TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 1 - FAMILY CHILD CARE HOME I
1-001 SCOPE AND AUTHORITY: These regulations will become operative three months after their effective date. These regulations govern the licensing of family child care homes by the Department of Health and Human Services. Statutory authority for these regulations is in:
1. The Child Care Licensing Act (Neb. Rev. Stat. §§ 71-1908 to 71-1923);
2. The Child Protection Act (Neb. Rev. Stat. §§ 28-710 to 28-727);
3. The Clean Indoor Air Act (Neb. Rev. Stat. §§ 71-5716 to 71-5734);
4. The Quality Child Care Act (Neb. Rev. Stat. §§ 43-2601 to 43-2625);
5. Sex Offender Registration Act (Neb. Rev. Stat. §§ 29-4001 to 29-4014); and
6. Neb. Rev. Stat. §§ 4-108 to 4-114.
The Child Care Licensing Act requires the Department to develop regulations establishing standards for the physical well-being, safety, and protection of children in programs licensed under the Act. The purposes of the Act are to provide statewide licensure standards for persons providing child care programs and to provide the Department with authority to coordinate the enforcement of standards on licensees. The standards ensure that programs are providing proper care for and treatment of the children served, and that the care and treatment are consistent with the children’s physical well-being, safety, and protection.
The Child Protection Act authorizes the Department to use information in the state child abuse/neglect central register for purposes of licensing providers of child care programs, and the Clean Indoor Air Act addresses smoking in licensed child care programs.
The Quality Child Care Act requires the Department to develop regulations for mandatory training requirements for child care providers designed to meet the health, safety, and developmental needs of children and tailored to the needs of licensed providers. The Act states that the Legislature’s intent is to encourage high-quality, affordable, and accessible child care services that are educationally and age-appropriate.
The Sex Offender Registration Act authorizes the disclosure of information to providers who serve children for the purpose of conducting confidential background checks for employment.
Neb. Rev. Stat. §§ 4-108 to 4-114 provide that no state agency or political subdivision of the State of Nebraska may provide public benefits to a person who is not lawfully present in the United States. A child care license is considered a public benefit.
1-001.01 These regulations apply to Family Child Care Home I’s, which are licensed to provide a child care program in the licensee’s residence to at least four but not more than eight children, except that a licensee may be approved to serve up to two additional school-age children during non-school hours if no more than two of the other children in care are under 18 months of age.
1-001.02 The following are exempt from mandatory licensure, but may be voluntarily licensed:
1. Any person who provides child care:
a. On an irregular, informal basis and with no established pattern of occurrence;
b. Without cost to the parents and who receives no form of compensation;
c. To three or fewer children at any one time, except by a person whose license has been suspended or revoked;
2. Recreation camps as defined in Neb. Rev. Stat. § 71-3101, a recreation facility, center, or program operated by a political or governmental subdivision pursuant to the authority provided in Neb. Rev. Stat. § 13-304;
3. Classes or services provided by a religious organization other than child care, preschools, or nursery schools;
4. A preschool program conducted in a school approved under Neb. Rev. Stat. § 79-318;
5. Programs operated or contracted by a public school district and subject to the rules and regulations of the State Department of Education under Neb. Rev. Stat. § 79-1104;
6. Services provided only to school-age children during the summer and other extended breaks in the school year;
7. Care provided only to children 13 years of age or older;
8. Care provided for less than two hours per week on average;
9. Foster care as defined in Neb. Rev. Stat. § 71-1901;
10. Care provided by grandparents to only their grandchildren;
11. Care provided on federal military installations;
12. Care provided on Indian reservations by Native Americans; or
13. Care provided by non-Native Americans on Indian reservations when tribal authorities have assumed jurisdiction for regulating the care.
1-002 DEFINITIONS
Adequate and appropriate supervision means:
1. Knowing the whereabouts and being within sight or sound of all children at all times;
2. Being alert, attentive, and responsive to the needs of all children; and
3. Protecting or removing children from harm.
Ages of children:
1. Infant means a child age 6 weeks to 18 months;
2. Toddler means a child age 18 months to 3 years;
3. Preschool-age means a child age 3 or older who has not attended kindergarten; and
4. School-age means a child who attends kindergarten or above.
Child care means the care and supervision of children in lieu of parental care and supervision and includes programs. (See definition of program.)
Department means the Nebraska Department of Health and Human Services.
Early Childhood Training Center means the entity authorized in Neb. Rev. Stat. § 79-1102 and established within the Nebraska Department of Education. Its purpose is to train individuals who provide education and development activities for infants and young children and their parents.
Family means individuals who are not household members and have one or more children enrolled in the child care program.
Family Child Care Home I means a child care program in the licensee’s residence which is licensed to serve at least four but not more than eight children, except that a licensee may be approved to serve up to two additional school-age children during non-school hours if no more than two of the other children in care are under 18 months of age.
Family Child Care Home II means a child care program in the licensee’s residence or another location which is licensed to serve at least four but not more than 12 children.
Fence means a continuous barrier, including a wall, that is at least 36 inches in height, flush with the ground, and without any gaps that would allow a child to exit the fenced area.
Health authority means the local health department, which by law has the authority and duty for communicable disease control in the counties under its jurisdiction.
Household member means any individual residing in or regularly present in the child care home, including children and youth for whom 24-hour care is provided.
Licensed health care professional means an individual for whom administration of medication is included in the scope of practice.
Licensee means the owner of the child care program and the individual, partnership, limited liability company, or corporation to whom the license is issued and who is responsible for compliance with all regulations.
Locked storage means a container or closet used to store poisonous materials, medications, and weapons that is secured by lock and key, combination lock, or magnetic lock approved by the Department.
NAC means the Nebraska Administrative Code, the compiled regulations of all state agencies maintained by the Secretary of State. Properly adopted regulations have the force and effect of law. These regulations are 391 NAC 1. Within this chapter, references to other parts of the same chapter do not show “391 NAC”; they are shown simply as 1-003.01, for example. References to different regulations show the full citation; for example, 179 NAC 2-002.
Overnight care means care provided for children between the hours of 9:00 p.m. and 6:00 a.m.
Own children means biological, adoptive, and foster children, stepchildren, and grandchildren.
Parent means a natural parent, adoptive parent, step parent, guardian, or other legally responsible custodian.
Physical hold means applying minimal physical force by placing the arms around a child to restrict the child’s movement.
Premises means the home, including areas of the home not used for child care/preschool, all attached and all outbuildings, and all areas included within the lot boundaries.
Program means the provision of services in lieu of parental supervision:
1. For children under 13 years of age;
2. For compensation, either directly or indirectly; and
3. On the average of less than 12 hours per day, but more than two hours per week.
Program includes any employer-sponsored child care, family child care home, child care center, school-age child care program, school-age services under Neb. Rev. Stat. § 79-1104, or preschool or nursery school.
Proper hand washing means washing and scrubbing the hands for at least 20 seconds with soap and warm running water, rinsing well under running water, and drying with a paper towel, air dryer, or clean towel.
Restraint means the use of manual restraints (direct application of physical force) or mechanical restraints (straps, belts, towels, blankets, tape) or other means to subdue a child or otherwise limit a child’s freedom of movement. Restraint does not refer to physical holds or braces or other devices used to assist, obtain, and maintain normal body function.
Room means an area with four walls flush from the floor to the ceiling and at least one passageway or doorway. A partition is considered a wall if the partition is at least four feet high and is flush to the floor and to the other walls.
Special needs means a child has a requirement for extra care because of an acute or chronic physical or mental condition. Acute special needs include temporary conditions that require special medical attention and isolation from other children (e.g., recovery from surgery, etc). Chronic special needs include long-standing medical or behavioral problems that require medical, behavioral, or other services at all times (e.g., medically fragile, attention deficit, etc). To be considered a child with a special need, the child must have one or more of the following conditions which is not related to chronological age:
1. Emotional impairment: including behavioral impairment, requiring special equipment or assistance;
2. Developmental age level lower than chronological age and requires assistance via special supervision;
3. Movement impairment: requires assistance or is unable to move;
4. Sensory impairment: requires special environmental modifications or assistance;
5. Speech impairment: requires special equipment or assistance;
6. Hygiene: requires assistance or special equipment;
7. Feeding: requires special equipment or assistance;
8. Toileting: requires assistance or special equipment;
9. Medical conditions: requires respiratory aids or special procedures;
10. Therapy required: physical, occupational, speech, or respiratory;
11. Medications: requires assistance or special procedures.
Diseases such as measles, chicken pox, flu, etc., are not considered special needs.
Staff means an individual who has been hired or approved by the licensee to work or substitute in the child care home and who counts in the staff-to-child ratio.
Substitute means an individual age 16 or older who provides care in the absence of the primary provider.
Swimming pool means any artificial basin of water modified, improved, constructed, or installed for the purpose of swimming, wading, diving, recreation, or instruction. Swimming pool includes, but is not limited to, a pool on the child care premises, a pool serving a community, a subdivision, an apartment complex, a condominium, a club, a camp, a school, an institution, a park, a manufactured home park, a hotel, a motel, a recreational area, or a water park.
Swimming pool includes a spa, hot tub, whirlpool, or similar device which is designed for recreational use and not to be drained, cleaned and refilled after each individual use.
USCIS means United States Citizenship and Immigration Services.
USDA means the United States Department of Agriculture.
Volunteer means an individual who assists in the care of children, who does not count in the staff-to-child ratio, and is not left alone with children other than his/her own at the child care home.
Wading pool means a portable, above-ground basin filled with 12 or fewer inches of water and designed for the purpose of wading.
1-003 LICENSING REQUIREMENTS AND PROCEDURES: Any person intending to establish, operate, or maintain a Family Child Care Home I must first obtain a license from the Department. An applicant must show that the child care program meets all licensing requirements contained in these regulations, 391 NAC 1.
1-003.01 Provisional License: Provisional licenses are issued to all newly licensed Family Child Care Home I programs. Provisional licenses are effective for one year.
1-003.01A Application Requirements: An applicant for a provisional Family Child Care Home I license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. Consent for central registry checks and authorization for release of information for the applicant, all staff and volunteers age 13 or older, and all household members age 13 or older;
4. Documentation of a criminal history record check for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older (see 1-006.02A);
5. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older (see 1-006.02C);
6. A Health Information Report for the applicant on a form provided by the Department (see 1-006.02F);
7. Documentation of completed CPR/First Aid training (see 1-006.04F);
8. Documentation of completed pre-service orientation training by the Department;
9. A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of rooms to be used by the children, and outdoor play area;
10. Copies of zoning approval from the relevant jurisdiction;
11. The $25 licensing fee (see 1-004.06);
12. A completed Rules Compliance Checklist; and
13. Documentation that the applicant resides at the address on the application for licensure.
1-003.01B Denial of Provisional License: See 1-008 for grounds on which the Department may deny a provisional license.
1-003.01C Extension of Provisional License: The Department may extend a provisional license once for a period no longer than six months. The Department’s decision regarding extension of a provisional license may not be appealed. A provisional license may be extended if the Department determines:
1. The provisional licensee is unable to comply with all licensure requirements and standards, is making a good faith effort to comply, and is capable of compliance within the next six months;
2. The effect of the current inability to comply with a rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department which is to be completed within the extension period.
1-003.01D Expiration of Provisional License: The Department will send a notice of expiration to the licensee no later than 90 days before the date of expiration.
1. If a provisional licensee does not submit a complete application for an operating license on or before the expiration date, the provisional license expires.
2. If the former licensee submits a complete application and is in compliance with all regulations within 90 days after expiration, the Department will issue an operating license effective when issued.
