The Department of Human Services is responsible for certifying and monitoring license-exempt child care centers that participate in the Child Care Assistance Program (CCAP). Certification helps protect the health and safety of children by requiring that providers meet minimum standards for care and physical environment.
DHS is preparing to implement the enhanced background studies that will impact all licensed child care programs starting this fall. This also impacts all certified licensed-exempt centers. (Non-licensed providers participating in the Child Care Assistance Program (CCAP) are also impacted by these changes.) These new enhanced background studies are required by changes in federal law. For more information on the new study requirements, go to Minnesota child care provider background studies.
The federal Office of Child Care has informed states that they are able to use certain child care block grant funds to help providers pay for the new enhanced background studies.
Accordingly, DHS will pay for the cost of the new background studies for existing providers and their staff/family members who already have a current background study when the new enhanced studies are rolled out. (Non-licensed providers participating in CCAP will also have their costs covered and will receive a separate letter from DHS.)
If you hire new staff or there are new household members after the roll-out date of the enhanced studies, those individuals will need the enhanced study and DHS funds will not cover the costs.
In the case of licensed family programs, when a minor who has had a name and date of birth study turns 18 years old, that person will need an enhanced study, and DHS funds will not cover the costs.
When the new background studies are implemented, the cost for adults will be $49.10 ($40 for the study plus a fingerprinting fee of $9.10), and the cost for a name and date of birth study for minors residing in licensed family programs will be $20. The costs will apply to new staff and/or family members who are not covered by the DHS one-time funding, as described above.
For most people, the new enhanced background studies will be good for five years before they have to be repeated and updated, and DHS one-time funding will not cover the cost of that updated study. As DHS rolls out the new studies later this fall, staff will host stakeholder sessions and online webinars, finalize information on the DHS website and provide more information about when a new study might be required in the future.
Certification application process
Centers can signify their interest in becoming certified by completing and submitting a Certification Pre-application Information Form (PDF). This will allow the Department to send you a link to an online platform where you will complete the application process.
Center Operators will receive a user-specific login and password email in order to access the online platform where the final steps for certification must be completed. In the online platform, centers are required to submit these six documents prior to being granted certification:
A certified center must provide documentation showing that a fire inspection was completed within the previous three years prior to obtaining certification.
For centers located in a public school building, this is an existing requirement and you can provide documentation from your school. Often a correction order is issued as the result of a public school inspection. In this case, the school would receive a follow up inspection form stating that corrections were made/they passed. It is recommended that you reach out to your appropriate school district staff to obtain this documentation now.
For centers NOT located in a public school building, a fire inspection will need to be completed prior to granting certification. DHS reached out to the center operators for these centers and is requesting inspections. If you believe you need an inspection or have questions, please email us at dhs.cccconboarding@state.mn.us
Prior to being granted certification, each center will be required to submit a floor plan of their building that shows where the primary indoor and outdoor spaces are located within/near the building. In order to prepare for this submission, it is recommended that you obtain a floor plan of your center and indicate the primary indoor and outdoor spaces on that floor plan.
The center operator will need to submit a list of each center’s current staffing at the point in time the center receives access to the online platform. In other words, the staff you list on your summary of personnel information form will depend upon when you receive access to the online platform. We will want to see training completed for staff who are currently working in your center.
Depending on the ages of the children served by your center, your staff may or may not be required to complete sudden unexpected infant death (SUID) or abusive head trauma (AHT) training. Please refer to your guidance document if you are unsure. If your staff does not need to complete those trainings, leave those columns blank.
Finally, if you are a center operator who oversees multiple sites that will be certified, you will be able to use one form for all staff. At the top of the form, there is a space to list multiple certification numbers. Once you receive access to the online platform, you will be given certification site numbers for each of your center locations.
Prior to being granted certification, each center will be required to submit the center’s policies and procedures to demonstrate compliance with the certification requirements. It is highly recommended that centers use the Guidelines for Developing Policies and Procedures (PDF) to create the required policy sections with the specific information indicated.
