(a) General registration requirements.

1. (1) Obtain a registration and operate in compliance with applicable laws and regulations.

   1. (i) Each small day care center must obtain a registration from the office. No person or entity may operate a small child day care center without a registration from the office.
   2. (ii) Each small day care center must operate in compliance with the regulations of the office and all other applicable laws and regulations.
   3. (iii) Each small day care center 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. (2) Each small day care center that has been issued a registration by the office must openly display such registration, along with any restrictions, limitations and waivers to the registration, in the center for which it was issued.
3. (3) A new application for a registration must be submitted to the office when there is a change in the address or owner or when a registration is sought following the revocation of or denial of an application to renew a registration.
4. (4) The provisions specified on the registration are binding and the small day care center 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 small day care center at any one time.
5. (5) No registration will be issued unless the program 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 Subpart has been approved in writing by the office in accordance with section 413.5 of this Title.
6. (6) The effective period of the registration for a small day care center will be up to four years so long as the program remains in compliance with applicable laws and regulations during such periods.
7. (7) A registration is not transferable to any other person, entity or location.
8. (8) A small day care center 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.

9. (9) Before denial of an application for a registration or renewal of a registration, the registrant is entitled to a hearing before the office pursuant to Part 413 of this Title.

   (b) General operation requirements.

10. (1) Individual children must be cared for less than 24 hours a day. No caregiver may work more than two consecutive shifts.
11. (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 registration.
12. (3) The registrant cannot provide an additional shift of care until the changes have been approved in writing by the office.
13. (4) The staff and volunteers must be in good health and be of good character and habits.
14. (5) The submission of fraudulent or altered documents to the office or its representatives is prohibited.

15. (6) Confidentiality.

    1. (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.
    2. (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.
    3. (iii) Redisclosure of confidential HIV-related information, as defined in section 360-8.1 of the Public Health Law, concerning a child receiving child day care is not permitted except in a manner consistent with article 27-F of the Public Health Law.
16. (7) A small day care center may not refuse to admit a child to the program solely because the child has a developmental delay or a 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 418-2.11 of this Subpart shall be deemed to require the program to incur significant additional expenses to modify the premises and/or program to accommodate such a child.

17. (8) The parent of a child receiving care must have:

    1. (i) unlimited and on demand access to such child;
    2. (ii) the right to inspect all parts of the building 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 small child day care center;
    3. (iii) unlimited and on demand access to the registrant and caregivers whenever such child is in care or during the normal hours of operation; and
    4. (iv) unlimited and on demand access to written records concerning such child except where access to such records is otherwise restricted by law.

18. (9) Electronic monitors and surveillance equipment.

    1. (i) The parents of all children receiving care in a small day care center 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 staff of the small day care center must also be informed if video surveillance cameras will be used for this purpose.
    2. (ii) All parents of children enrolled in the day care center and all staff and volunteers of the small day care center must be made aware of the locations of all video surveillance cameras used at the small day care center.
    3. (iii) Small day care centers 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.
    4. (iv) Electronic monitoring devices or surveillance cameras may not be used as a substitute for competent direct supervision of children.
    5. (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 video surveillance equipment.
    6. (vi) Small day care centers 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.
    7. (vii) Parents of children, staff and volunteers must be notified when electronic monitoring devices or surveillance cameras are used.
    8. (viii) Small day care centers opting to allow parents to view their children in the day care setting by means of the internet must use and maintain adequate internet 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; and immediate corrective action in response to any report of abuse of the system or inappropriate access. Such small day care centers must also advise the parents having access to views of the small day care center through the internet 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.

19. (10) Inspectors, representatives of the office and Child Protective Services.