3. If the former licensee submits an application more than 90 days after expiration, the Department will process the application as a provisional license application.
1-003.02 Operating Licenses: Operating licenses are standard, non-expiring licenses that are issued to Family Child Care Home I programs that have been in operation for more than one year and are in full compliance with all regulations. Licensees must have completed one full year with a provisional license with satisfactory compliance with all regulations before qualifying for an operating license.
1-003.02A Application Requirements: An applicant for a Family Child Care Home I operating license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. A Health Information Report for the applicant on a form provided by the Department (see 1-006.02F);
4. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older (see 1-006.02C);
5. Documentation of annual training hours completed during the provisional year;
6. A completed Rules Compliance Checklist;
7. A Fire Inspection Approval issued by the appropriate fire marshal’s office; and
8. The $25 licensing fee (see 1-004.06).
1-003.02B Denial of Operating License: See 1-008 for grounds on which the Department may deny an operating license.
1-003.03 Temporary and Voluntary Cease of Operation: A licensee may request to voluntarily cease operation of the child care program for a period of up to one year. The licensee must:
1. Have attained an operating license;
2. Intend to re-open the child care program at the same location;
3. Not serve any children during the period of ceased operation;
4. Not be the subject of an investigation of alleged non-compliance with regulations, or outstanding non-compliance; and
5. Pay license fees during the period as specified in 1-004.06.
1-003.03A If the licensee is the subject of any negative or disciplinary action, the period of ceased operation does not count toward the period of negative or disciplinary action.
1-003.03B No routine fire safety, sanitation, or Department inspections will be conducted during the period of ceased operation.
1-003.03C The period of ceased operation may be extended beyond the one-year limit if the licensee shows a reasonable cause.
1-003.03D Reinstatement: A Family Child Care Home I licensee may request reinstatement after a period of ceased operation by submitting an application at least 30 days before the scheduled re-opening date. The Department will review the application and decide if additional information, an on-site inspection, or a fire safety inspection is needed to determine compliance with regulations.
1-003.04 Negative Actions: The Department may initiate a negative action when a licensee is not in compliance with regulation but the violation does not rise to the level of a disciplinary action. (Disciplinary actions are described in 1-008.) Negative actions are voluntary and are not appealable. The Department may conduct unannounced monitoring inspections of licensees under negative action. If a licensee does not agree to the terms of the negative action, the Department may initiate a disciplinary action. The two types of negative action are a Licensing Agreement and Corrective Action Status, described as follows.
1-003.04A Licensing Agreement: The Department may request a written licensing agreement if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance; and
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff.
1-003.04A1 The licensing agreement must:
1. Identify the length of time the Department has determined the agreement will be in effect;
2. Identify violations of regulations;
3. Identify conditions the licensee has agreed to in order to correct any identified issue and to maintain compliance with licensing standards;
4. Be signed by the licensee; and
5. Be witnessed by a notary public, Department staff, or non-relative of the licensee.
1-003.04B Corrective Action Status: The Department may place a provisional or operating child care license on Corrective Action Status for up to six months if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance;
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department.
1-003.04B1 The written plan of correction must:
1. Identify the issue(s);
2. Identify who is responsible for corrections and maintenance of compliance;
3. Include timelines; and
4. Specify the information to be provided to the Department.
1-003.04B2 The Department may discipline the license if the written plan of correction is not approved.
1-003.05 Voluntary Surrender of a License: A licensee may voluntarily surrender a license issued under the Child Care Licensing Act at any time, except that the Department may refuse to accept a voluntary surrender of a license if the licensee is under investigation or if the Department has initiated disciplinary action against the licensee. If the Department accepts the surrender, the licensee must return the license to the Department within one week of the surrender.
1-003.05A Reapplication for an Operating License Less Than One Year After Voluntary Surrender: An individual who voluntarily surrendered an FCCH I operating license less than one year before the date of reapplication may reapply for an operating license. The individual must meet the requirements of 1-003.02A.
1-003.05B Reapplication One Year or More After Voluntary Surrender: An individual who voluntary surrendered an FCCH-I provisional or operating license one year or more before the date of reapplication must reapply for a provisional license. The individual must meet the requirements of 1-003.01A.
1-003.06 Permanent Closure: When a program is to be permanently closed, the licensee must return the license to the Department within one week of closing.
1-004 GENERAL REQUIREMENTS
1-004.01 License Not Transferable: A Family Child Care Home I license is not transferable or assignable and is only valid at the address printed on the license.
1-004.02 Posting of License and Availability of License Record Information: The license, including any applicable status or amendment, must be displayed in a prominent place so that it is clearly visible to parents and others. A provisional FCCH-I license will be marked “Inspection Pending” until the Department conducts the 60-day inspection of the home. (See 1-005.01 and 1-005.05.) The Department will note completion of the inspection on the license. The licensee must ensure that license record information and inspection reports are available for public viewing upon request.
1-004.03 Alternative Compliance: The Department may grant alternative compliance with a regulation under the following conditions.
1-004.03A Written Request: A request for alternative compliance must be submitted to the Department in writing and must include:
1. The regulation for which alternative compliance is being requested;
2. The reason(s) for the alternative compliance request;
3. A description of how the alternative will meet the intent of the regulation; and
4. How the alternative will offer equal protection for all children.
1-004.03B Review and Approval: The Department may request additional information from the applicant or licensee in order to reach a decision to approve or deny the alternative compliance request. To be considered for approval, the proposed alternative must:
1. Be consistent with the overall intent and purpose of the regulation; and
2. Protect the health, safety, and well-being of all children in care.
1-004.03C Terms of Alternative Compliance: Alternative compliance may be granted:
1. For a period of time that ends when the conditions of the approval no longer exist; and
2. To permit the applicant or licensee time to come into compliance.
1-004.03D Requirements Not Qualifying for Alternative Compliance: Alternative compliance will not be granted for the following requirements:
1. Capacity/Ratio;
2. Transportation;
3. Supervision;
4. Fire safety;
5. Criminal history/background checks;
6. Licensee and staff; and
7. Any regulation for which a discipline has been initiated or completed.
1-004.03E Notification of Department Decision: When the Department receives an alternative compliance request and has obtained all information needed to process the request, the Department will notify the applicant or licensee in writing of its decision to approve or deny the request. The notification will be made within 30 days of the Department’s receipt of all appropriate information.
1-004.04 Notification of Changes
1-004.04A Before the change goes into effect, the licensee must submit an Amendment to Application and receive approval from the Department for a change to any of the following:
1. Building or building usage;
2. Age of children for whom the program provides care;
3. Hours or days of the week care is provided;
4. Address or location. A new location cannot be used for child care until the license is amended. The following additional information must be submitted with the Amendment to Application:
a. A sketch, diagram, or blueprint of the home showing the dimensions and arrangement of each room to be used by children and the outdoor play area;
b. The applicable section of the Rules Compliance Checklist;
c. The planned occupancy date; and
d. Documentation that the licensee will reside at the new location; and
5. Staff, volunteers, or household members. The following additional information must be submitted with the Amendment to Application:
a. If a new staff, volunteer, or household member is 13 or older, a completed and signed Consent for Nebraska Central Registry Checks and Authorization for Release of Information; and
b. If a new staff, volunteer, or household member is 19 or older, a Report of Law Enforcement Contact and documentation of a criminal history record check.
1-004.04B Within two working days of the following changes, the licensee must submit an Amendment to Application:
1. A change in the name of the licensee; or
2. A change in household members age 12 or younger.
1-004.05 Information Available to Public: The Department will release the following information to the public upon request:
1. Application;
2. Name of licensee;
3. Name of program;
4. Program address;
5. Program telephone number;
6. Alternative compliances;
7. Type of license;
8. Relevant license information (for example, license capacity, hours and days of care, ages of children served, license effective dates);
9. Copies of inspection reports;
10. Fire safety inspection reports and correspondence;
11. Sanitation inspection reports and correspondence;
12. Licensing agreements;
13. Provisional license extension notices;
14. Corrective action status notices;
15. Discipline notices;
16. Corrective action plans;
17. Written transcripts of administrative hearings;
18. Emergency orders; and
19. All final orders.
1-004.05A The Department will not release the following information to the public:
1. Names, addresses and telephone numbers of complainants;
2. Names, addresses and telephone numbers of enrolled children and their parents/guardians;
3. Social Security or Federal Tax Identification numbers;
4. Health Information Reports and any physical or behavioral health information on the licensee and staff;
5. Reports of Law Enforcement Contact by the licensee, staff, and household members;
6. Law enforcement reports;
7. Child protection and safety reports or records, including the state child abuse/neglect central register under Neb. Rev. Stat. § 28-718;
8. Adult protective services (APS) reports or records, including the APS central registry under Neb. Rev. Stat. § 28-376;
9. Nebraska State Patrol Sex Offender Registry information not available to the public under the Sex Offender Registration Act; or
10. Internal Department correspondence, notes, and investigation reports.
1-004.06 Fees
1. Initial and annual licensure fees for a Family Child Care Home I are $25.
2. Initial and annual licensure fees are nonrefundable, except:
a. If the Department denies an application for a license or an applicant withdraws their application, and the Department has not completed an inspection before the denial or withdrawal, the Department will return the license fee to the applicant.
3. Fees will be accepted in the form of a check or money order. Cash will not be accepted.
1-005 INSPECTIONS AND COMPLAINT INVESTIGATIONS: To determine compliance with licensing regulations, the Department will inspect Family Child Care Home I programs as provided under the Child Care Licensing Act and the Quality Child Care Act.
1-005.01 Sixty-Day Inspection: The Department will conduct an unannounced inspection within 60 days of the issuance of a provisional, operating, or amended FCCH-I license.
1-005.02 Annual License Inspection: The Department will conduct an unannounced inspection each year to assess compliance with licensing regulations.
1-005.03 Follow-Up Inspection: The Department may conduct a follow-up inspection to determine if the licensee has corrected all violations and to determine full compliance with regulations following any type of inspection. If conducted, the follow-up inspection will:
1. Occur no later than 60 days after the original inspection, or sooner if the licensee requests or if the violation needs to be corrected immediately; and
2. Be unannounced unless the program is closed.
1-005.04 Monitoring Inspection: The Department may conduct unannounced monitoring inspections to determine compliance with regulations and the conditions of any negative action or discipline.
1-005.05 Inspection Results
1. The Department will provide a copy of the compliance report to the child care program within ten working days after completion of an inspection.
2. When the Department finds the applicant or licensee has complied substantially, but has failed to comply fully with all regulations, the applicant or licensee may request an alternative compliance (see 1-004.03).
3. When the Department finds that the applicant or licensee has complied substantially but has failed to comply fully with all regulations and the failure(s) would not pose an imminent danger of death or serious harm, the Department may:
a. Allow the applicant or licensee a period of time to correct all the violations; or
b. Initiate negative action or discipline if the applicant or licensee fails to correct all violations within the time frame given by the Department or has a history of violating the same or similar regulations at previous inspections.
4. When the Department finds that the applicant or licensee has failed to meet the regulations, the Department may initiate negative action or discipline or require the applicant or licensee to make all corrections at the time of inspection. If compliance cannot be achieved immediately, the Department may allow a reasonable period of time after the inspection was conducted to make corrections.
1-005.06 Complaint Investigations: The Department will investigate any licensed child care home after receiving an allegation of violation of licensing regulations.
1. The Department will accept complaints from anyone who witnessed a violation or a parent/guardian of a child who witnessed a violation.
