New York Codes, Rules and Regulations
Title 18 - DEPARTMENT OF SOCIAL SERVICES
Chapter II - Regulations of the Department of Social Services
Subchapter C - Social Services
Article 2 - Family and Children's Services
Part 417 - Family Day Care Homes
Section 417.15 - Management and administration

Universal Citation: 18 NY Comp Codes Rules and Regs ยง 417.15

Current through Register Vol. 46, No. 39, September 25, 2024

(a) General registration requirements.

(1) Obtain a registration and operate in compliance with applicable laws and regulations.
(i) Each family day care home must obtain a registration from the office. No person or entity may operate a family day care home without a registration from the office.

(ii) Each family day care home must operate in compliance with the regulations of the office and all other applicable laws and regulations.

(iii) Each family day care home must operate in compliance with all emergency health guidance promulgated by the Department of Health in the interest of public health during a designated public health emergency. Provided that, during a designated public health emergency, any relevant emergency directives from the executive chamber or from the Department of Health shall supersede regulations of the Office in the case of any conflict.

(2) Each family day care home which has been issued a registration by the office must openly display such registration and all waivers, limitations and restrictions in the home for which it was issued.
(i) The program must post or display conspicuously in a place to which parents have free and daily access, a copy of the most recent compliance history report immediately after it is issued to the program by the office.

(3) A new application for a registration must be submitted to the office when there is a change in the address, or change in the provider of an entity-owned child care program, or when a registration is sought following the office's revocation of, or denial of a registration.

(4) Under no circumstances will a family day care registrant or group family day dare licensee be permitted to hold more than one family day care registration or group family day care license simultaneously. However, nothing contained herein shall prohibit the continued operations of programs already licensed or registered prior to the effective date of these regulations, unless the license or registration of the home is revoked, terminated or suspended pursuant to the procedures set forth in Part 413.3 of this Article.

(5) When the family child day care registrant is an individual, that person must be the provider, as defined in Part 413.2(c)(12). However, nothing contained herein shall prohibit the continued operation of programs already licensed or registered, where a person other than the registrant has been named as the provider, where the program was licensed or registered prior to the effective date of these regulations, unless the license or registration of the home is revoked, terminated or suspended pursuant to the procedures set forth in Part 413.3 of this Article.

(6) When the family child care registrant is an entity other than an individual, the person named as the provider, as defined in Part 413.2(c)(12) of this Title, must be a person with a business interest as defined in section 413.2 of at least 51 percent share of ownership in the entity. However, nothing contained herein shall prohibit the continued operation of programs already licensed or registered prior to May 1, 2014, where a person other than a person with a business interest in the entity has been named as the provider, unless the license or registration of the home is revoked, terminated or suspended pursuant to the procedures set forth in Part 413.3 of this Title.

(7) Under no circumstances may there be more than one licensed or registered child day care program in any one dwelling unit in a personal residence. However, nothing contained herein shall prohibit the continued operation of more than one licensed or registered family or group family day care home in a personal residence where all such homes in the personal residence were licensed or registered prior to March 1, 2002, unless the license or registration of the home is revoked, terminated or suspended pursuant to the procedures set forth in Part 413.3 of this Article.

(8) In a personal residence where more than one licensed or registered family or group family day care home was located prior to March 1, 2002, the maximum capacity of all licensed and registered family and group family day care homes in the residence shall not under any circumstances exceed 20 children in total, including school-age children who receive care for only part of the day, and no individual group family day care home located in such a residence may have a maximum capacity of more than 10 children, including school-age children who receive care for only part of the day. Each such licensed and registered family and group family day care home must be operated as a separate facility and must have separate emergency exits sufficient to meet the requirements of section 416.4 of this Title or section 417.4 of this Part, as appropriate.

(9) The provisions specified on the registration are binding and the family day care home must operate in compliance with the terms of the 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 family day care home at any one time.

(10) No registration will be issued unless the registrant is in full compliance with the regulations of the office 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 office in accordance with section 413.6 of this Article.

(11) The effective period of the registration for a family day care home will be up to four years so long as the registrant remains in compliance with applicable laws and regulations during such periods.

(12) A registration is not transferable to any other person, entity or location.

(13) Family day care homes required to be registered with the office will not be exempt from this requirement through registration with another state agency or certification, registration or licensure by any local governmental agency or authorized agency; and

(14) Before denial of an application for registration or renewal of registration, the registrant is entitled to a hearing before the office pursuant to section 413.5 of this Article.

(b) General operation requirements.

(1) Individual children must be cared for less than 24 hours a day. No caregiver may work more than two consecutive shifts.

(2) The registrant must make a written request to the office before providing an additional shift of care beyond what was specified and approved in the initial application.

(3) The registrant cannot provide an additional shift of care until the changes have been approved in writing by the office.

