What is an annual monitoring visit?

An annual monitoring visit is when CCAP agency staff visit a legal nonlicensed (LNL) provider’s child care site to monitor that the provider is complying with specific health and safety requirements.

What health and safety requirements are monitored?

Health and safety requirements are identified in Keeping children safe in your home (DHS-5192B) and monitored using the Child Care Assistance Program Legal Nonlicensed Provider Monitoring Checklist (DHS-7867).

Who must be monitored?

Any legal nonlicensed provider with an open Service Authorization for a child who is not related to them must have an annual monitoring visit. Related means the provider is the child’s sibling, grandparent, great-grandparent, aunt, or uncle of the child, based on blood relationship, marriage or court decree.

Who is responsible for monitoring legal nonlicensed providers?

The agency issuing payments to the legal nonlicensed provider is responsible for ensuring the monitoring visit is completed. Agencies determine who will complete visits and the internal procedures for scheduling and performing the visit.

What if the provider provides care outside of the agency’s service area?

The CCAP agency issuing payments to the provider is responsible for ensuring monitoring visits are completed, but another agency can complete the monitoring visit.

The department encourages agencies to partner with each other. Agencies can establish formal written agreements or informal arrangements to share or transfer monitoring duties for providers living in other service areas.

What if the provider is receiving payments from multiple CCAP agencies?

If more than one CCAP agency is issuing payments to the provider for unrelated children, only one CCAP agency must monitor the provider. Results can be shared between CCAP agencies.

NOTE: Agencies should work together to ensure that the provider is not caring for children from more than one unrelated family at the same time.

What care site is monitored if the provider is approved to provide care in the child’s home?

When legal nonlicensed care is provided in the child’s home, the child’s home must be monitored. Both the parent and provider should be notified of the monitoring requirements when providers are not related to all the children they are authorized to care for.

When does an initial monitoring visit need to occur?

When a legal nonlicensed provider is issued a Service Authorization for an unrelated child for the first time, they must be monitored within 12 months of when care was authorized to start. Agencies are not required to conduct a monitoring visit before issuing a Service Authorization. Visits must be announced. The agency schedules the visit with the legal nonlicensed provider.

What if a provider’s Service Authorization for all unrelated children ends before their visit is completed?

If the Service Authorization for all unrelated children ends before the monitoring visit is due, no annual monitoring visit is required. If authorization with all unrelated children ends and then a new Service Authorization for an unrelated child is issued, the agency must complete an initial monitoring visit within 12 months of when care with any unrelated child was authorized to start or within 90 days from when the subsequent Service Authorization is issued, whichever is later.

Examples

1. Care was authorized to start with unrelated children on 7/1/2019. Care with all unrelated children ended on 10/15/2019. Care was authorized to start again with unrelated children on 2/15/2020. The annual monitoring visit is due by 7/1/2020 because that date (12 months from the initial authorization with unrelated children) is later than 90 days from when the subsequent Service Authorization was issued.

2. Care was authorized to start with unrelated children on 9/20/2019. Care with all unrelated children end 3/9/2020. Care was authorized to start again with unrelated children on 8/30/2020. The annual monitoring visit is due by 11/30/2020 because that date (90 days from the subsequent authorization with unrelated children) is later than 12 months from when care with any unrelated children was authorized to start.

How are subsequent monitoring visits handled?

After a provider’s initial monitoring visit, the agency must perform a subsequent annual monitoring visit within 12 months of the initial visit if care for an unrelated child continues.

If authorization with all unrelated children ends and then a new Service Authorization is issued for an unrelated child for a subsequent period, the annual monitoring visit must be completed within 12 months of the previous visit or 90 days from the day the Service Authorization is issued, whichever is later.

What if the provider is not available the day of the visit?

If the provider is not available at the time the agency has scheduled for the monitoring visit:

· If it is the first missed visit, the CCAP agency should allow the provider 15 days to reschedule the visit.

· If the provider is available for the rescheduled visit, the CCAP agency should complete the visit that day.

· If the provider is not available for the rescheduled time, end the Service Authorizations for any unrelated children with a 15-day adverse action notice.