2. The Department will accept complaints via telephone, letter, fax, electronically, or in person.
3. The identity of a complainant is not public information.
4. Only if found to be credible by the Department can such an allegation or complaint result in any negative action or discipline.
1-005.07 Complaint of Allegedly Improper Unlicensed Care: The Department will investigate any complaint of a person allegedly providing child care without an appropriate license. The Department will accept complaints from anyone via telephone, letter, fax, or electronically. The identity of a complainant is not public information. The Department may request enforcement by the Attorney General or the appropriate County Attorney if a person continues to provide a child care program without a license.
1-005.08 Inspection by Other Entities
1-005.08A Fire Inspection: The Department will make a fire inspection referral when:
1. An application is received for an initial Family Child Care Home I license;
2. There is a change in address;
3. The licensee is using areas of the home that were not approved for the care of children;
4. There is a change in hours to include overnight care;
5. There is a complaint specific to fire safety issues; or
6. Department staff observe conditions that may endanger the health or safety of children in care.
1-005.08B Sanitation Inspection: The Department will make a sanitation inspection referral when:
1. There is a complaint specific to sanitation issues; or
2. Department staff observe conditions that may endanger the health or safety of children in care.
1-006 STANDARDS OF OPERATION AND CARE: To provide adequate protection to children in care and to comply with state law, a Family Child Care Home I must meet the following standards.
1-006.01 Licensee Qualifications and Requirements: The Family Child Care Home I licensee must:
1. Be at least 19 years of age;
2. Be of good moral character;
3. Be a U.S. citizen or qualified alien lawfully present in the U.S.;
4. Be responsible for the day-to-day operation of the child care program;
5. Read, understand, and be familiar with these regulations;
6. Make license record information and inspection reports available for public review upon request;
7. Be in compliance with all regulations whenever any children are in care;
8. Assess his/her own ability and the ability of all staff to provide care for children with special needs while meeting the needs of other children enrolled;
9. Not engage in any other employment that interferes with the care of children;
10. During the hours of operation, not be under the influence or allow any staff, volunteer, or household member to be under the influence of alcohol, controlled substances that have not been lawfully prescribed, or any other type of substance that would affect their ability to care for children;
11. Allow parents access to their children at all times that children are in care; Denial of immediate and unrestricted access to the licensed premises by parents may be basis for disciplinary action against the license;
12. Allow access to the premises by an agent or employee of the Department for the purpose of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
13. Allow announced and unannounced inspections by state or local inspectors, investigators, or law enforcement officers for the purpose of investigation necessary to carry out their duties;
14. Not knowingly allow any individual to be on the premises if s/he has been convicted of, admitted to, or there is substantial evidence of, crimes involving intentional bodily harm, crimes against children, crimes involving the illegal use of controlled substances, or crimes involving moral turpitude;
15. Not knowingly allow any individual who is a registered sex offender on the premises, except that a parent who is a registered sex offender may be allowed on the premises only to pick up and drop off his/her child;
16. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children; and
17. Immediately file a report with the Child Abuse-Neglect Hotline (1-800-652-1999) and/or appropriate local law enforcement agency when s/he has reason to believe child abuse, neglect, or sexual abuse may be occurring in the family child care home, in the child’s home, or elsewhere.
1-006.02 Background Checks, Health Information, and Employment Limitations
1-006.02A Criminal History Record Check: The applicant/licensee must complete a pre-employment criminal history record check through a governmental law enforcement agency on him/herself, each staff member and volunteer age 19 or older, and each household member age 19 or older. Documentation must be kept and available for review by the Department. The check must be conducted through the Nebraska State Patrol or through one or more local law enforcement agencies, as appropriate to the individual’s residence(s). If an individual has lived in Nebraska less than 12 months, the applicant/licensee must obtain documentation of a criminal history record check from the previous state(s) of residence.
1-006.02A1 Permanent Child Care Disqualification:
An individual is permanently disqualified from holding a child care license or working as a staff member or volunteer in a Family Child Care Home I if s/he has a criminal history that includes conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes against a child or vulnerable adult, crimes involving intentional bodily harm, crimes involving the sale, distribution or procurement of a controlled substance, or crimes involving moral turpitude on the part of the individual. These crimes include, but are not limited to:
1. Aggravated or armed robbery;
2. Assault, first or second degree;
3. Child abandonment;
4. Child abuse;
5. Child molestation or debauching a minor;
6. Child neglect;
7. Commercial sexual exploitation of a minor;
8. Domestic violence;
9. Exploitation of a minor involving drug offenses or conviction of
drug offenses that involved a minor;
10. Felony controlled substances offenses, other than possession;
11. Felony violation of custody;
12. Incest;
13. Kidnapping;
14. Murder, first or second degree;
15. Sexual abuse of a minor;
16. Sexual assault;
17. Sexual exploitation of a minor, including child pornography; or
18. Voluntary manslaughter.
1-006.02A2 Twenty-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a Family Child Care Home I if s/he has a criminal history that includes conviction in the last 20 years of:
1. Arson;
2. Criminal non-support;
3. Felony possession of controlled substance offences;
4. Felony theft; or
5. Robbery.
The 20-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility is not included in the calculation of the 20-year period of disqualification. If the individual has more than one conviction, the 20-year disqualification begins the date the most recent conviction became final.
1-006.02A3 Five-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a Family Child Care Home I if s/he has a criminal history that includes conviction in the last five years of:
1. Burglary;
2. Driving under the influence: two or more convictions;
3. Felony bad check writing;
4. Misdemeanor controlled substances offenses;
5. Misdemeanor contributing to the delinquency of a child; or
6. Misdemeanor theft.
The five-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility is not included in the calculation of the five-year period of disqualification. If the individual has more than one conviction, the five-year disqualification begins the date the most recent conviction became final.
1-006.02A4 An applicant, licensee, staff member, volunteer, or household member must not have had his/her rights as a parent terminated by a Court because of a finding of abuse or neglect of a child or inability to care for a child.
1-006.02A5 Department Determination: An individual may hold a child care license or work as a staff member or a volunteer in a Family Child Care Home I with a pending complaint or indictment or conviction of other crimes if the Department determines the individual has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
1. The age of the individual at the time of the conduct;
2. The recency of the conduct;
3. The seriousness of the conduct;
4. The factors underlying the conduct;
5. The cumulative effect of the conduct;
6. The evidence of rehabilitation;
7. The individual’s positive social contributions since the conduct;
8. The individual’s honesty in providing information; and
9. The materiality of any omissions or misrepresentations.
The Department may deny or take action against a license if an individual is found to have a criminal history that includes conviction or substantial evidence of committing or permitting, or aiding or abetting another to commit, any unlawful act endangering the health or safety of another individual or a history of convictions or behavior that shows an inability or unwillingness to comply with laws or regulations. This applies to the applicant/licensee, household members who reside at the place where the child care program will be/is provided, volunteers, and employees of the applicant/licensee.
1-006.02B Registry Checks:
The applicant/licensee, staff, volunteers, and household members must not be listed as a perpetrator of abuse or neglect on Nebraska’s:
1. Child abuse/neglect central register, if the individual is age 13 or older;
2. Adult protective services (APS) central registry, if the individual is age 18 or older; or
3. State Patrol sex offender registry.
The individual must provide enough information for an accurate check of the registries and must authorize the release of registry information. The Department will conduct the child and adult registry checks and provide the results to the applicant/licensee.
The applicant/licensee must conduct the State Patrol sex offender registry check. All registry checks must be completed before the individual assumes responsibility for the care and supervision of children.
Any individual who is listed as a perpetrator on any of the registries must not be on the child care premises during the hours of operation, except that a parent listed as a perpetrator may be allowed on the premises only to pick up and drop off his/her child.
1-006.02C Reports of Law Enforcement Contact: The applicant/licensee must complete a Report of Law Enforcement Contact for him/herself and must obtain a completed report for each staff member and volunteer age 19 or older and each household member age 19 or older. The report must:
1. Be updated, signed and dated annually;
2. Be updated any time one of these individuals is arrested, issued a citation other than a minor traffic violation, or charged with or convicted of any felony, misdemeanor, or infraction;
3. List all previous and currently pending criminal charges and arrests, both felony and misdemeanor, regardless of prosecution;
4. List any record of felony and/or misdemeanor charges and arrests related to crimes against children;
5. List any record of felony and/or misdemeanor convictions;
6. List any current or past parole or probation status, including diversion or court supervision; and
7. List details, dates, county and state of the contact, arrest, charge, conviction, and disposition, if any.
1-006.02D Notification of Law Enforcement Contact: As soon as the licensee becomes aware of the occurrence, the licensee must notify the Department of any arrest, misdemeanor ticket other than a traffic violation, pending criminal charges, and any felony/misdemeanor convictions of him/herself, staff, volunteers, or household members. Failure to notify the Department of law enforcement contacts as described may result in disciplinary action.
1-006.02E Investigations and Repeat Registry Checks
1. Any time the licensee has reason to believe that a staff member or volunteer is being or has been investigated for abuse, neglect, or sexual abuse of a child or vulnerable adult, the licensee must submit the name of that individual to the Department for a check with the child abuse/neglect or adult protective services registry.
2. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
1-006.02F Health Information Report: The applicant must submit a completed and signed Health Information Report on a form provided by the Department for him/herself as part of the initial application. All staff who are responsible for the care and supervision of children more than 20 hours per week must complete the report within 30 days of hiring. The Health Information Report must be completed annually.
The Health Information Report must include an assessment by a health professional of the individual and any health conditions that could negatively affect his/her ability to care for children. If the information indicates that the individual has, or has had, a health condition that could negatively affect his/her ability to care for children, the Department may request additional information.
1-006.03 Staff, Volunteer, and Household Member Qualifications and Requirements
1-006.03A Staff: Staff, including substitutes, must:
1. Be at least 16 years of age;
2. Be of good moral character; and
3. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children.
1-006.03B Volunteers: All volunteers must:
1. Be of good moral character;
2. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children; and
3. Never be left alone with children other than their own.
1-006.03C Household Members: For each household member, the licensee must:
1. Obtain a completed Report of Law Enforcement Contact on household members age 19 or older;
2. Obtain documentation of a criminal history record check on household members age 19 or older; and
3. Not allow any household member who engages in behavior injurious to or which may endanger the health or morals of children to provide care or be on the premises.
1-006.04 Training: Training must be completed as follows. Documentation of the completion of all training must be available on the premises for the Department to review. Acceptable documentation includes certificates issued by trainers and documentation of independent study.
1-006.04A Pre-Service Training: Before a provisional license will be issued, the applicant must complete the following:
1. Two-hour orientation training provided by the Department;
2. Cardiopulmonary Resuscitation (CPR) training; and
3. First Aid training.
1-006.04B Safety Training: The licensee must complete training developed by the Early Childhood Training Center on Sudden Infant Death Syndrome (SIDS), safe sleep, shaken baby syndrome, and child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. In programs licensed on or after the operative date of these regulations, the licensee must complete the training within three years of the date of provisional licensure and every five years thereafter.
2. In programs licensed before the operative date of these regulations, the licensee must complete the training within three years of that operative date and every five years thereafter.
3. This training counts toward the annual training requirement.
1-006.04C Business Management Training: The licensee must complete a business training module for family child care homes developed by the Early Childhood Training Center (ECTC). Any proposed equivalent training must be approved by the Department.
1. In programs licensed on or after the operative date of these regulations, the licensee must complete the training within five years of the date of provisional licensure.
2. In programs licensed before the operative date of these regulations, the licensee must complete the training within five years of that operative date.