(4) The caregivers, employees, volunteers and all members of the household must be in good health and be of good character and habits.

(5) Submission of fraudulent documents to the office or its representatives is prohibited.

(6) Confidentiality.
(i) Information relating to an individual child is confidential and cannot be disclosed without written parental permission to anyone other than the office, its designees or other persons authorized by law.

(ii) Information relating to an individual child may be disclosed to a social services district where the child receives a day care subsidy from the district, where the child has been named in a report of alleged child abuse or maltreatment, or as otherwise authorized by law.

(iii) Redisclosure of confidential HIV-related information, as defined in section 360-8.1 of this Title, concerning a child receiving family day care is not permitted except in a manner consistent with Article 27-F of the Public Health Law.

(7) A family day care home may not refuse to admit a child to the home solely because the child is a child with a developmental delay or disability or has been diagnosed as having human immunodeficiency virus (HIV), HIV-related illness or acquired immune deficiency syndrome (AIDS). Each such child must be evaluated by the program to determine whether the child could be accommodated in the program if reasonable modifications are made to the premises and/or program. Nothing contained in section 417.11 of this Part, shall be deemed to require the program to incur significant additional expenses to modify the premises and/or program to accommodate such a child.

(8) The parent of any child receiving family day care must have:
(i) unlimited and on demand access to such child;

(ii) the right to inspect all parts of the home used for child day care or which could present a hazard to the health or safety of the child whenever the parent requests at any time during the hours of operation of the home;

(iii) unlimited and on demand access to the caregivers whenever such child is in care or during the normal hours of operation; and

(iv) unlimited and on demand access to written records concerning such child except where access to such records is otherwise restricted by law.

(9) Electronic monitors and surveillance equipment.
(i) The parents of all children receiving care in a family day care home equipped with electronic monitoring devices or surveillance cameras installed for the purpose of allowing parents to view their children in the day care setting by means of the internet must be informed that cameras will be used for this purpose. All assistants and employees of the family day care home must also be informed if electronic monitoring devices or surveillance cameras will be used for this purpose.

(ii) All parents of children enrolled in the family day care home and all assistants and employees of the family day care home must be made aware of the locations of all electronic monitoring devices or surveillance cameras used at the family day care home.

(iii) Family day care homes opting to install and use electronic monitoring devices or surveillance cameras must comply with all State and federal laws applicable to the use of such equipment.

(iv) Electronic monitoring devices and surveillance cameras may not be used as a substitute for competent direct supervision of children.

(v) Electronic monitoring devices or surveillance cameras are permitted to transmit images of children in common rooms, hallways and play areas only. Bathrooms and changing areas must remain private and free of all electronic monitoring devices and surveillance cameras.

(vi) Family day care homes that use electronic monitoring devices or surveillance cameras must allow inspectors and other representatives of the office to have access to such equipment and to have viewing privileges as required by the office.

(vii) Parents of children, caregivers, employees and volunteers must be notified when electronic monitoring devices or surveillance cameras are used.

(viii) Family day care homes opting to allow parents to view their children in the day care setting by means of the internet or other electronic means must use and maintain adequate security measures at all times. Such measures include but are not limited to: frequent changes of passwords; filtering measures that prohibit public access to or viewing of day care activities via the internet or other electronic means; and immediate corrective action in response to any report of abuse of the system or inappropriate access. Family day care homes must also advise the parents having access to views of the day care home through the internet or other electronic means of the importance of security in regard to such viewing and of the importance of the privacy rights of other children who may be viewed.

(10) Inspectors, representatives of the office and Child Protective Services.
(i) A family day care home must admit inspectors and other representatives of the office onto the grounds and premises at any time during the hours of operation as documented with the office on the application for family day care. Such inspectors and representatives must be given free access to the building, the caregivers, employees and volunteers, the children and any program records.

(ii) A family day care home must cooperate with inspectors and other representatives of the office in regard to any inspections or investigations that are conducted by the office or its representatives.

(iii) A family day care home also must cooperate with local Child Protective Services staff conducting any investigation of alleged child abuse or maltreatment.

(iv) No provider, caregiver, employee, volunteer or household member may place or attempt to place an office representative, who is performing his/her role as such, in reasonable fear of physical injury.

(v) Any intentional display of physical or verbal force, which would give an office representative reason to fear or expect bodily harm, is prohibited.

(vi) Intentional and wrongful physical contact with an office representative is prohibited.