· Service Authorizations cannot be reopened until a visit is completed. Service Authorizations can be retroactive to the date the visit is completed.

What if the provider has not had a monitoring visit by the required date?

If a provider has not had an annual monitoring visit completed by the date the provider is required to have a visit completed, the agency must:

· End the Service Authorizations for any unrelated children with a 15-day adverse action notice.

· Service Authorizations cannot be reopened until a visit is completed. Service Authorizations can be retroactive to the date the visit is completed.

What must a CCAP agency do after a visit is complete?

After an annual monitoring visit is performed, complete the Child Care Assistance Program – Monitoring Visit Summary (DHS-7867A) and submit to the department at CCAP.Providers.DCYF@state.mn.us. This form must be submitted for all monitoring visits.

If a provider did not meet all requirements during the visit and the provider submits written correction at a later date, complete a new Child Care Assistance Program – Monitoring Visit Summary (DHS-7867A) and submit to the department at CCAP.Providers.DCYF@state.mn.us.

What are the consequences for not demonstrating full compliance?

If a legal nonlicensed provider does not demonstrate full compliance with health and safety requirements identified in Keeping children safe in your home (DHS-5192B) and monitored using the Child Care Assistance Program Legal Nonlicensed Provider Monitoring Checklist (DHS-7867) at the monitoring visit:

· If all out-of-compliance factors can be demonstrated by submitting additional written information:

· Send a notice to the provider informing them of what information must be submitted.

· Complete the Child Care Assistance Program – Monitoring Visit Summary (DHS-7867A) and submit to the department at CCAP.Providers.DCYF@state.mn.us.

· DCYF will close the provider’s registration with a 15-day notice. Failing a requirement that can be corrected with written correction meets the CCAP criteria for unsafe care, see Chapter 11.18 (Provider Reporting).

· If at least one out-of-compliance factor cannot be demonstrated by submitting additional written documentation:

· Complete the Child Care Assistance Program – Monitoring Visit Summary (DHS-7867A) and submit to the department at CCAP.Providers.DCYF@state.mn.us to notify DCYF.

· DCYF will close the provider’s registration. Failing a requirement that cannot be corrected with written correction meets the CCAP criteria for imminent risk, see Chapter 11.18 (Provider Reporting).

When can a provider who did not demonstrate full compliance re-register?

Unsafe care

If the provider’s registration was closed for conditions that met the definition of unsafe care, they have the option to submit written documentation to demonstrate compliance to the agency that completed the monitoring visit. After the CCAP agency submits a new Child Care Assistance Program – Monitoring Visit Summary (DHS-7867A), DCYF CCAP will re-register the provider:

· If written documentation demonstrating full compliance is submitted within 15-day adverse action period, the provider can continue to be registered as a legal nonlicensed provider. If the documentation is not processed until after the registration closes, the registration can be reinstated without a gap.

· If written documentation submitting full compliance is submitted after the registration closes, the provider can be registered again effective the date of receipt of documentation showing compliance. There may be a gap in payments. The provider will have to go through the full registration process which may require updated training.

Imminent risk

If a provider is found to have failed for any conditions that meet the definition of imminent risk, they cannot be re-registered as a legal nonlicensed provider. The provider must become licensed to register in the future with CCAP.

What if a provider believes a monitoring report is inaccurate?

If the provider believes a monitoring report is inaccurate, the provider must contact the agency that conducted the monitoring visit to request a review. The agency must review the request. If an inaccuracy is found, the agency must correct the monitoring report and submit the corrected report to the Department of Children, Youth, and Families. The department must correct the posted monitoring report within 30 days of receipt.

How is annual monitoring information posted?

The department posts monitoring visit results using the Child Care Assistance Program – Monitoring Visit Summary (DHS-7867A) form publicly for three years. The results are posted by the provider identification number and date of visit on the department’s Legal Nonlicensed Provider Annual Monitoring Webpage.

When are monitoring results posted?

The department will post monitoring reports within 30 days after they are received by the county or Tribal agency.

Legal authority

Federal Child Care and Development Fund, 45 C.F.R. Part 98
Minnesota Statutes 142E.16