3. This training counts toward the annual training requirement.
1-006.04D Nebraska’s Early Learning Guidelines Training: The licensee must complete training in the seven domains of Nebraska’s Early Childhood Learning Guidelines developed by the ECTC. Any proposed equivalent training must be approved by the Department. The domains are: Approaches to Learning, Creative Arts, Health and Physical Development, Language and Literacy Development, Mathematics, Science, and Social and Emotional Development.
1. In programs licensed on or after the operative date of these regulations, the licensee must complete training in one domain within four years of the date of provisional licensure and one domain annually thereafter.
2. In programs licensed before the operative date of these regulations, the licensee must complete training in one domain within four years of that operative date and one domain annually thereafter.
3. This training counts toward the annual training requirement.
1-006.04E Annual Training: The licensee and each staff member, not including substitutes or volunteers, must obtain 12 clock hours of training annually. Staff who work 20 hours or less each week must complete six hours of training annually.
1-006.04E1 Training must include but is not limited to the following topics:
1. Safe environments;
2. Healthy environments;
3. Learning environments;
4. Physical development;
5. Cognitive learning;
6. Communication;
7. Creative learning;
8. Self esteem;
9. Social development;
10. Guidance;
11. Family relationships;
12. Program management; and
13. Professionalism.
Audio, video, and reading material specific to one or more of these training topics will count toward the annual training requirement only if an Independent Learning Summary is completed on a form provided by the Department. The actual length of audio and video material will be counted, and 50 pages of text will be considered equal to one clock hour of training. Two hours of CPR and one hour of first aid will be counted in the year that each is taken.
1-006.04E2 Each clock hour spent participating in any of the following types of activities counts toward the annual training requirement:
1. Workshops and conferences;
2. College courses;
3. Non-credit course work; and
4. Adult education courses.
1-006.04F Cardiopulmonary Resuscitation (CPR) and First Aid Training
1. CPR training must be obtained from an entity that has been approved by the Nebraska Board of Emergency Medical Services. The Department will provide the program with information about approved CPR courses.
2. The licensee must maintain current CPR and First Aid training as long as s/he is licensed.
3. The CPR card and documentation of First Aid training must be available upon request.
1-006.05 Employee Records Requirements: The licensee must ensure the following records are maintained, updated as needed, and made available to the Department upon request.
1-006.05A Staff: Records for all staff, except substitutes and volunteers, must include:
1. Name;
2. Address and telephone number;
3. Social Security number;
4. Date of hire/termination;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. A completed Health Information Report;
8. Documentation of Nebraska registry checks with no adverse findings;
9. Documentation of training; and
10. Documentation that the individual has read and understands these regulations.
1-006.05B Substitutes and Volunteers: Records for each substitute and volunteer must include:
1. Name;
2. Address and telephone number;
3. Social Security Number;
4. Start date;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. Documentation of Nebraska registry checks with no adverse findings; and
8. For volunteers only, a written schedule that includes the hours and days of the week the individual serves as a volunteer.
1-006.06 Child’s Record: A Child’s Record must be completed before the child’s enrollment. The record must be kept current and available for review upon request by the Department. A Child’s Record form may be used or a form may be created and must contain the following information for each child:
1. Name of child;
2. Birthdate of child;
3. Enrollment date;
4. Date care ceased, if applicable;
5. Parent or guardian’s home address and telephone number;
6. Parent or guardian’s employment address and telephone number;
7. Individual(s) to whom the child may be released by the caregiver;
8. Individual(s) who will take responsibility for the child in an emergency when the parent or guardian cannot be reached;
9. Consent to contact a physician in an emergency;
10. Current health status of the child; and
11. List of child’s allergies and intolerance to food, insect bites, or stings, or other factors that result in a medical reaction, and clear instructions in the event of an exposure to the factor.
1-006.07 Parent Information Brochure: At the time of enrollment, the licensee must give the parent(s) of each enrolled child a Parent Information Brochure provided by the Department. The licensee must keep receipts signed and dated by the parent and make them available for review by the Department.
1-006.08 Licensed Capacity and Staff-to-Child Ratio
1-006.08A Licensed Capacity: The number of children in care at any one time must not exceed the licensed capacity. Licensed capacity will be determined by the Department based on available space and the capacity authorized by the State Fire Marshal or delegated authority. Whichever number is smaller will be the licensed capacity of the child care home.
The maximum licensed capacity for a Family Child Care Home I is eight children, except that a licensee may be approved to serve up to two additional school-age children during non-school hours, if no more than two of the other children in care are under 18 months of age.
In determining whether the licensed capacity has been exceeded, any adults receiving care and supervision and all children at the program are counted, except:
1. Children who leave the child care home for an activity and will not be returning that day;
2. Children enrolled in the program and in attendance at school; and
3. Own children age eight or older unless the licensee is receiving compensation directly or indirectly for his/her own children age eight or older.
1-006.08B Staff-to-Child Ratio: The appropriate staff-to-child ratio must be met at all times, as follows.
1. Infants only. If the program provides care to infants only, the following ratios apply:
Number of Infants in Care | Number of Staff Required |
4 | 1 |
5-8 | 2 |
2. Mixed ages. If the program provides care to children of mixed ages, the following ratios apply:
Number of Children in Care | Number of Staff Required |
1-8 | 1 |
9-10 (9th and 10th children must be school-age) | 1 |
a. Programs serving children of mixed ages of may provide care for up to three infants if no more than two of the infants are under 12 months of age.
b. Programs may provide care for up to two additional school-age children during non-school hours if no more than two of the other children in care are under 18 months of age.
3. School-age only. If the program provides care to school-age children only, the following ratio applies:
Number of Children in Care | Number of Staff Required |
1-10 | 1 |
1-006.09 Communicable Diseases: The Department will provide the program with information about communicable diseases to assist the program in carrying out its responsibilities.
1-006.09A Notification to Parents: The licensee must notify parents of all enrolled children of any case of any reportable communicable disease on the same day the licensee is informed of or observes the illness, unless otherwise directed by the health authority. The health authority is the local health department for the area. Proper notification includes:
1. Notification to parents of children in attendance;
2. Notification to parents of enrolled children who are not in attendance on that day; and
3. Posting notice of the outbreak in a conspicuous place.
1-006.09B Confidentiality: Names of ill children must not be released to anyone except health authorities, unless parents have given their permission.
1-006.09C Health Authority: The licensee must follow all directives given to the licensee by the health authority in the event of a communicable disease outbreak.
1-006.10 Children Excluded Due to Illness: The licensee must have a written policy that identifies the circumstances under which children would be excluded from child care due to illness. To assist in writing the policy, the Department will provide the licensee with materials that include recommendations on:
1. Exclusion based on specific conditions such as fever, diarrhea, vomiting, etc.; and
2. Exclusion based on specific contagious and infectious diseases such as chickenpox, measles, mumps, etc.
The licensee must enforce the program’s exclusion policy and make it available to the Department and to the parents of enrolled children.
1-006.11 Immunizations: Within 30 days of a child’s enrollment, the licensee must obtain a copy of each enrolled child’s immunization record. Immunization records must be available for review upon request by the Department and updated each time the child receives additional immunizations. Each child’s immunization record must include:
1. Documentation of age-appropriate immunization;
2. Certification by a physician, advanced practice registered nurse, or physician assistant that immunization is not appropriate for a stated medical reason; or
3. A written statement that the parent or guardian does not wish to have the child immunized and the reasons for that decision.
1-006.11A Immunization Report: The licensee must comply with all state statutes and regulations (Neb. Rev. Stat. §§ 71-1913.01 to 71-1913.03 and 173 NAC 4) regarding immunization status of all enrolled children. This includes annual reporting to the Department as specified in 173 NAC 4. The Department will provide materials to assist the program in carrying out its responsibilities.
1-006.12 Supervision of Children: Adequate and appropriate supervision must be provided to children at all times children are in attendance, including during outdoor play. Ultimate responsibility for supervision rests with the licensee.
1-006.12A Supervision in the Absence of the Licensee: Any designated substitute has the same responsibility for providing adequate and appropriate supervision as the licensee. All parents, except in emergency situations, must be notified in advance of the use of a substitute supervisor.
1-006.12B Permission for Off-Premises Supervision: The licensee must ensure that parents are informed and give written permission when children will be outside the premises of the home and supervised by staff. Written permission must be available to the Department on request.
1-006.12C Permission for Child to Leave Premises: If a child participates in activities that are not provided by the licensee and are outside the child care premises, the licensee must obtain written permission from the parent. The written permission must be available to the Department upon request and must indicate the following:
1. The parent gives permission for his/her child(ren) to leave the child care premises; and
2. The parent understands the licensee is not responsible for supervision while his/her child participates in activities outside the child care premises or outside the supervision of the licensee.
1-006.12D Supervision During Outdoor Play: All children must be supervised during outdoor play.
1-006.12D1 Fenced Play Area: Children under the age of two must be accompanied and supervised while in a fenced play area. Children two or older may play in a fenced area unaccompanied, but must be supervised at all times.
1-006.12D2 Unfenced Play Area: Children under the age of four must be accompanied and supervised while in a play area that does not require a fence. Children four or older may be unaccompanied, but must be supervised at all times when playing in an unfenced play area.
1-006.13 Discipline: When parents are not present, the responsibility for the discipline of children in care lies only with the licensee or the designated substitute.
1-006.13A Prohibited Forms of Discipline: The following actions are prohibited as a form of discipline:
1. Spanking;
2. Slapping;
3. Punching;
4. Pinching;
5. Shaking;
6. Striking with any object;
7. Use of soap, hot sauce or other unpleasant food or non-food items;
8. Isolating a child in a locked or closed room or closet;
9. Handling roughly;
10. Biting;
11. Denial of food;
12. Forced napping;
13. Subjecting a child to derogatory remarks about the child or the child’s family;
14. Abusive or profane language directed at children;
15. Yelling or screaming at children;
16. Threats of physical punishment; or
17. Mechanical restraints.
1-006.13B Child Behavior That Cannot Be Disciplined: Children must not be disciplined for the following:
1. Toileting accidents;
2. Refusal to take medication; or
3. Refusal to eat.
1-006.13C Use of Time Out: Separation from the group, if used, must be brief and appropriate for the child’s age. The time out period must:
1. Take place in a safe, lighted, and well-ventilated area;
2. Occur within hearing distance of staff; and
3. Not exceed more than one minute for each year of the child’s age. If the time a child spends in time out is extended, it must be carried out as indicated by a behavioral management plan developed and monitored by a licensed or certified professional qualified to identify the special needs of a child, as having a physical, emotional, or social developmental delay or impairment.
1-006.13D Use of Physical Hold: The licensee and staff may restrict a child’s movement by the use of a physical hold. A physical hold may be used only:
1. When the child is hurting him/herself, others, or property;
2. When the hold does not prevent the child from breathing or speaking; and
3. Until the child is calm and able to show reasonable control of his/her behavior.
1-006.13D1 Notification and Documentation: The licensee must notify the child’s parents within 24 hours of the physical hold when a physical hold is used on their child. Written documentation of each use of a physical hold must be available for review by the parents of the child involved in the physical hold and the Department. The documentation must include:
1. Child’s name;
2. Date of the incident;
3. Description of the incident; and
4. Names of the staff involved.
1-006.13E Use of Restraints: The use of restraints is prohibited except under the following conditions:
1. All staff who participate in restraining a child must have received prior training in de-escalation and the use of restraints.