(11) In hiring caregivers subsequent to issuance of a registration, a program:
(i) must notify the office immediately in writing when there is any change of caregivers;

(ii) must submit to the office prior to the start date the name of any new caregiver and the supporting documentation needed to complete the approval process, including:
(a) the forms necessary for the office to inquire whether the applicant is the subject of an indicated report of child abuse or maltreatment on file with the Statewide Central Register of Child Abuse and Maltreatment;

(b) the forms necessary to check the register of substantiated category one cases of abuse or neglect maintained by the Justice Center for the Protection of Persons with Special Needs pursuant to section 495 of the Social Services Law;

(c) fingerprint images necessary for the office to conduct a criminal history review;

(d) a sworn statement indicating whether, to the best of the applicant's knowledge, he or she has ever been convicted of a misdemeanor or felony in New York State or any other jurisdiction; and

(e) two acceptable references;

(iii) must ensure that a medical statement has been submitted before the person has any involvement with children in care, as required in section 417.11 of this Part;

(iv) may, during the office's review of all documentation for any proposed caregiver, continue to operate a family day care home with any individual who is identified on the list required by paragraph (c)(12) of this section;

(v) may not leave the proposed caregiver in sole charge of, or unsupervised with, children until such time as the office approves the caregiver;

(vi) any change in email address for the provider or other designee when such change becomes effective; and

(vii) any change to contact information when such changes become effective.

(12) The family day care home must report to the office: any change affecting, or which reasonably might be expected to affect, those portions of the building and property in which the program is operating or which are used for the children's egress in the case of emergency; any change in household members; and any other change that would place the home out of compliance with applicable regulations.

(13) The caregivers, employees and volunteers must be familiar with the regulations governing family day care. Such regulations must be readily accessible to the caregivers for reference purposes and must be made available for review to a parent of a child in care upon request by a parent.

(14) The caregiver must immediately notify the parent and office upon learning of the following events involving a child which occurred while the child was in care at the program or was being transported by a caregiver:
(i) death;

(ii) serious incident;

(iii) serious injury;

(iv) serious condition;

(v) communicable disease; or

(vi) transportation to a hospital.

(15) Parents must be given the opportunity to discuss issues related to their children and care of their children with the caregivers. Such opportunities must occur at the time of enrollment of the child in the program and as frequently as needed thereafter, but at least annually.

(16) The indoor and outdoor areas of the home where the children are being cared for must not be used for any other business or social purpose or non-daycare activity when children are present, such that the attention of the caregivers is diverted from the care of the children.

(17) When a program proposes to care for a child under the age of six weeks, prior approval must be obtained from the office. In seeking such approval, the program must furnish, in writing, the following:
(i) identifying information related to the specific child who would receive care, including the parents name and address, and the child's name, gender and age;

(ii) the extenuating circumstance necessitating the care; and

(iii) a description of what the program will do to achieve consistency with the office's guidelines for the care of children under the age of six weeks.

(18) Fire and police notifications.
(i) Within five days after receiving the initial registration and before actually commencing operation, the program must, using a form specified by the office or an approved equivalent for that purpose, notify the local police and fire departments of the municipality within which the family day care home is located of the following:
(a) the address of the family day care home;

(b) the maximum capacity of the family day care home;

(c) the age range of children that will be in care; and

(d) the hours during which children will be in care.

(ii) If the local municipality does not have a police or fire department, the sheriff of the county within which the family day care home is located must be notified instead. The program must notify the local police and fire departments or the county sheriff, as appropriate, if there is any change in any of the information required to be provided pursuant to subparagraph (i) of this paragraph.

(19) Within five days of a household member turning 18 years of age or a person 18 years of age or older beginning to live in the residence, the program must:
(i) submit the State Central Register of Child Abuse And Maltreatment database check forms necessary to complete required screening by the Statewide Central Register of Child Abuse and Maltreatment to determine if the person is the subject of an indicated report of child abuse or maltreatment; and

(ii) submit the forms necessary to check the register of substantiated category one cases of abuse or neglect maintained by the Justice Center for the Protection of Persons with Special Needs pursuant to section 495 of the Social Services Law; and

(iii) submit the necessary fingerprint image necessary to complete the criminal history review required pursuant to section 413.4 of this Article.

(20) No person other than a caregiver may have unsupervised contact with a child in care at the program.

(21) All family day care homes that accept direct or indirect payments from a social services district or a payment from a parent or caretaker for providing subsidized child care must comply with all relevant requirements of the child care subsidy program and section 415.

(22) The program must give the parent, at the time of admission of the child, a written policy statement including but not limited to:
(i) the responsibilities of the program;

(ii) the responsibilities of the parent;

(iii) the policies of the program regarding admission and disenrollment policies;

(iv) how parents will be notified of accidents, serious incidents and injuries;

(v) the plan for behavior management;

(vi) the evacuation plan;

(vii) the program activities;

(viii) a summary of the program's health policies, to include the level of illnesses the program will accommodate;

(ix) actions the program will take in the event a child is not picked up as scheduled;

(x) meal arrangements;

(xi) instructional materials on the available procedures if they suspect their child has been abused or maltreated;

(xii) how to access the regulations;

(xiii) contact information for the office including the Child Care Complaint Line;

(xiv) transportation policy; and

(xv) as applicable, written notification that there is a firearm, shotgun, rifle or ammunition on the premises.