In the online platform, center operators will be given the opportunity to indicate if the policies are the same for all the centers under one center operator. A certification holder with multiple centers will not need to have separate policies for each physical location.
Each center must have a unique emergency plan using the Child Care Emergency Plan form (PDF)(Word DOC)created by DHS. Centers are required to use this form and the form must be specific to each individual certified center. Please note that the Child Care Emergency Plan form was revised in November of 2017. DHS will accept the original or revised version
The Director Information form is the form center operators will use to record the director’s qualification information for each center. You are required to have a director or designee on site during your hours of operation. We will need to have one approved director information form per center prior to granting certification. You could have more than one director per center or identify one director for several centers. A designee does not need to meet director qualification or have a director information form.
Policies for exclusion of sick children must include:
When a child becomes sick, the certified center must immediately notify the sick child's parent or legal guardian and arrange for pick up. The child needs to be isolated in order to prevent the spread of illness.
Isolating a sick child from other children in the program does not mean the child has to be in a separate space. It means the child should not be actively participating in activities with other children while waiting to be picked up.
The definition of illness (sick) on the Minnesota Department of Health (MDH) website states that an ill/sick child is one who is unable to participate in routine activities or needs more care than can be provided by the childcare/school staff. See general exclusion guidelines (PDF). For a list of contagious illnesses that need to be reported, see Minnesota Rules, part 4605.7040.
Policies for infectious disease outbreak control should minimally include a plan for notifying parents of an exposure. The notification:
Can be done in many ways, including posting a notice on site in a conspicuous location, sending written notice home with parents, or emailing parents
Should include the illness and date of potential exposure
Can include additional information such as signs or symptoms to watch for and incubation periods
Should not include any child-specific information.
Policies for immunizations must require that by the first date a child attends your center, the child’s immunization information is accessible on site.
Immunization records:
Can be stored electronically, but must be able to be accessed
Can include exemptions, but must have a notarized signature.
Annual inspections of certified centers are announced. If immunization records are housed off site or at a centralized location, records should be gathered prior to the scheduled review. Certified centers should develop a system to ensure that immunization records are provided prior to children starting in the certified center if relying upon records housed off site (such as school district records).
Certified centers must have a policy for administering medication and maintain documentation of staff training on the medication administration policy. Medication includes prescription and nonprescription medication.
If the program chooses not to administer medication, the policy must state medication is not administered.
If the program chooses to administer medication, the policy for administering medication must include:
Obtaining written permission
Following instructions
Storing medication
Documenting administration.
The department does not have a specific form for recording the administration of medication. Programs must document the administration of medication. Documentation must include:
Child's first and last name
Name of the medication or prescription number
Date(s), time(s), and dosage(s)
Name and signature of the person who administered the medicine.
It is recommended that the written permission and record of medication administration are kept in the child’s file for a minimum of three years.
Diapering products, sunscreen, and insect repellent must have written permission from the child's parent or legal guardian. Sunscreen and insect repellant must be stored out of reach of children. School age children can apply sunscreen under the supervision of staff who need to ensure the nonprescription medication is administered according to the manufacturer or health provider instructions.
Policies for preventing and responding to allergies must require that by the first date a child attends a center, documentation of any known allergy is obtained from each child's parent or legal guardian. This can be included in enrollment forms or any required health care paperwork.
If a child has a known allergy (any allergy), the center must meet these three requirements.
1. Maintain current information about the allergy in the child's record. The child specific information must include:
Description of the allergy
Triggers to allergens
Techniques for avoiding exposure to allergens
Symptoms if an allergic reaction were to occur (what to watch for)
How to respond to an allergic reaction (including medications and dosages)
Doctor’s contact information.
2. Ensure that each staff person who works directly with the child is trained in the allergy information. Documentation that staff were informed must be kept on site. It is required that staff are informed:
At least annually (prior to the end of month in the subsequent year)
When changes are made to the child’s allergy record.
3. Keep the child’s allergy information available:
On site at all times
When on field trips
During transportation provided by the center
Where food is prepared and served (for food allergies).
