residing in a State that disqualifies individuals as child care staff members for crimes not specifically provided for under this section.

Notes, amendments, and revision history

Amendments

[81 FR 67584, Sept. 30, 2016, as amended at 89 FR 15414, Mar. 1, 2024]

Authority

Authority: 42 U.S.C. 618, 9857 et seq.

Source

Source: 63 FR 39981, July 24, 1998, unless otherwise noted.

Amendments

[81 FR 67584, Sept. 30, 2016, as amended at 89 FR 15414, Mar. 1, 2024]

§98.44. Training and professional development.

45 C.F.R. § 98.44

(a)

The Lead Agency must describe in the Plan the State or Territory framework for training, professional development, and postsecondary education for caregivers, teachers, and directors, including those working in school-age care, that:

(1)

Is developed in consultation with the State Advisory Council on Early Childhood Education and Care (designated or established pursuant to section 642B(b)(1)(A)(i) of the Head Start Act (42 U.S.C. 9837b(b)(1)(A)(i))) or similar coordinating body;

(2)

May engage training and professional development providers, including higher education in aligning training and education opportunities with the State's framework;

(3)

Addresses professional standards and competencies, career pathways, advisory structure, articulation, and workforce information and financing;

(4)

Establishes qualifications in accordance with § 98.41(d)(3) designed to enable child care and school-age care providers that provide services for which assistance is provided in accordance with this part to promote the social, emotional, physical, and cognitive development of children and improve the knowledge and skills of caregivers, teachers and directors in working with children and their families;

(5)

Includes professional development conducted on an ongoing basis, providing a progression of professional development (which may include encouraging the pursuit of postsecondary education);

(6)

Reflects current research and best practices relating to the skills necessary for caregivers, teachers, and directors to meet the developmental needs of participating children and engage families, including culturally and linguistically appropriate practices; and

(7)

Improves the quality, diversity, stability, and retention (including financial incentives and compensation improvements) of caregivers, teachers, and directors.

(b)

The Lead Agency must describe in the Plan its established requirements for pre-service or orientation (to be completed within three months) and ongoing professional development for caregivers, teachers, and directors of child care providers of services for which assistance is provided under the CCDF that, to the extent practicable, align with the State framework:

(1)

Accessible pre-service or orientation training in health and safety standards appropriate to the setting and age of children served that addresses:

(i)

Each of the requirements relating to matters described in § 98.41(a)(1)(i) through (xi) and specifying critical health and safety training that must be completed before caregivers, teachers, and directors are allowed to care for children unsupervised;

(ii)

At the Lead Agency option, matters described in § 98.41(a)(1)(xii); and

(iii)

Child development, including the major domains (cognitive, social, emotional, physical development and approaches to learning);

(2)

Ongoing, accessible professional development, aligned to a progression of professional development, including the minimum annual requirement for hours of training and professional development for eligible caregivers, teachers and directors, appropriate to the setting and age of children served, that:

(i)

Maintains and updates health and safety training standards described in § 98.41(a)(1)(i) through (xi), and at the Lead Agency option, in § 98.41(a)(1)(xii);

(ii)

Incorporates knowledge and application of the State's early learning and developmental guidelines for children birth to kindergarten (where applicable);

(iii)

Incorporates social-emotional behavior intervention models for children birth through school-age, which may include positive behavior intervention and support models including preventing and reducing expulsions and suspensions of preschool-aged and school-aged children;

(iv)

To the extent practicable, are appropriate for a population of children that includes—

(A)

Different age groups;

(B)

English learners;

(C)

Children with developmental delays and disabilities; and

(D)

Native Americans, including Indians, as the term is defined in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450b) (including Alaska Natives within the meaning of that term), and Native Hawaiians (as defined in section 6207 of the Elementary and Secondary Education Act of 1965);

(v)

To the extent practicable, awards continuing education units or is credit-bearing; and

(vi)

Shall be accessible to caregivers, teachers, and directors supported through Indian tribes or tribal organizations that receive assistance under this subchapter.

Notes, amendments, and revision history

Amendments

[81 FR 67585, Sept. 30, 2016]

Authority

Authority: 42 U.S.C. 618, 9857 et seq.

Source

Source: 63 FR 39981, July 24, 1998, unless otherwise noted.

Amendments

[81 FR 67585, Sept. 30, 2016]

45 C.F.R. §§ 98.41–98.44

§98.41. Health and safety requirements.

Amendments

Authority

Source

Amendments

§98.42. Enforcement of licensing and health and safety requirements.

Amendments

Authority

Source

Amendments

§98.43. Criminal background checks.

Amendments

Authority

Source

Amendments

§98.44. Training and professional development.

Amendments

Authority

Source

Amendments

Cite this provision

Incoming references