2. The training curriculum must be accepted by the Department.
3. The training must be taught by a certified trainer.
4. Written documentation of each use of restraint must be available for review by the parents of the child involved in the restraint and the Department. The documentation must include:
a. Child’s name;
b. Date of the incident;
c. Description of the incident; and
d. Names of the staff involved.
1-006.14 Prohibited Language, Materials, and Actions: Children of any age must not be exposed to:
1. Profanity;
2. Sexually explicit material;
3. Acts of violence towards a person or animal; or
4. Acts of racism.
1-006.15 Child Development Program: The licensee must provide an age-appropriate program designed to promote the cognitive, social, emotional and physical development of children in care. Information about the program must be given to parents and the Department upon request. The program must include:
1. Indoor play;
2. Outdoor play;
3. Napping and rest periods;
4. Opportunities for individual and group play times;
5. Opportunities for children to read and explore books;
6. Daily reading with children of age-appropriate literature; and
7. Fostering language and social development by talking and interacting with children and modeling appropriate language and behavior.
1-006.15A Toys, Equipment and Materials: The licensee must provide a sufficient number of age-appropriate toys, equipment, and materials for all children in care. Children below the age of three must not have access to toys and objects that could create a choking hazard unless directly supervised by the licensee or staff.
1-006.15B Beds, Cribs, and Sleeping Surfaces: Appropriate sleeping surfaces must be available for each child in care.
1. Acceptable sleeping surfaces for children over 12 months of age are:
a. Beds;
b. Cots;
c. Cribs;
d. Playpens;
e. Sofas;
f. Washable sleeping bags; and
g. Waterproof mats.
2. The only acceptable sleeping surfaces for children age 12 months and under are cribs and playpens. When used, cribs and playpens must meet the following standards:
a. Cribs and playpens must be federally approved;
b. Cribs must be equipped with a tight-fitting waterproof mattress covered by a fitted sheet. The mattress pad for a playpen must be specifically designed for playpen use and covered by a fitted sheet;
c. Cribs and playpens must contain no soft objects, bumper pads, toys, or loose bedding. If a blanket is used, it must be secured or tucked under the crib mattress or the pad of the playpen and reach no higher than the infant’s chest; and d. Cribs and playpens must be clean, in good repair, and not have any surface covered by lead-based paint.
3. The following must not be used as sleeping surfaces:
a. The top level of a bunk bed for children age 5 and under;
b. Stackable cribs;
c. Waterbeds for children age 3 and under; and
d. Cots, cushions, futons, mats, or pillows for infants 12 months and under.
1-006.16 Infant/Toddler Care: If care is provided to infants and/or toddlers, the licensee and staff must:
1. Investigate the cries of infants immediately;
2. Hold, talk to, and engage in play activities with each child every day;
3. Hold infants under six months of age or those not yet able to hold their own bottles. Bottles must not be propped and must be removed from sleeping infants;
4. Only use high chairs that are equipped with three-point safety straps;
5. Obtain and keep on file a signed and dated statement by the parent(s) that describes the formula and feeding schedule for each infant in care; and
6. Place infants on their backs to sleep unless there is a medical reason for a child to sleep in a different position. A written note from the infant’s physician, nurse practitioner, or physician assistant indicating that the infant must sleep in a different position must be obtained, kept on file, and available for review by the Department.
1-006.16A Diapering and Toileting
1. The licensee must ensure that diapering procedures are established and followed by staff. The procedures must require that:
a. Wet and/or soiled diapers are changed immediately;
b. Diapers are checked on a frequent and regular basis;
c. Individual washcloths or disposable towelettes are used;
d. Wet and soiled diapers are properly stored and disposed;
e. Diaper-changing surfaces are cleaned after each use by sanitizing the surface or changing the diaper pad or disposable sheeting; and
f. Proper hand washing is done after each diaper change.
2. The licensee must ensure that toilet training is conducted in a manner agreed upon by the primary provider and the parent. The licensee must also ensure that:
a. Potty chairs are not used or stored in eating or play areas; and
b. Proper hand washing by the provider and the child is done each time a child is helped with toileting.
1-006.17 Overnight Care: If overnight care is provided, the licensee must ensure that:
1. If requested by the parent, the child is given a shower, tub, or sponge bath in a manner agreed upon between the parent and the licensee; and
2. The following fire safety standards for overnight care are met:
a. The licensee/staff remain awake until all children are asleep;
b. The licensee/staff sleep on the same level of the home as the children;
c. Smoke detection is provided in the sleeping rooms of the licensee/staff and children;
d. A portable fire extinguisher with a minimum safety rating of 2A10BC is located in the licensee/staff sleeping room; e. The licensee/staff is/are familiar with the operation of the extinguisher; and
f. The extinguisher is properly maintained according to State Fire Code Regulations, 153 NAC 1.
1-006.18 Wading and Swimming Activities: Children must be accompanied, kept safe, and adequately supervised during wading and swimming activities while in care.
1-006.18A Prohibited Water Sources: Children must not be allowed to use the following water sources for wading or swimming activities:
1. Natural bodies of water;
2. Hot tubs, spas, or saunas;
3. Livestock tanks; and
4. Decorative ponds.
1-006.18B Wading: If the licensee allows children to participate in wading or other water play activities:
1. Children must be accompanied and directly supervised; and
2. The licensee must ensure that the wading pool is drained and sanitized daily and is inaccessible to children when not in use.
1-006.18C Permission for Non-Licensee-Supervised Activities Off the Premises: If the licensee does not allow children to participate in swimming activities while in care, but a parent requests that their child leave the premises to go to a pool, the licensee must obtain a written and signed statement from the parent that is kept on file on the premises and available to the Department upon request. The statement must indicate that the child is allowed to leave care and must acknowledge that the licensee is not responsible for providing supervision.
1-006.18D Permission for Licensee-Supervised Activities Off the Premises: If the licensee allows children in care to participate in swimming activities under the supervision of the licensee but off the premises, the licensee must obtain a written, signed, and dated statement from the parent that is updated annually. The written permission must be available to the Department upon request, and must indicate the following:
1. The parent gives permission for their child(ren) to leave the child care premises for swimming/wading;
2. The location of the pool where the child is allowed to swim; and
3. Whether the child is allowed to swim in water over his/her head.
1-006.18E Licensure of Swimming Pools: The licensee must ensure that swimming pools off the center’s premises where children are taken are licensed by the Department.
1-006.18F Water Safety: If the depth of the water is over four feet, the pool must have an individual who has satisfactorily completed a swimming water safety course on duty at all times children are at the pool.
1-006.18G Pool on the Premises Not Used by Children in Care: If an above-ground or in-ground swimming pool is on the premises and children in care are not allowed to use it, the licensee must meet the following requirements:
1. The pool must be enclosed with a fence that is at least four feet high and flush with the ground;
2. Above-ground pools must have non-climbable side walls;
3. When a pool is covered, the cover used must be the manufacturer’s recommended cover;
4. Equipment needed to rescue a child or adult must be readily accessible; and
5. Children must be accompanied and directly supervised if the pool is located in the outdoor play area.
1-006.18H Pool on the Premises Used by Children in Care: If the children in care are allowed to use a pool on the premises, the licensee must meet the requirements in 1-006.18G and:
1. Have a permit issued by the Department;
2. If the depth of the water is over four feet, an individual who has satisfactorily completed a swimming water safety course must be on duty at all times children are at the pool; and
3. Maintain the following staff-to-child ratios:
| Number of Children | Number of Staff Required |
Infants | 1 | 1 |
Toddlers | 2 | 1 |
Preschoolers | 4 | 1 |
School-age | 6 | 1 |
1-006.19 Transportation: When transportation is provided for children in care, the licensee must ensure the following conditions are met:
1. No child must ever be left alone in the vehicle;
2. Smoking is prohibited in the vehicle when children are being transported;
3. All doors on the vehicle must be locked when the vehicle is in motion;
4. Any individual who transports children must possess a current and valid driver’s license for the type of vehicle used to transport children, as verified by the Department of Motor Vehicles;
5. The vehicle used to transport children must be properly registered and must contain a first aid kit and parent contact information for each child being transported;
6. The number of children transported must not exceed the seating capacity of the vehicle as indicated by the manufacturer;
7. All children transported must be properly secured in an appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268;
8. All car seats must be federally approved and must be the correct type for the child’s age and developmental level;
9. Written permission from parents for the program to transport children must be obtained, kept on file, and made available to the Department;
10. Children must not be transported to any location without the prior knowledge of the parent(s), except in a medical or other emergency; and
11. Children must not be transported to avoid violations of capacity or staff-to-child ratio.
1-006.20 Medications
1-006.20A Giving or Applying Medication: If the licensee or staff gives or applies medication, s/he must comply with the “Five Rights” as set out in the Medication Aide Act. The Five Rights are:
1. The right drug;
2. The right recipient;
3. In the right dose;
4. By the right route; and
5. At the right time.
1-006.20B Competence to Give or Apply Medication: Parents or any licensed health care professional are responsible for determining if the licensee or staff are competent to give or apply medication. Any licensed health care professional, as directed by the prescribing health professional, is competent to give or apply medication under any circumstances as long as it is within the scope of practice of that health care professional.
1-006.20C Confidentiality: Any licensee or staff who gives or applies medication must not disclose information about a child’s medication or physical or mental health condition unless such information is needed to protect the health of other children or staff. The use of a posted medication sign-in sheet does not violate confidentiality if the parent has been advised in writing that the parent has the option of using a private method of informing center staff of the child’s medication needs.
1-006.20D Written Permission and Instructions: The licensee or staff must give or apply prescription and non-prescription medication only with prior written permission and written instructions from a parent. The licensee must comply with the instructions provided by the parent or inform the parent that medications will not be given or applied.
1. Any error in the giving or applying of medication must be reported to the parent.
2. The dosage must not exceed that which is printed on the label.
3. Expired medication must not be given or applied to a child and must be returned to the parent or destroyed.
1-006.20E Unusual Circumstances: The licensee must obtain a written statement from the licensed health care professional who prescribed the medication allowing the licensee or staff to give the medication when:
1. Any prescription medication is given or applied as needed (PRN); or
2. By a route other than oral, topical, inhalant, or instillation. The written statement must describe the route and what symptoms need to exist in order for the medication to be given or applied.
1-006.20F Hand Washing: All caregivers must properly wash their hands before giving or applying any medication. If handling any bodily fluids is involved, caregivers must properly wash their hands after giving or applying medication.
1-006.20G Storage: All medications must be kept in proper storage. This includes:
1. All prescription and nonprescription medications must be kept in locked storage at all times children are in care;
2. Separate locked storage must be provided for medications requiring refrigeration;
3. All medications must be kept in the original container, stored according to instructions, clearly labeled for the named child, and returned to the parent when no longer needed; and
4. Over-the-counter, non-toxic topical ointment such as lip balm, petroleum jelly, sun block and diaper ointment must be kept out of the reach of children.
1-006.20H Record-Keeping: The licensee must keep a record of the time and amount of medication given or applied.
1-006.21 Food Service: Meals and snacks that are appropriate to the needs of the children in care must be served to all children in attendance. Weekly menus must be given to parents upon request. Meals and snacks must:
1. Be appropriate to the age and development of the child;
2. Address children’s allergies and food intolerance; and
3. Meet established USDA requirements regarding food groups and serving sizes. Meals and snacks provided by the parents must be supplemented if USDA guidelines are not met. If the child’s meals are not to be supplemented due to dietary concerns, a statement from a physician must be obtained and available indicating it is acceptable for the child to be served a meal that does not meet USDA guidelines.