Fire inspection. Prior to being granted certification, a center must provide documentation showing that a fire inspection was completed within the previous three years by the state fire marshal or local fire code inspector trained by the state fire marshal.
Designated indoor and outdoor space. The certified center must maintain a floor plan of the building that shows where the primary indoor and outdoor spaces utilized by the center are located within/near the building.
Free of hazards. The certified center must ensure:
The areas used by children must be kept clean and in good repair
The furniture or equipment is structurally sound and is appropriate to the age and the size of a child who uses the area
Hazardous items must be kept out of reach. Anything labeled keep out of reach of children should be inaccessible. Locked cabinets or closets are recommended, but not required. Certified centers are required to have an emergency plan (see emergency preparedness and response section below) which has a section on identification of hazards. When creating the policy for ensuring the center is free of hazards, ensure that it does not contradict the information in the written emergency plan.
Disposal of bodily fluids. If an exposure to bodily fluids occurs, the center must disinfect and dispose of any bodily fluids using gloves and in a securely sealed plastic bag.
Centers must have a policy for emergency preparedness and response, using the Child Care Emergency Plan form (PDF) or Word (DOX). This form is required and must be specific to each individual center.
It is also required that staff are trained at orientation and at least once each calendar year on the center-specific emergency plan (see staff training section below regarding the required training and documentation of training).
Certified centers must conduct one evacuation and one shelter-in-place drill quarterly and document the time and date of the drills.
Certified centers must also inform the commissioner within:
24 hours of the death of a child in care at the program
24 hours of any injury to a child in the center that requires treatment by a physician. A “serious injury” is defined as an injury to a child that required treatment by a physician (includes dentist). If a child goes to a doctor, but does not require treatment, it would not be considered a serious injury.
Centers must include a statement in both the staff and parent policies that a parent or legal guardian must be allowed access to their child at any time their child is in care.
Background studies are a key component of certification and is required by state and federal law. Studies for certified centers will be processed by the Department of Human Services (DHS).
All background studies will include a review of the following databases:
• FBI criminal records (fingerprint-based)
• Minnesota Bureau of Criminal Apprehension (BCA) records (fingerprint-based)
• Minnesota’s predatory offender registry (name and date of birth-based)
• Minnesota’s child abuse and neglect registry (name and date of birth-based)
• An out-of-state search of the child abuse and neglect registry for every state where the individual resided during the past 5 years (name and date of birth-based)
Certified centers need to initiate a BGS request for all new employees hired on or after November 1, 2018, before that employee has direct contact with children. These staff persons will require supervision until the BGS has cleared. They may not work alone with children without a cleared BGS.
Certified centers will not need to conduct BGS on existing employees until they are notified to do so by the DHS Background Studies unit. Centers will be given a specific timeframe for submitting these BGS requests.
Draft guidance is now available to help providers determine who needs a background study. If you would like to offer feedback about ways this guidance document can be improved, please send an email to DHS.CCDFReform@state.mn.us.
A staff person must be 16 years of age or older before providing direct, unsupervised care to a child. Supervised care means an individual is within sight or hearing to the extent that the program’s supervision individual is capable at all times of intervening to protect the health and safety of the person served by the program.
Certified centers in a building with license exempt, licensed, and/or other programs cannot mix children from separate programs.
For example, if a school district has a licensed program for preschoolers, a license-exempt school readiness program for preschoolers, and a certified program for school ages all in one building, the children in these various programs cannot combine. They would be able to use shared spaces such as a gym or outdoor playground, but would need a schedule to ensure they are not using at the same time.
Certified centers under one certification holder cannot mix children, except under certain circumstances. The certification number is site specific. Wherever you are operating and children are attending, the child needs to be enrolled/authorized to be at that location AND that location is the certified program responsible. For example, if a school district has five certified centers at five separate locations and they want to combine into one location for summer, they would need to enroll all the children from the other four locations at the one location for summer. This would involve notifying CCAP to change authorization information for any child that is changing locations.
During hours of operation, a certified center must have a director or designee on site who is responsible for ensuring the health and safety of program participants and supervising staff and volunteers. The designee does not have to meet director requirements, but does need to know that they are responsible in the absence of the director. The designee does not need to be the same person each time the director is not present.