    1. (i) The small day care center must admit inspectors and other representatives of the office onto the grounds and premises at any time during the hours of operation of the center. Inspectors and representatives of the office must be given free access to the building or buildings used by the center, staff, volunteers and children and any records of the center.
    2. (ii) A small day care center 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.
    3. (iii) A small child day care center must cooperate with local child protective services' staff conducting any investigation of alleged child abuse or maltreatment.
    4. (iv) No staff person or volunteer may place or attempt to place an office representative, who is performing his/her role as such, in reasonable fear of physical injury.
    5. (v) Any intentional display of physical or verbal force, which would give an office representative reason to fear or expect bodily harm, is prohibited.
    6. (vi) Intentional and wrongful physical contact with an office representative is prohibited.

20. (11) In hiring a provider subsequent to issuance of a registration, a program:

    1. (i) must notify the office immediately in writing when there is any proposed change in provider;

    2. (ii) must submit to the office, prior to the start date, the name of such person and the supporting documentation needed to complete the approval process including:

       1. (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;
       2. (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;
       3. (c) fingerprint images necessary for the office to conduct a criminal history review;
       4. (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
       5. (e) two acceptable references;
    3. (iii) a medical statement must be submitted before the person has any involvement with children in care, as required in section 418-2.11(b) of this Subpart;
    4. (iv) may, during the office's review of all documentation for any proposed provider continue to operate the program; and
    5. (v) may not leave the proposed provider in sole charge of or unsupervised with children until such time as the office approves the person.

21. (12) The small day care center must report to the office:

    1. (i) immediately upon learning of a change that affects 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;
    2. (ii) at least 30 days in advance of any proposed changes to the area used for child care;
    3. (iii) immediately or no later than the next day of business of the provider’s resignation or termination;
    4. (iv) immediately upon learning of any other change that would place the small day care center out of compliance with applicable regulations;
    5. (v) any change in email address for the provider or other designee when such change becomes effective; and
    6. (vi) any change to contact information when such changes become effective.
22. (13) All staff and volunteers of the small day care center must be familiar with the office regulations and policies governing such programs, and the small child care center’s policies. Such regulations and policies must be readily accessible to staff and volunteers for reference purposes.

23. (14) The program 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 the program:

    1. (i) death;
    2. (ii) serious incident;
    3. (iii) serious injury;
    4. (iv) serious condition;
    5. (v) communicable disease;
    6. (vi) transportation to a hospital.
24. (15) Parents must be given the opportunity to discuss issues related to their children and the 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.
25. (16) The indoor and outdoor areas of the small day care center where the children are being cared for must not be used for any non-child care activity or other business or social purpose when children are present such that the attention of caregivers is diverted from the care of the children.

26. (17) Fire and police notifications.

    1. (i) Within five days after receiving the initial registration and before actually commencing operation, the registrant 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 small day care center is located of the following:

       1. (a) the address of the small day care center;
       2. (b) the maximum capacity of the small day care center;
       3. (c) the age range of children that will be in care; and
       4. (d) the hours during which children will be in care.
    2. (ii) If the local municipality does not have a police or fire department, the sheriff of the county within which the small day care center is located must be notified instead. The registrant 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.
27. (18) When the office notifies the program that such a statement is required, the program must provide a statement from the appropriate local official or authority that the building meets standards for sanitation and safety.
28. (19) The small child day care center must comply with all applicable State and Federal laws relating to equal employment opportunities.
29. (20) All small day care centers that accept direct and 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 415.4(h) of this Title.

30. (21) A small day care center must give the parent, at the time of admission of a child, a written policy statement including, but not limited to:

    1. (i) the responsibilities of the program;
    2. (ii) the responsibilities of the parent;
    3. (iii) the policies of the small child day care center regarding admission and disenrollment policies;
    4. (iv) how parents will be notified of accidents, serious incidents and injuries;
    5. (v) the behavior management plan;
    6. (vi) a summary of the program’s evacuation plan including the primary and secondary evacuation sites;
    7. (vii) the program activities to be provided;
    8. (viii) a summary of the program's health care policies, including the level of illness the center will accommodate;
    9. (ix) actions the small day care center will take in the event the child is not picked up as scheduled;
    10. (x) the meal arrangements;
    11. (xi) instructional materials on the available procedures and legal remedies if they suspect their child has been abused or maltreated;
    12. (xii) how to access the regulations;
    13. (xiii) contact information for the office including the child care complaint line;
    14. (xiv) transportation policy; and
    15. (xv) information on healthy food and beverage choices and the prevention of childhood obesity.