1-006.21A The licensee must offer at least the following number of meals and snacks, based on how long children are present:
2½ to 4 hours | One snack |
4 to 8 hours | One snack and one meal |
8 to 10 hours | Two snacks and one meal |
10 or more hours | Two snacks and two meals |
1-006.22 Food Safety: The licensee must store, prepare, protect, serve, and dispose of food in a safe and sanitary manner, as follows:
1. All perishable foods must be stored in a covered container in an operating refrigerator at a maximum temperature of 40 degrees;
2. Individuals handling food must properly wash their hands before and after handling food;
3. All prepared formula or breast milk must be refrigerated and clearly labeled with the child’s name, date received, date expressed, and date frozen, if applicable.
a. Unused prepared formula must be discarded as indicated by the label.
b. Unfrozen breast milk must be discarded after 48 hours.
c. Frozen breast milk must be kept in a freezer for no more than three months;
4. Formula provided by the licensee must be made from commercially prepared products;
5. Children must only be served pasteurized grade A milk and milk products. Dry milk and milk products must be made from pasteurized milk and milk products;
6. All fresh or raw fruits and vegetables must be thoroughly washed with water before use;
7. Home-canned foods must not be served to children in care;
8. All food preparation areas must be easily cleanable and in good repair;
9. Any deep freezer that cannot be opened from the inside must be locked or stored in a locked room;
10. All utensils, equipment, and food storage areas must be kept clean and in good repair; and
11. All dishes and utensils must be properly washed, rinsed, sanitized, and air dried.
1-006.23 Emergency Preparedness
1-006.23A Telephone: A working telephone must be available on the premises at all times. Emergency telephone numbers, including fire, rescue, police (or 911), and Poison Control, must be prominently posted.
1-006.23B Fire and Tornado Drills: Fire and tornado drills must be practiced with the children and staff. Written documentation of drills, including dates conducted, must be kept and available for review by the Department.
1. Fire drills must be completed a minimum of once per month.
2. Tornado drills must be completed a minimum of four times per year during the months of March through September.
1-006.23C Fire and Tornado Safety Diagrams: Fire and tornado safety diagrams must:
1. Show the layout of the licensed child care area(s);
2. Be prominently posted and visible;
3. Include how the evacuation of children with special needs will be conducted;
4. Include fire evacuation routes; and
5. Include tornado safety locations.
1-006.23D Disaster Preparedness: The licensee must have a written plan that addresses:
1. Evacuating and moving children to a safe location in the event of a fire, tornado, flood, or other natural or man-made disaster;
2. Notifying parents of children in care of an emergency;
3. Reunification of parents with their children in the event of an emergency that requires evacuation; and
4. How children with special needs will be safe in the event of a disaster including evacuation and reunification with the parent.
1-006.23E Notification to the Department of Emergencies: The licensee must notify the Department within 24 hours or the next business day of the following occurrences at the child care program:
1. The death of a child;
2. Any accident or injury to a child which requires hospitalization or treatment at a medical facility;
3. When a child has been missing, lost, or left unsupervised on or off the premises; and/or
4. An emergency or disaster that results in damage to the Family Child Care Home I or inability of the licensee to comply with regulations.
1-006.23F First Aid Kit: A first aid kit must be available on the premises. It must be inaccessible to children. If any poisons or medications are stored in the kit, it must be kept in locked storage. The kit must include the following supplies:
1. Fever thermometer;
2. Soap;
4. Bandages;
4. Gauze;
5. First aid tape;
6. Scissors; and
7. Disposable gloves.
1-006.24 Environmental Services: The licensee must provide child care in a safe, clean, comfortable environment. Every area and building on the same premises used for child care must comply with these regulations.
1-006.24A Housekeeping and Maintenance: The licensee must provide the necessary housekeeping and maintenance to protect the health and safety of children in care. The child care home and grounds must be kept clean, safe, and in good repair.
1. The child care home and any building on the premises in or around areas where children are present must be kept free of exposed lead-based paint surfaces that are flaking, peeling or chipped.
2. Rooms, walls, floors, and ceilings must be kept clean, in good repair, and free of odor resulting from sewage, mold, mildew, or other environmental or biological hazards or unsanitary conditions.
3. Heating, ventilation, and lighting in all rooms used for child care must be adequate to protect the health of children.
4. The licensee must equip and maintain the premises to prevent the entrance, harborage, or breeding of rodents, flies, and all other insects and vermin. All doors opening to the outside must be self-closing (except sliding doors) and all windows used for ventilation must be screened.
5. All garbage and rubbish must be disposed of in a manner that prevents the attraction of rodents, flies, and all other insects and vermin. The licensee must dispose of garbage so as to minimize odor and the transmission of infectious diseases.
1-006.24B Maintenance of Equipment, Fixtures, Furnishings, and Toys:
1. The licensee must keep equipment, fixtures, furnishings, and toys used in the child care program clean, safe, and in good repair.
2. The licensee must arrange furniture and equipment so as not to interfere with exits.
1-006.25 Environmental Safety: The licensee is responsible for maintaining a safe and hazard-free environment.
1-006.25A Smoking: Smoking anywhere indoors in a child care home is prohibited during the hours of operation when one or more children who are not occupants of the residence are present. If the licensee or any household member smokes, parents must be informed before enrollment of their child(ren).
1-006.25B Alcohol and Controlled Substances
1. Alcohol as defined by Neb. Rev. Stat. § 53-103 must not be consumed in any area used for child care whenever any child in care is present.
2. The unlawful use or possession of controlled substances, as defined by Neb. Rev. Stat. §§ 28-401 to 28-403 and 28-439, is prohibited. Controlled substances that have not been legally prescribed must not be on the premises.
1-006.25C Animals/Pets: Any animal present at the child care home must not negatively affect the children. The licensee must:
1. Have all pets examined annually by a licensed veterinarian and have documentation available;
2. Complete all vaccinations recommended by the licensed veterinarian that include, at a minimum, current rabies vaccinations for dogs, household cats, and ferrets, and have documentation available;
3. Have provisions for pet care necessary to prevent the acquisition and spread of fleas, ticks, and other parasites; and
4. Ensure that no animals are allowed in the food preparation, food storage, or serving areas during food preparation and serving times; and
5. Comply with any state or local law or ordinance relating to the care and ownership responsibilities of pets or specific breeds identified by those laws or ordinances.
1-006.25D Prohibited Animals: Exotic or unusual animals, or any animal that has bitten or attacked anyone without provocation or has been determined by the local health authority to be dangerous, must not be allowed on the premises during the hours of operation.
1-006.25E Other Environmental Safety Requirements
1. Surfaces must be smooth and free of sharp edges, mold, or dirt, and the environment must be kept free of other conditions which may pose a potential risk.
2. All cleaning agents, medications (both prescription and nonprescription), and poisonous materials must be kept in locked storage at all times children are in care. Separate locked storage must be provided for medications requiring refrigeration.
3. All firearms, other potentially hazardous weapons, weapon accessories, and ammunition must be kept in locked storage. Firearms must be unloaded and ammunition must be stored separately from firearms.
4. Electrical outlets within reach of children must be covered with safety caps, ground fault interrupters, or have safety outlets installed.
5. Shared use of the following items is prohibited:
a. Disposable towelettes;
b. Drinking containers, cups, or glasses;
c. Personal care items such as toothbrushes and hair brushes; and
d. Towels and washcloths.
6. Waterproof storage must be provided for soiled or wet clothing and must not be accessible to children.
1-007 PHYSICAL PLANT STANDARDS: The child care home must be maintained in a manner that is safe, clean, and functional for child care. The following regulations apply to all areas of the child care home used for child care.
1-007.01 Activity Space: The child care home must have space for children’s activities, napping, and free play. The child care activity space must:
1. Have furnishings to accommodate all activities and age-appropriate needs of all children in care;
2. Be available for all children; and
3. Have at least 35 square feet of activity space per child. Rooms not used for child care do not count in the square footage total.
1-007.02 Water Supply and Sewer Requirements
1-007.02A Water Supply: The licensee must have and maintain an accessible, adequate, safe, and potable supply of water for drinking, bathing, and hand washing.
1. If water is obtained from a source other than a public water supply system, the water must not contain contaminants that exceed the maximum contaminant levels set for nitrate, or total coliform for public water supply systems in 179 NAC 2-002, and 179 NAC 3 or the lead action level set in 179 NAC 12. The licensee must report to the Department the results of all tests that show the water contains contaminants that exceed a maximum contaminant or action level.
a. The water supply must be tested annually and the tests results must be available for review upon request.
b. If the water supply does not meet nitrate, total coliform bacteria and lead standards, the licensee must, until the contaminants are lowered to acceptable levels:
(1) Obtain water from a source approved by the Department; or
(2) Purchase water from a commercial source.
2. Drinking water must be provided by sanitary drinking fountains or individual or disposable cups.
3. The licensee must maintain hot and cold water to all hand washing and bathing locations. The hot water system must be maintained between a minimum of 100 degrees Fahrenheit and a maximum of 120 degrees Fahrenheit. Soap must be available at the hand washing sink.
1-007.02B Sewer Requirements: The licensee must maintain a sanitary and functioning sewage system which includes no open sewage discharge on the child care premises. When the Department determines that there may be open sewage present on the child care premises, a referral will be made to the Nebraska Department of Environmental Quality for an inspection.
1-007.03 Outdoor Play Areas: An outdoor play area must be available. The area must:
1. Have at least 50 square feet per child of age-appropriate play space;
2. Be kept clean and safe and contain no accident hazards, debris, or stagnant water;
3. Contain no barnyard animals or fowl; and
4. Be free of animal waste.
1-007.04 Fencing: A fence is required when the following conditions exist on or near the child care premises:
1. Drainage ditches;
2. Wells;
3. Holes;
4. Heavy machinery is used;
5. Railroad tracks;
6. Bodies of water, including decorative ponds;
7. Heavy street traffic; and
8. Other hazards.
1-007.05 Playground Surfaces: The area under climbing equipment, swings, slides, and other equipment from which children might fall must be of resilient material such as sand, dirt, grass, rubber matting, rubber mulch, wood chips, or small-to-medium size gravel.
1-007.06 Toilets and Sinks: The child care home must have a toilet and sink available for children’s use. Toilets and sinks must be:
1. Conveniently located;
2. Clean and in good repair;
3. Designed to accommodate children with special needs, when applicable; and
4. Of suitable height for children or have a safe stepstool.
1-007.07 Fire Safety: The child care home must maintain fire safety approval in addition to meeting the following standards:
1. There must be two unblocked exits approved by the Fire Marshal from every floor on which child care is provided;
2. Furnaces, wood-burning stoves, and other heaters must be inaccessible to children when in use;
3. Candles or incense must not be used while children are in care;
4. Open flames must not be present while children are in care; 5. All storage areas must be free of excessively combustible or highly flammable materials;
6. Bathroom and closet doors must be designed so they can be unlocked from the outside;
7. There must be properly mounted and operated smoke detection equipment as required by the Fire Marshal; and
8. When overnight care is provided, the licensee must ensure that additional fire safety requirements are met as specified in 1-006.17.