The director must be 18 years of age or older and have completed at least 16 hours of training per requirements listed in 245H.08, subd. 02.
The center must complete a Director Information Form (PDF) for its director, and the form must be kept on file at the center.
Certification standards do not require that certified centers maintain attendance records, however Minnesota Statutes 119B.125, Subd. 6 requires all providers that receive child care assistance payments to keep daily attendance records at the site where services are delivered for children receiving child care assistance. Programs must make records available immediately to the county or the commissioner upon request. The attendance records must be completed daily and include the date, the first and last name of each child in attendance, and the times when each child is dropped off and picked up. To the extent possible, the times that the child was dropped off to and picked up from the child care provider must be entered by the person dropping off or picking up the child. The daily attendance records must be retained at the site where services are delivered for six years after the date of service.
Having a system for children being signed into and out of your center will clarify when a center is responsible for a child and when the child is the responsibility of another program or service. For example,
A child who attends swimming lessons through another program (with parent permission) in the middle of the day after being dropped off at the certified center. It is recommended that the certified center sign the child out and sign the child back in so as to have documentation regarding where the child is at and who is responsible at that time.
A child who goes directly from one program to the certified center without parent or legal guardian drop off. Typically, until the other program delivers the child to the certified center, the certified center would not be responsible for the care of the child. It is recommended that when the child arrives, the child is signed into the certified center to clarify who is responsible at that time.
If your certified center is transporting a child, the child is considered in attendance during transportation.
Kindergarten includes a child of sufficient age to have attended the first day of kindergarten or who is eligible to enter kindergarten within the next four months.
Maximum group size is the maximum number of children that can be involved in a group activity at any one time. The maximum group size applies at all times except during
Group activity coordination time not exceeding 15 minutes
During a meal, outdoor activity, field trip, nap and rest
Special activity including a film, guest speaker, indoor large muscle activity, or holiday program.
Maximum group size applies to instances where all children are participating in one activity. This would not include having more than the maximum group size in a space participating in different activities. For example, 90 school age children could be in one cafeteria space as long as they are participating in three or more separate activities (note exceptions above).
Ratios must be maintained based on age category. When combining age categories, the ratio for the age category for the youngest child in the group applies.
Examples of mixing children in different age categories:
If a center mixes 20 preschoolers and 30 school age children together in one group, the center would need 5 staff (1:10 ratio). If they are not mixed, the center would need 2 staff for the preschoolers (1:10 ratio) and 2 staff for the school agers (1:15 ratio).
Children in different age categories can be in the same space, but not mixed in some instances. For example, lunch is being served in a cafeteria space. Preschoolers can be in one area and supervised only by the staff responsible for the preschoolers while at the same time school age children are also in the cafeteria space in their own area and only supervised by the staff responsible for the school age children. However, if preschoolers and schoolagers are together in a space mixed and participating in an activity together, they are considered mixed. For areas like outdoor playground or large muscle activities in the gym, a schedule is recommended if the center desires to not mix the children.
Centers can mix children in different age categories for all day or part of the day as long as the center is following ratio and maximum group size requirements for the youngest age category present in the group.
The certified center is required to maintain a personnel record for each staff person that contains:
The staff person's name, home address, telephone number, and date of birth
Documentation that the staff person completed training required by section 245H.14
Documentation of the date the program initiated a background study for the staff person
Documentation of the date the staff person first had direct contact and access to a child while supervised, and the date the staff person first had direct contact and access to a child while unsupervised.
Annual inspections of certified centers are announced. If personnel records are housed off site or at a centralized location, records should be gathered prior to the scheduled review.
Certified centers must ensure each staff person is given an orientation training on:
Reporting requirements in 245H.11
Health and safety standard requirements in 245H.13
Emergency preparedness requirements in 245H.15.
The certified center must provide staff with an orientation within 14 days of employment. Before the completion of orientation, a staff person must be supervised while providing direct care to a child.