31. (22) The small day care center must post or display conspicuously in a place to which parents have free and daily access, the following:

    1. (i) the office's small child day care center regulations;
    2. (ii) the name(s), addresses and telephone numbers of person(s) with the legal responsibility and administrative authority for the operation of the small day care center;
    3. (iii) the address and telephone number of the appropriate regional office of the office which may be contacted to lodge a complaint against the small center for violations of statutory and regulatory requirements; and
    4. (iv) a copy of the most recent compliance history report immediately after it is issued to the program by the office.

32. (23) Upon termination or resignation of the provider:

    1. (i) An acting provider must be immediately named by the registrant.
    2. (ii) The appointment of the acting provider must be shared with the office by the next day of business.
    3. (iii) The acting provider must be knowledgeable about the program’s operation and policies.
    4. (iv) An approved, permanent provider must be on-site, assuming the role, within 90 days.
33. (24) When a small day care center is operated by an entity other than a sole proprietor, such entity shall immediately notify the office upon any transfer or reapportionment of stock or any change in ownership.
34. (25) When a small day care center is located in a multi-use building, those portions of the building designated for the care of children must be used exclusively for child day care during the hours that children are present.
35. (26) Each small day care center must be staffed to perform administrative/fiscal management functions and, during all hours of operation, program supervision functions, including developing, directing and supervising daily activity programs for children. These functions may be performed by one individual or may be shared in any combination between two or more individuals.
36. (27) When an agency operates multiple licensed centers, the person performing the administrative/fiscal management functions may be shared across such centers.
37. (28) Child day care programs must keep all records relevant to the current registration period, and the immediately preceding registration period.

38. (29) Mid-point requirements for four-year registration holders. 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, as follows:

    1. (i) proof of compliance with the training requirements of section 418-2.14 of this Subpart;
    2. (ii) 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;
    3. (iii) documentation from service personnel licensed by the New York State Department of State to perform fire alarm systems maintenance, repair and testing which shows that the fire alarm and detection systems have been inspected, tested and maintained during the current registration period in accordance with the applicable requirements of the Fire and Building code of New York State or other applicable fire and building codes when the Fire and Building Code of New York State is not applicable, for use of the building as a child day care center;
    4. (iv) documentation from service personnel qualified to perform fire suppression systems testing showing that fire suppression equipment and systems have been tested and maintained during the current registration period in accordance with the requirements of the Fire Code and Building Code of New York State, or other applicable fire and building codes when the Fire and Building Code of New York State is not applicable, for use of the building as a child day care center; and
    5. (v) documentation from an inspector from the New York State Department of Labor, or an insurance company licensed to write boiler insurance in New York State, showing that all steam or hot water boilers have been inspected and approved during the current registration period in accordance with the requirements of the New York State Department of Labor. For all other fuel burning heating systems and equipment, and boilers not subject to the New York State Department of Labor requirements, documentation of service by a heating contractor performed within the 12 months preceding the date of application for renewal.

39. (30) 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:

    1. (i) identifying information related to the specific child who would receive care, including the parent's name and address, and the child's name, gender and age;
    2. (ii) the extenuating circumstance necessitating the care; and
    3. (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.
40. (31) Programs must follow safety plans developed by the office when allegations of risk of harm to child(ren) against the program, staff, volunteer or visitor are under investigation.