1-008 DENIAL AND DISCIPLINARY ACTIONS
1-008.01 Grounds for Denial or Disciplinary Action: The Department may deny the issuance of or take disciplinary action against a license on any of the following grounds:
1. Failure to meet or violation of any of the requirements of the Child Care Licensing Act or the rules and regulations adopted and promulgated under the Act;
2. Violation of an order of the Department under the Act;
3. Conviction of, or substantial evidence of committing or permitting, aiding, or abetting another to commit, any unlawful act, including, but not limited to, unlawful acts committed by an applicant or licensee under the act, household members who reside at the place where the program is provided, or employees of the applicant or licensee that involve:
a. Physical abuse of children or vulnerable adults as defined in Neb. Rev. Stat. § 28-371;
b. Endangerment or neglect of children or vulnerable adults;
c. Sexual abuse, sexual assault, or sexual misconduct;
d. Homicide;
e. Use, possession, manufacturing or distribution of a controlled substance listed in Neb. Rev. Stat. § 28-405;
f. Property crimes, including, but not limited to, fraud, embezzlement, and theft by deception; and
g. Use of a weapon in the commission of an unlawful act;
4. Conduct or practices detrimental to the health or safety of an individual served by or employed at the program;
5. Failure to allow an agent or employee of the Department access to the program for the purposes of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
6. Failure to allow state or local inspectors, investigators, or law enforcement offices access to the program for the purposes of investigation necessary to carry out their duties;
7. Failure to meet requirements relating to sanitation, fire safety, and building codes;
8. Failure to comply with or violation of the Medication Aide Act;
9. Failure to file a report of suspected abuse or neglect as required by Neb. Rev. Stat. §§ 28-372 and 28-711;
10. Violation of any city, village, or county rules, regulations, or ordinances regulating licensees; or
11. Failure to pay fees required under the Child Care Licensing Act.
1-008.02 Types of Disciplinary Action: The Department may impose any one or a combination of the following types of disciplinary action against a license issued under the Child Care Licensing Act:
1. Issue a probationary license;
2. Suspend or revoke a provisional, probationary, or operating license;
3. Impose a civil penalty of up to $5 per child, based upon the number of children for which the program is authorized to provide child care on the effective date of the finding of violation, for each day the program is in violation;
4. Establish restrictions on new enrollment in the program;
5. Establish restrictions or other limitations on the number of children or the age of the children served in the program; or
6. Establish other restrictions or limitations on the type of service provided by the program.
1-008.02A Considerations: In determining what type of disciplinary action to impose, the Department will consider:
1. The gravity of the violation, including the probability that death or serious physical or mental harm will result, the severity of the actual or potential harm, and the extent to which the provisions of applicable statutes, rules, and regulations were violated;
2. The diligence exercised by the program in identifying or correcting the violation;
3. The degree of cooperation exhibited by the licensee in the identification, disclosure, and correction of the violation;
4. Any previous violations committed by the program; and
5. The financial benefit to the program of committing or continuing the violation.
1-008.02B Additional Action: If the licensee fails to correct a violation or to comply with a particular type of disciplinary action, the Department may take additional disciplinary action.
1-008.03 Unpaid Fines: Any fine imposed and unpaid under the Child Care Licensing Act will constitute a debt to the State of Nebraska which may be collected in the manner of a lien foreclosure or sued for and recovered in any proper form of action in the name of the State of Nebraska in the district court of the county in which the program is located. The Department will, within 30 days after receipt, remit fines to the State Treasurer for credit to the permanent school fund.
1-008.04 Department’s Emergency Power: Whenever the Department finds that an emergency exists requiring immediate action to protect the physical well-being and safety of a child in the program, the Department may, without notice or hearing, issue an order declaring the existence of such an emergency and requiring that such action be taken as it deems necessary to meet the emergency. The order may include an immediate prohibition on the care of children by the licensee other than children of the licensee. An order under this subsection will be effective immediately. Any person to whom the order is directed must comply immediately, and upon application to the Department, the person will be afforded a hearing as soon as possible and not later than ten days after his or her application for the hearing. On the basis of such hearing, the Department will continue to enforce the order or rescind or modify it.
1-008.05 Re-Application After Revocation: A former licensee whose child care license has been revoked for any cause other than nonpayment of fees is not eligible to reapply for a license for two years. The former licensee must:
1. Apply for a provisional license;
2. Meet the requirements for provisional licensure in 1-003.01; and
3. Demonstrate to the Department’s satisfaction the ability and willingness to comply with all licensing regulations.
TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 2 - FAMILY CHILD CARE HOME II
2-001 SCOPE AND AUTHORITY: These regulations will become operative three months after their effective date. These regulations govern the licensing of family child care homes by the Department of Health and Human Services. Statutory authority for these regulations is in:
1. The Child Care Licensing Act (Neb. Rev. Stat. §§ 71-1908 to 71-1923);
2. The Child Protection Act (Neb. Rev. Stat. §§ 28-710 to 28-727);
3. The Clean Indoor Air Act (Neb. Rev. Stat. §§ 71-5716 to 71-5734);
4. The Quality Child Care Act (Neb. Rev. Stat. §§ 43-2601 to 43-2625);
5. The Sex Offender Registration Act (Neb. Rev. Stat. §§ 29-4001 to 29-4014); and
6. Neb. Rev. Stat. §§ 4-108 to 4-114.
The Child Care Licensing Act requires the Department to develop regulations establishing standards for the physical well-being, safety, and protection of children in programs licensed under the Act. The purposes of the Act are to provide statewide licensure standards for persons providing child care programs and to provide the Department with authority to coordinate the enforcement of standards on licensees. The standards ensure that programs are providing proper care for and treatment of the children served, and that the care and treatment are consistent with the children’s physical well-being, safety, and protection.
The Child Protection Act authorizes the Department to use information in the state child abuse/neglect central register for purposes of licensing providers of child care programs, and the Clean Indoor Air Act addresses smoking in licensed child care programs.
The Quality Child Care Act requires the Department to develop regulations for mandatory training requirements for child care providers designed to meet the health, safety, and developmental needs of children and tailored to the needs of licensed providers. The Act states that the Legislature’s intent is to encourage high-quality, affordable, and accessible child care services that are educationally and age-appropriate.
The Sex Offender Registration Act authorizes the disclosure of information to providers who serve children for the purpose of conducting confidential background checks for employment.
Neb. Rev. Stat. §§ 4-108 to 4-114 provide that no state agency or political subdivision of the State of Nebraska may provide public benefits to a person who is not lawfully present in the United States. A child care license is considered a public benefit.
2-001.01 These regulations apply to Family Child Care Home II’s, which are licensed to provide a child care program for at least four, but not more than 12 children. An FCCH-II may be located in the licensee’s residence or another location.
2-001.02 The following are exempt from mandatory licensure, but may be voluntarily licensed:
1. Any person who provides child care:
a. On an irregular, informal basis and with no established pattern of occurrence;
b. Without cost to the parents and who receives no form of compensation;
c. To three or fewer children at any one time, except by a person whose license has been suspended or revoked;
2. Recreation camps as defined in Neb. Rev. Stat. § 71-3101, a recreation facility, center, or program operated by a political or governmental subdivision pursuant to the authority provided in Neb. Rev. Stat. § 13-304;
3. Classes or services provided by a religious organization other than child care or a preschool or nursery school;
4. A preschool program conducted in a school approved under Neb. Rev. Stat. § 79-318;
5. Programs operated or contracted by a public school district and subject to the rules and regulations of the State Department of Education under Neb. Rev. Stat. § 79-1104;
6. Services provided only to school-age children during the summer and other extended breaks in the school year;
7. Care provided only to children 13 years of age or older;
8. Care provided for less than two hours per week on average;
9. Foster care as defined in Neb. Rev. Stat. § 71-1901;
10. Care provided by grandparents to only their grandchildren;
11. Care provided on federal military installations;
12. Care provided on Indian reservations by Native Americans; or
13. Care provided by non-Native Americans on Indian reservations when tribal authorities have assumed the jurisdiction for regulating the care.
2-002 DEFINITIONS
Adequate and appropriate supervision means:
1. Knowing the whereabouts and being within sight or sound of all children at all times;
2. Being alert, attentive, and responsive to the needs of all children; and
3. Protecting or removing children from harm.
Ages of children:
1. Infant means a child age 6 weeks to 18 months;
2. Toddler means a child age 18 months to 3 years;
3. Preschool-age means a child age 3 or older who has not attended kindergarten; and
4. School-age means a child who attends kindergarten or above.
Child care means the care and supervision of children in lieu of parental care and supervision and includes programs. (See definition of program.)
Department means the Nebraska Department of Health and Human Services.
Designee means an individual given responsibility to act on another’s behalf.
Early Childhood Training Center means the entity authorized in Neb. Rev. Stat. § 79-1102 and established within the Nebraska Department of Education. Its purpose is to train individuals who provide education and development activities for infants and young children and their parents.
Family means individuals who are not household members and have one or more children enrolled in the child care program.
Family Child Care Home I means a child care program in the licensee’s place of residence which is licensed to serve at least four but not more than eight children, except that a licensee may be approved to serve up to two additional school-age children during non-school hours if no more than two of the other children in care are under 18 months of age.
Family Child Care Home II means a child care program in the licensee’s residence or another location which is licensed to serve at least four but not more than 12 children.
Fence means a continuous barrier, including a wall, that is at least 36 inches in height, flush with the ground, and without any gaps that would allow a child to exit the fenced area.
Health authority means the local health department, which by law has the authority and duty for communicable disease control in the counties under its jurisdiction.
Household member means any individual residing in or regularly present in the child care home, including children and youth for whom 24-hour care is provided.
Licensed health care professional means an individual for whom administration of medication is included in the scope of practice.
Licensee means the owner of the child care program and the individual, partnership, limited liability company, or corporation to whom the license is issued and who is responsible for compliance with all regulations.
Locked storage means a container or closet used to store poisonous materials, medications, and weapons that is secured by lock and key, combination lock, or magnetic lock approved by the Department.
NAC means the Nebraska Administrative Code, the compiled regulations of all state agencies maintained by the Secretary of State. Properly adopted regulations have the force and effect of law. These regulations are 391 NAC 2. Within this chapter, references to other parts of the same chapter do not show “391 NAC”; they are shown simply as 2-003.01, for example. References to different regulations show the full citation; for example, 179 NAC 2-002.
Overnight care means care provided for children between the hours of 9:00 p.m. and 6:00 a.m.
Own children means biological, adoptive, and foster children, stepchildren, and grandchildren.
Parent means a natural parent, adoptive parent, step parent, guardian, or other legally responsible custodian.
Physical hold means applying minimal physical force by placing the arms around a child to restrict the child’s movement.
Premises means the home, including areas of the home not used for child care/preschool, all attached and all outbuildings, and all areas included within the lot boundaries.
Primary provider means the licensee or a staff member designated by the licensee who is responsible for the daily operation of the child care program.
Program means the provision of services in lieu of parental supervision:
1. For children under 13 years of age;
2. For compensation, either directly or indirectly; and
3. On the average of less than 12 hours per day, but more than two hours per week.
Program includes any employer-sponsored child care, family child care home, child care center, school-age child care program, school-age services under Neb. Rev. Stat. § 79-1104, or preschool or nursery school.
Proper hand washing means washing and scrubbing the hands for at least 20 seconds with soap and warm running water, rinsing well under running water, and drying with a paper towel, air dryer, or clean towel.
Restraint means the use of manual restraints (direct application of physical force) or mechanical restraints (straps, belts, towels, blankets, tape) or other means to subdue a child or otherwise limit a child’s freedom of movement. Restraint does not refer to physical holds or braces or other devices used to assist, obtain, and maintain normal body function.
Room means an area with four walls flush from the floor to the ceiling and at least one passageway or doorway. A partition is considered a wall if the partition is at least four feet high and is flush to the floor and to the other walls.