(23) Applicants and existing programs are required to notify the office within 15 days if the day care home becomes licensed, registered, or certified with the office or any other agency to provide any type of care to children or adults.

(24) Child day care programs must keep all records relevant to the current registration period, and the immediately preceding registration period.

(25) Mid-point requirements for four-year registration. At the two-year calendar date in a four year registration cycle, a program must be in compliance with the following mid-point requirements and be able to show proof of compliance to the office when requested:
(i) where a program uses a private water supply, a report from a state licensed laboratory or individual, based on tests performed within the 12 months preceding the calendar date of the two-year mark in a four year registration, showing that the water meets standards for drinking water established by the New York State Department of Health;

(ii) a report of inspection and approval performed by local authorities or an inspector qualified to approve fuel burning systems within the 12 months preceding the calendar date of the two-year mark in a four year registration of any wood or coal burning stove, fireplace, pellet stoves or permanently installed gas space heater in use at the home; and

(iii) proof of compliance with the training requirements of section 417.14 of this Part.

(26) Programs must follow safety plans developed by the office when allegations of risk of harm to child(ren) against the program, caregiver, staff, household member, volunteer or visitor are under investigation.

(c) The program must maintain on file at the family day care home, available for inspection by the office or its designees at any time, the following records in a current and accurate manner:

(1) a copy of the evacuation plan, evacuation drills, and shelter-in-place drills conducted, on forms furnished by the office or approved equivalents, as required in sections 417.4 and 417.5 of this Part;

(2) an approved health care plan on forms furnished by the office, as required in section 417.11 of this Part;

(3) the name, address, gender, and date of birth of each child and each child's parents names, addresses, telephone numbers and place(s) at which parents or other persons responsible for the child can be reached in case of an emergency;

(4) the names and addresses of persons authorized to take the child(ren) from the family day care home;

(5) daily attendance records that are filled out at the time a child arrives and departs, and must include arrival and departure times;

(6) children's individual health care plans; parental consents for emergency medical treatment; child's medical statement, immunizations, and any available results of lead screening for children not yet enrolled in kindergarten or a higher grade only; the name and dosage of any medications used by a child, the frequency of administration of such medications, and a record of their administration by caregivers; daily health check documentation; a record of illnesses and injuries occurring while in care; and any indicators of child abuse or maltreatment;

(7) medical statements for the provider, assistant(s), and substitute(s) completed, as required in section 417.11 of this Part;

(8) a medical statement regarding the health of all persons residing in the family day care home, as required in section 417.11 of this Part;

(9) a plan of program activities, as required in section 417.7 of this Part;

(10) a report of inspection and approval performed within the 12 months preceding the date of the application for registration or renewal by a qualified person of wood or coal burning stove, fireplace, pellet stoves or permanently installed gas space heater in use at the home;

(11) where a program uses a private water supply:
(i) a report from a State-licensed laboratory or individual, based on tests performed within the 12 months preceding the date of application and every two years thereafter, showing that the water meets standards for drinking water established by the New York State Department of Health; or

(ii) if the water does not meet such standards, a description of how water for all purposes will be provided by another method acceptable to the Department of Health;

(12) a list of assistants and substitutes who are available and approved to care for the children in the family day care home when the provider or assistant must be absent;

(13) a daily schedule documenting the arrival and departure times of each caregiver, employees and volunteers;

(14) documentation of training sessions attended in accordance with section 417.14 of this Part;

(15) when the family day care registration is issued to an entity, other than a sole proprietorship, the following additional documentation is required:
(i) a copy of the certificate of incorporation, partnership agreement, or articles of organization and any amendments thereto;

(ii) verification of filing of the certificate of incorporation, partnership agreement or Articles of organization and any amendments thereto with the Secretary of State; and

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

(16) a copy of the notification form provided to the local police and fire departments or the county sheriff as required in paragraph (18) of this subdivision;

(17) a completed environmental hazards form provided by the office stating that the residence and the surrounding neighborhood and environment are free from environmental hazards, as required in section 417.2(a)(13) and (d)(4) of this Part.

(18) the napping agreement for each child in care;

(19) the transportation policy and written parental permission for the transportation of each child in care;

(20) a pool maintenance safety plan;

(21) a current cardiopulmonary resuscitation and first aid certificate as required in section 417.11 and 417.14 of this Part;

(22) if appropriate, written permission from a parent to allow a school age child to participate in activities outside the direct supervision of the caregiver and visually checked every 15 minutes; and

(23) all records relevant to the current registration period, and the immediately preceding registration period; and

(24) a copy of the notification form provided to the parents as required in section 417.5(x) of this Part.

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