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

1. (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 418-2.4(b) and 418-2.5(b) of this Subpart;
2. (2) an approved health care plan on forms furnished by the office, as required in section 418-2.11(c) of this Subpart;
3. (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 the parents or other persons responsible for the child can be reached in case of an emergency;
4. (4) the names and addresses of persons authorized to take the child(ren) from the small day care center;
5. (5) daily attendance records, which must be filled out at the time a child arrives and departs, and must include arrival and departure times;
6. (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. (7) copies of current staff and volunteer’s health statements;
8. (8) copies of the small day care center's personnel policies and practices;
9. (9) a description of program activities offered to meet the needs of children, as described in section 418-2.7(a) of this Subpart;
10. (10) a description of the procedure to be used to review and evaluate the background information supplied by applicants for employment and volunteer positions, as required in section 418-2.13 of this Subpart;
11. (11) personnel information including a list of all staff with job assignments and schedules; each staff and volunteer’s final and, if applicable, provisional criminal history review and background check approval letter(s); staff resumes; medical statements; acceptable references and other information required by section 418-2.13 of this Subpart;
12. (12) a current daily schedule documenting the arrival and departure times of each staff member and volunteer;
13. (13) a description of the schedule and content of training as required in section 418-2.14 of this Subpart, including use of both in-service training and outside training resources;

14. (14) when the small day care center registrant is an entity other than a sole proprietorship, the following additional documentation:

    1. (i) a copy of the certificate of incorporation, partnership agreement, or articles of organization and any amendments thereto;
    2. (ii) verification of filing of the certificate of incorporation, partnership agreement, or articles of organization and any amendments thereto with the Secretary of State;
    3. (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;
15. (15) a copy of the notification form provided to the local police and fire departments or the county sheriff as required in subparagraph (b)(17)(i) of this section;
16. (16) the napping agreement for each child in care;
17. (17) the transportation policy and written parental permission for the transportation of each child in care;
18. (18) written parental permission for aquatic activities and the plan which details the system of supervising and checking children who are swimming, pursuant to section 418-2.5 of this Subpart;
19. (19) current cardio-pulmonary resuscitation and first aid certificates as required pursuant to section 418-2.14 of this Subpart;
20. (20) a sample copy of all forms used in the small day care center;
21. (21) all records relevant to the current registration period, and the immediately preceding registration period;
22. (22) documentation from the local health department or the New York State Department of Health showing that the facility has been approved in accordance with the requirements of the New York State Department of Health;
23. (23) a description of specific procedures which will assure the safety of a child who is reported to the Statewide Central Register of Child Abuse and Maltreatment as well as other children provided care in the small child day care center;
24. (24) a description of policies and practices regarding appropriate supervision of children in conformance with section 418-2.8 of this Subpart;
25. (25) a description of the pattern of supervision of staff by the provider or other responsible person, and procedures to assure adequate and appropriate supervision of staff and volunteers of the program;
26. (26) when the small day care center is owned by an individual, corporation, partnership or other entity using a business or assumed name, a copy of the certificate of doing business under an assumed name obtained from the county clerk;
27. (27) 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 date of application for registration, showing that the water meets standards for drinking water established by the New York State Department of Health;
28. (28) a copy of the certification that the building, property and premises and the surrounding neighborhood and environment are free from environmental hazards, as required in section 418-2.2(a)(6) and (e)(6) of this Subpart;
29. (29) documentation from service personnel licensed by the New York State Department of State to perform fire alarm systems maintenance, repair and testing which shows that the fire alarm and detection systems have been inspected, tested and maintained every two years during the current registration period in accordance with the applicable requirements of the Fire and Building Code of New York State;
30. (30) documentation from service personnel qualified to perform fire suppression systems maintenance, repair and testing showing that fire suppression equipment and systems have been tested and maintained every two years during the current registration period in accordance with the applicable requirements of the Fire and Building Code of New York State;
31. (31) documentation from the local government authority having jurisdiction for determining compliance with the Fire and Building Code of New York State showing that the facility has been inspected and approved once every two years during the current registration period for compliance with the applicable fire safety provisions of the Fire and Building Code of New York State; and
32. (32) documentation showing inspection and approval of any steam or hot water boilers performed in accordance with the requirements of the New York State Department of Labor and service performed once every 24 months during the current registration period on all other fuel burning heating systems and equipment and boilers not subject to the New York State Department of Labor requirements.