A certified center must document the date of a completed training required by this section in the personnel record of each staff person. It is recommended that a center uses the Staff Orientation Training Checklist (PDF).
Health and safety standard requirement in 245H.13 (see requirements outlined in the Health and Safety section above) include:
Exclusion of sick children and infection disease outbreak control
Immunizations
Administration of medication
Preventing and responding to allergies
Building and physical premises; free of hazards
Transporting children.
Additionally, staff must complete certain training before caring for children and/or prior to unsupervised contact.
Training topic
Who must complete
When completion required
SUID
Staff and volunteers caring for infants under age 1
Prior to caring for infants under 1
AHT
Staff and volunteers caring for children under age 5
Prior to caring for children through age 4
Child development
Staff
Prior to unsupervised contact, and within 14 days
Emergency preparedness
Staff
Prior to unsupervised contact, and within 14 days
Reporting
Staff
Prior to unsupervised contact, and within 14 days
Pediatric first aid and CPR
At least one designated staff person who has completed pediatric first aid and CPR must be present at all times at the center, during field trips, and when transporting a child
Staff must be trained at orientation and at least annually on these topics; substitutes must be trained if working in lieu of staff; training must take place before unsupervised contact and within 14 days of hire:
Exclusion of sick children and infection disease outbreak control
Immunizations
Administration of medication (if the center administers medication)
Preventing and responding to allergies
Building and physical premises; free of hazards; safely disposing of bodily fluids
Transporting children (if center transports children)
Reporting suspected abuse and neglect
Emergency preparedness.
At all times at the center, during field trips and when transporting a child, at least one designated staff person must be trained in pediatric first aid and pediatric CPR.
Staff and volunteers who care for infants under age 1 must be trained in Sudden Unexpected Infant Death (SUID). Must be completed before assisting in the care of infants, and be done annually.
Staff and volunteers who care for children through age 4 must be trained annually in Abusive Head Trauma (AHT). Must be completed before assisting in the care of a child, and be done annually.
Minn. Stat. 245H also requires certified center staff to complete ongoing training. Each staff person must complete annual training requirements. See Staff In-Service Training Record (PDF). Each calendar year, each staff person needs to have at least six hours of training.
Required trainings (both at orientation and annually) may be used toward the hourly training requirements of this subdivision.
College courses can be counted toward in service training if the coursework would apply to the staff person’s job. One semester credit is equivalent to 15 hours of training.
A certified center must document the date, training institution, and hours for any completed training in the personnel record for each staff person. It is recommended that a center use the Staff In-service Training Record (PDF).
Centers can signify their interest in becoming certified by completing and submitting a Certification Pre-application Information Form (PDF). This will allow the department to send you a link to the online platform where you will complete the application process.
The Certified License-Exempt Child Care email list provides licensing information and updates, including legislative requirements, for certified license-exempt child care centers.
DHS is mandated to certify license-exempt child care centers that meet the requirements under 245H.02. As such, DHS is given the right of access to these centers to carry out all of the duties under 245H – in other words, once a center has been identified as requiring certification, DHS has the right to enter the center to perform required duties.
DHS access. When a center is in operation and information is relevant to an inspection or investigation, the DHS employee must be given access to:
The physical facility and grounds where the program is provided
Documentation and records, including electronically maintained records
Children served by the center
Staff and personnel records of current and former staff
Records needed would include only those from point of certification and moving forward.
Annual announced inspections. Certified centers will have an annual inspection to determine compliance with standards in 245H. Annual inspections will be announced and coordinated between center operators and DHS.
Investigations. In some instances where DHS has received information of alleged certification violations or maltreatment, there may be an unannounced investigation visits to the certified center:
Certification Investigations- If DHS receives information that a certified center is not following the requirements in 245H, a licensor may be assigned an investigation to determine compliance. Information received by DHS is routed to an intake team that will do an initial assessment. If a licensor is doing an investigation, the licensor must be given access to the program, records, and/or staff. Based on the information collected, DHS will determine what action is appropriate, if any.
