1. (1) Each enrollment agency must follow procedures established by the office for enrolling legally-exempt child care providers, which provide child care services under the New York State Child Care Block Grant Program. The enrollment agency must:

   1. (i) collect only such information about the provider as determined by the office;
   2. (ii) assist social services districts to facilitate appropriate and prompt payments;
   3. (iii) permit the provider to apply for enrollment with the enrollment agency after selection by a recipient of child care assistance; and
   4. (iv) maintain the confidentiality of information related to a family receiving child care assistance and of the personal history of a provider and a provider's employee, volunteer, or household member. Such information cannot be disclosed without the written permission of such person to any person or organization other than the office, a social services district, the designees of the office or social services district, or other persons authorized by law.
2. (2) Each enrollment agency must use the office’s designated system of record to process, track, and maintain information pertaining to the enrollment of legally-exempt child care providers, including the name and address of each such provider, information about the provider’s compliance with the enrollment requirements, and any other required information at such time and in the manner and form required by the office.

3. (3) Each enrollment agency must distribute health and safety information as specified by the office to all newly enrolled child care providers.

   (b) Enrollment and re-enrollment package review process requirements for enrollment agencies.

4. (1) Each enrollment agency must conduct a comprehensive review of the enrollment package prior to making an enrollment or re-enrollment decision regarding a legally-exempt child care program.
5. (2) Prior to making an enrollment or re-enrollment decision, the enrollment agency must review the enrollment package obtained from the child care provider and determine, within five business days of receiving the enrollment package, whether the enrollment package is complete or incomplete.
6. (3) The enrollment agency must evaluate and process the enrollment package in accordance with guidelines issued by the office.
7. (4) If the child care provider is exempt from the licensing and registration requirements and the child care provider otherwise meets the enrollment requirements, then the enrollment agency must enroll the child care provider for the purpose of providing child care services to eligible families under the New York State Child Care Block Grant Program, unless the applicable social services district, or its designee, informs the enrollment agency that the child care provider does not meet a locally-defined additional requirement set forth in the social services district's Child and Family Services Plan in accordance with section 415.4(g) of this Part.

8. (5) The enrollment period shall be 12 months. Enrollment information must be updated and reviewed before the end of the enrollment period, and at any other time when a change in circumstances warrants such a review, including, but not limited to, when the child care provider seeks to serve another subsidized child. The enrollment agency only must verify and review any changes that have occurred to the child care provider’s enrollment information during the enrollment period since the last enrollment package was submitted.

   (c) Additional review requirements regarding legally-exempt child care providers applying for enrollment and re-enrollment.

9. (1) The enrollment agency must check each informal child care provider or legally-exempt group child care director against the office's designated system of record to determine whether the provider or director has ever been denied a child day care license or registration or had a child day care license or registration suspended, limited, revoked, or denied.

   1. (i) When the check of the office's designated system of record reveals that the informal child care provider or legally-exempt group child care director has been denied a child day care license or registration or had a child day care license or registration revoked, limited or suspended, the provider or director must provide the child’s caretaker and the enrollment agency true and accurate information regarding any such denial, revocation, limitation, or suspension, including a description of the reason for denial, revocation, limitation or suspension, the date of the denial, revocation, limitation, or suspension, and any other relevant information, if such information has not already been provided to the child’s caretaker and the enrollment agency.
   2. (ii) The enrollment agency must verify with the office the truth and accuracy of the information disclosed by the provider or director for the purpose of conducting the assessment of risk to children in care.
   3. (iii) An informal child care provider or director of a legally-exempt group child care program that has a day care license or registration and is currently subject to enforcement action for denial, revocation, limitation, or suspension may not be considered for enrollment until the day care enforcement process has been finalized.
   4. (iv) The enrollment agency must determine whether to enroll an applicant that has had such a license or registration suspended, limited, revoked, or denied based on guidelines issued by the office.

10. (2) An enrollment agency must review the information in the attestations required of each enrollment and re-enrollment applicant for informal child care to determine whether the applicant has disclosed for those persons as required by section 415.13 of this Part:

    1. (i) termination of parental rights under section 384-b of the Social Services Law;
    2. (ii) removal of a child by court order under article 10 of the Family Court Act;
    3. (iii) conviction of a misdemeanor or a felony in New York State or any other jurisdiction; and
    4. (iv) being the subject of an indicated report of child abuse or maltreatment in New York State or any other jurisdiction.
11. (3) When an enrollment applicant has disclosed information relevant to the attestations contained in paragraph (2) of this subdivision, an enrollment agency must follow procedures as determined by the office.
12. (4) The enrollment agency must check each relative-only in-home child care provider and each relative-only family child care provider, any employee, volunteer, and each family child care household member age 18 years or older against the New York State Sex Offender Registry maintained by the New York State Division of Criminal Justice Services, via the registry's toll-free telephone number to determine if such person is listed on the New York State Sex Offender Registry. When such person is listed on the New York State Sex Offender Registry, the enrollment agency must not enroll the child care provider.
13. (d) The enrollment agency must conduct and evaluate the results of those criminal history review and background clearance checks as required by this Part, in accordance with procedures established by the office.

14. (e) When any person who is required to submit to a check of the Statewide Central Register of Child Abuse and Maltreatment pursuant to section 415.15 of this Part is found to be the subject of an indicated report of child abuse or maltreatment, the enrollment agency must determine, on the basis of information it has available, and in accordance with guidelines developed and disseminated by the office, whether to enroll the child care provider, approve such person as a director, employee or volunteer, or allow such person to have access to children who receive subsidized care. Whenever such person is enrolled, hired, retained, used or given access to children who receive subsidized care, such enrollment agency must maintain a written record, as part of the application file of the specific reason(s) why such person was determined to be appropriate and acceptable as a prospective legally-exempt child care provider, director, employee, volunteer or household member.

    1. (1) On an annual basis, each enrollment agency must conduct on-site inspections of all currently enrolled legally-exempt group and informal child care providers with the exception of relative-only in-home child care providers and relative-only family child care providers, to determine compliance with this Part.

    2. (2) The enrollment agency must conduct an inspection of the records and premises of a child care provider, according to guidelines established by the office, when the enrollment agency receives:

       1. (i) a complaint that, if true, would indicate the provider does not comply with the regulations or requirements of the office;
       2. (ii) information concerning a serious communicable disease of a child in care, provider, employee, volunteer, household member; or
       3. (iii) information concerning a death or serious injury of a child while in care at or being transported by an enrolled legally-exempt child care provider or an enrollment applicant.
    3. (3) If the enrollment agency finds that a child care provider is non-compliant with any requirement of this Part, the enrollment agency may, in accordance with guidelines issued by the office, terminate the enrollment of the child care provider or assist the child care provider in working towards compliance, which may include summary reports, corrective action plans, and follow up inspections. If the enrollment agency provides technical assistance and child care provider does not come into compliance within the required timeframes, the enrollment agency must terminate the enrollment of the child care provider in accordance with guidelines issued by the office.
    4. (4) The enrollment agency may deny or terminate the child care provider’s enrollment, according to guidelines issued by the office, if the provider does not admit an inspector or representative to the child care location; does not cooperate with an inspector or representative during an inspection; or the provider, or an employee, volunteer, or household member of the provider threatens an inspector or representative with physical or verbal force.
    5. (5) The enrollment agency must record the results of inspections in the office’s designated system of record within seven days of the inspection date.

    (f) Inspection requirements for enrollment agencies.

(a) Procedural and information collection requirements for enrollment agencies.