Maltreatment investigations- If DHS receives information that alleged or suspected abuse or neglect has occurred in a center, an investigator may be assigned to do a maltreatment investigation. Information received by DHS is routed to an intake team that will do an initial assessment to determine if assigned. If an investigator is doing an investigation, the investigator must be given access to the program, records, and/or staff. Based on the information collected, DHS will determine what action is appropriate, if any.
Correction orders. If the certification holder failed to comply with a law, the commissioner may issue a correction order. The correction order must state the condition that constitutes a violation of the law, the specific law violated, and the time allowed to correct each violation. If the certification holder believes that the commissioner's correction order is erroneous, the certification holder may ask the commissioner to reconsider the part of the correction order that is allegedly erroneous.
Decertification. The commissioner may decertify a center if a certification holder failed to comply with an applicable law; or knowingly withheld relevant information from or gave false or misleading information to the commissioner in connection with an application for certification, in connection with the background study status of an individual, during an investigation, or regarding compliance with applicable laws. When considering decertification, the commissioner must consider the nature, chronicity, or severity of the violation of law. When a center is decertified, the center is ineligible to receive payments from the Child Care Assistance Program (CCAP) under Minnesota Statutes 119B.
There are no fees affiliated with certification at this time. However, DHS must consult with stakeholders and provide a recommendation by February 2019 to the Minnesota Legislature of an appropriate administrative fee.
Date of employment. The date that the employee becomes employed with the certified center is the date of employment.
The date of employment is needed to determine compliance with timeliness of the training requirements for certified centers.
Document the date of employment in the personnel records. This can be electronic. It can all be listed in one place or individually listed in each staff person’s record. It will need to be provided at the time of an inspection. Things to note:
This likely will be a different date than the date HR has as the hire date with a school, school district or larger organization
Centers will need to note date of employment based on obtaining initial certification.
Here is one example of correct recording of date of employment: A teacher started work in a school district first, his/her date of employment with the district would not change. However, for certification purposes, we would want to know the date that he/she was employed by your certified center.
The date of employment should be the date that the CERTIFIED center started operating. Orientation and training can occur before that date, however it should not be more than 14 days after that date.
Direct contact. Face-to-face care, training, supervision, counseling, or meditation assistance to persons served by the program. See Minn. Stat. 245C.02, subd. 11.
First date of supervised direct contact. The date that a staff person or volunteer first has direct contact and is under continuous, direct supervision.
First date of unsupervised direct contact. The date that a staff person or volunteer first has direct contact and is not under continuous, direct supervision.
Supervision of staff (staffing requirement). Continuous, direct supervision means an individual is within sight or hearing to the extent that the program's supervising individual is capable at all times of intervening to protect the health and safety of the persons served by the program.
The 2017 Minnesota Legislature enacted changes to bring Minnesota into compliance with the federal Child Care and Development Block Grant. Minnesota Statutes, Section 245H requires license-exempt centers that receive CCAP to be certified. The following exclusions from licensure under the following exclusions from 245A.03, Subd. 2 (and chooses to participate in CCAP) must be certified:
Programs operated by a public school for children 33 months or older
Recreation programs for children that are operated or approved by a park and recreation board
Programs operated by a school, YMCA, YWCA, or JCC whose primary purpose is to provide child care or services to school-age children
Head Start nonresidential programs that operate for less than 45 days in a year
Programs for children such as scouting, boys clubs, girls clubs, and sports and arts programs, and nonresidential programs for children provided for a cumulative total of less than 30 days in any 12-month period
Camps licensed by the commissioner of health under Minnesota Rules, chapter 4630
Programs serving only children who are age 33 months or older, that is operated by a nonpublic school, for no more than four hours per day per child, with no more than 20 children at any one time, and that is accredited by an accrediting agency that is formally recognized by the commissioner of education as a nonpublic school accrediting organization; or an accrediting agency that requires background studies and that receives and investigates complaints about the services provided.
A program that asserts its exemption from licensure under this item shall provide the commissioner with documentation from the accrediting agency that verifies: that the accreditation is current; that the accrediting agency investigates complaints about services; and that the accrediting agency's standards require background studies on all people providing direct contact services.