Special needs means a child has a requirement for extra care because of an acute or chronic physical or mental condition. Acute special needs include temporary conditions that require special medical attention and isolation from other children (e.g., recovery from surgery, etc). Chronic special needs include long-standing medical or behavioral problems that require medical, behavioral, or other services at all times (e.g., medically fragile, attention deficit, etc). To be considered a child with a special need, the child must have one or more of the following conditions which is not related to chronological age:
1. Emotional impairment: including behavioral impairment, requiring special equipment or assistance;
2. Developmental age level lower than chronological age and requires assistance via special supervision;
3. Movement impairment: requires assistance or is unable to move;
4. Sensory impairment: requires special environmental modifications or assistance;
5. Speech impairment: requires special equipment or assistance;
6. Hygiene: requires assistance or special equipment;
7. Feeding: requires special equipment or assistance;
8. Toileting: requires assistance or special equipment;
9. Medical conditions: requires respiratory aids or special procedures;
10. Therapy required: physical, occupational, speech, or respiratory;
11. Medications: requires assistance or special procedures.
Diseases such as measles, chicken pox, flu, etc., are not considered special needs.
Staff means an individual who has been hired or approved by the licensee to work or substitute in the child care home and who counts in the staff-to-child ratio.
Substitute means an individual age 16 or older who provides care in the absence of the primary provider or secondary provider.
Swimming pool means any artificial basin of water modified, improved, constructed, or installed for the purpose of swimming, wading, diving, recreation, or instruction. Swimming pool includes, but is not limited to, a pool on the child care premises, a pool serving a community, a subdivision, an apartment complex, a condominium, a club, a camp, a school, an institution, a park, a manufactured home park, a hotel, a motel, a recreational area, or a water park. Swimming pool includes a spa, hot tub, whirlpool, or similar device which is designed for recreational use and not to be drained, cleaned and refilled after each individual use.
USCIS means United States Citizenship and Immigration Services.
USDA means United States Department of Agriculture.
Volunteer means an individual who assists in the care of children, who does not count in the staff-to-child ratio, and is not left alone with children other than his/her own at the child care home.
Wading pool means a portable, above-ground basin filled with 12 or fewer inches of water and designed for the purpose of wading.
2-003 LICENSING REQUIREMENTS AND PROCEDURES: Any person intending to establish, operate, or maintain a Family Child Care Home II must first obtain a license from the Department. An applicant must show that the child care program meets all licensing requirements contained in these regulations, 391 NAC 2.
2-003.01 Provisional License: Provisional licenses are issued to all newly licensed Family Child Care Home II programs. Provisional licenses are effective for one year.
2-003.01A Application Requirements: An applicant for a provisional Family Child Care Home II license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. Consent for central registry checks and authorization for release of information for the applicant, all staff and volunteers age 13 or older, and all household members age 13 or older if the Family Child Care Home is a private residence;
4. Documentation of criminal history record checks for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older if the Family Child Care Home is a private residence (see 2-006.02A);
5. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older (see 2-006.02C);
6. A Health Information Report for the applicant on a form provided by the Department (see 2-006.02F);
7. Documentation of completed CPR/First Aid training (see 2-006.04F);
8. Documentation of completed pre-service orientation training by the Department;
9. A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of rooms to be used by the children, and outdoor play area;
10. Copies of zoning approval from the relevant jurisdiction; and
11. The $25 licensing fee (see 2-004.07).
2-003.01B Denial of Provisional License: See 2-008 for grounds on which the Department may deny a provisional license.
2-003.01C Extension of Provisional License: The Department may extend a provisional license once for a period no longer than six months. The Department’s decision regarding extension of a provisional license may not be appealed. A provisional license may be extended if the Department determines:
1. The provisional licensee is unable to comply with all licensure requirements and standards, is making a good faith effort to comply, and is capable of compliance within the next six months;
2. The effect of the current inability to comply with a rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department which is to be completed within the extension period.
2-003.01D Expiration of Provisional License: The Department will send a notice of expiration to the licensee no later than 90 days before the date of expiration.
1. If a provisional licensee does not submit a complete application for an operating license on or before the expiration date, the provisional license expires.
2. If the former licensee submits a complete application and is in compliance with all regulations within 90 days after expiration, the Department will issue an operating license effective when issued.
3. If the former licensee submits an application more than 90 days after expiration, the Department will process the application as a provisional license application.
2-003.02 Operating Licenses: Operating licenses are standard, non-expiring licenses that are issued to Family Child Care Home II programs that have been in operation for more than one year and are in full compliance with all regulations. Licensees must have completed one full year with a provisional license with satisfactory compliance with all regulations before qualifying for an operating license.
2-003.02A Application Requirements: An applicant for a Family Child Care Home II operating license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older (see 2-006.02C);
4. Documentation of annual training hours completed during the provisional year; and
5. The $25 licensing fee (see 2-004.07).
2-003.02B Denial of Operating License: See 2-008 for grounds on which the Department may deny an operating license.
2-003.03 Change of Ownership: Child care licenses are not transferable or assignable. A change of ownership terminates the license. The new owner must apply for a license.
2-003.03A Change of ownership includes the sale or transfer of the ownership or control of a child care program to a person other than the current licensee. Change of ownership does not include a change of name or location of the child care program.
2-003.03B Requirements of New Owner: If there is a change of ownership and the child care program remains on the same premises, the new owner must apply for a provisional license as required in 2-003.01A, except that:
1. Criminal history record checks, Reports of Law Enforcement Contact, and Health Information Reports are required only for new employees who have not already submitted or completed these documents; and
2. A sketch, diagram, or blueprint of the facility is required only when the new owner changes the use of the facility.
2-003.03C Mergers: If there is a change of ownership based on the merger of a parent and subsidiary company, affiliated businesses, or governmental units, and the child care program remains on the same premises, the new owner must submit:
1. A Full Disclosure of Ownership Statement on a form provided by the Department; and
2. An application for a child care license.
2-003.03D Denial of License: See 2-008 for grounds on which the Department may deny a license.
2-003.04 Temporary and Voluntary Cease of Operation: A licensee may request to voluntarily cease operation of the child care program for a period of up to one year. The licensee must:
1. Have attained an operating license;
2. Intend to re-open the child care program at the same location;
3. Not serve any children during the period of ceased operation;
4. Not be the subject of an investigation of alleged non-compliance with regulations, or outstanding non-compliance; and
5. Pay license fees during the period as specified in 2-004.07.
2-003.04A If the licensee is the subject of any negative or disciplinary action, the period of ceased operation does not count toward the period of negative or disciplinary action.
2-003.04B No routine fire safety, sanitation, or Department inspections will be conducted during the period of ceased operation.
2-003.04C The period of ceased operation may be extended beyond the one-year limit if the licensee shows a reasonable cause.
2-003.04D Reinstatement: A Family Child Care Home II licensee may request reinstatement after a period of ceased operation by submitting an application at least 30 days before the scheduled re-opening date. The Department will review the application and decide if additional information, an on-site inspection, or a fire safety inspection is needed to determine compliance with regulations.
2-003.05 Negative Actions: The Department may initiate a negative action when a licensee is not in compliance with regulation but the violation does not rise to the level of a disciplinary action. (Disciplinary actions are described in 2-008.) Negative actions are voluntary and are not appealable. The Department may conduct unannounced monitoring inspections of licensees under negative action. If a licensee does not agree to the terms of the negative action, the Department may initiate a disciplinary action. The two types of negative action are a Licensing Agreement and Corrective Action Status, described as follows.
2-003.05A Licensing Agreement: The Department may request a written licensing agreement if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance; and
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff.
2-003.05A1 The licensing agreement must:
1. Identify the length of time the Department has determined the agreement will be in effect;
2. Identify violations of regulations;
3. Identify conditions the licensee has agreed to in order to correct any identified issue and to maintain compliance with licensing standards;
4. Be signed by the licensee; and
5. Be witnessed by a notary public, Department staff, or non-relative of the licensee.
2-003.05B Corrective Action Status: The Department may place a provisional or operating child care license on corrective action status for up to six months if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance;
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department.
2-003.05B1 The written plan of correction must:
1. Identify the issue(s) of concern;
2. Identify who is responsible for corrections and maintenance of compliance;
3. Include timelines; and
4. Specify the information to be provided to the Department.
2-003.05B2 The Department may discipline the license if the written plan of correction is not approved.
2-003.06 Voluntary Surrender of a License: A licensee may voluntarily surrender a license issued under the Child Care Licensing Act at any time, except that the Department may refuse to accept a voluntary surrender of a license if the licensee is under investigation or if the Department has initiated disciplinary action against the licensee. If the Department accepts the surrender, the licensee must return the license to the Department within one week of the surrender.
2-003.06A Reapplication for an Operating License Less Than One Year After Voluntary Surrender: An individual who voluntarily surrendered a FCCH II operating license less than one year before the date of reapplication may reapply for an operating license. The individual must meet the requirements of 2-003.02A.
2-003.06B Reapplication One Year or More After Voluntary Surrender: An individual who voluntary surrendered a FCCH II provisional or operating license one year or more before the date of reapplication must reapply for a provisional license. The individual must meet the requirements of 2-003.01A.
2-003.07 Permanent Closure: When a program is to be permanently closed, the licensee must return the license to the Department within one week of closing.
2-004 GENERAL REQUIREMENTS
2-004.01 License Not Transferable: A Family Child Care Home II license is not transferable or assignable and is only valid at the address printed on the license.
2-004.02 Posting of License and Availability of License Record Information: The license, including any applicable status or amendment, must be displayed in a prominent place so that it is clearly visible to parents and others. License record information and inspection reports must be made available for public inspection upon request.
2-004.03 Change in Premises: When there is a change in premises:
1. Ninety days before the scheduled date of occupancy of the new premises, the licensee must submit an application for the same type of license (provisional or operating) currently held, except that:
a. The following items must be submitted before the license will be issued:
(1) A sketch, diagram, or blueprint of the facility showing the dimensions and arrangement of each room to be used by children and the outdoor play area;
(2) A fire inspection approval issued by the State Fire Marshal or delegated authority;
(3) Copies of zoning approval from the relevant jurisdiction;
(4) Planned occupancy date; and
b. Remaining items must be submitted only if there are changes since the previous application;
2. The Department will conduct an inspection(s) of the proposed location to determine compliance with these regulations before use or occupancy by the applicant; and
3. The new premises cannot be used for a child care program until a license has been issued by the Department. The license for the initial premises will become null and void when a license for the new premises is issued.
2-004.04 Alternative Compliance: The Department may grant alternative compliance with a regulation under the following conditions.
2-004.04A Written Request: A request for alternative compliance must be submitted to the Department in writing and must include:
1. The regulation for which alternative compliance is being requested;
2. The reason(s) for the alternative compliance request;
3. A description of how the alternative will meet the intent of the regulation; and
4. How the alternative will offer equal protection for all children.
2-004.04B Review and Approval: The Department may request additional information from the applicant or licensee in order to reach a decision to approve or deny the alternative compliance request. To be considered for approval, the proposed alternative must:
1. Be consistent with the overall intent and purposes of licensing; and
2. Protect the rights, health, safety, and well-being of all children in care.
2-004.04C Terms of Alternative Compliance: Alternative compliance may be granted:
1. For a period of time that ends when the conditions of the approval no longer exists; and
2. To permit the applicant or licensee time to come into compliance.
2-004.04D Requirements Not Qualifying for Alternative Compliance: Alternative compliance will not be granted for the requirements on:
1. Capacity/Ratio;
2. Transportation;
3. Supervision;
4. Fire safety;
5. Criminal history and background checks;
6. Licensee and staff; and
7. Any regulation for which a discipline has been initiated or completed.
2-004.04E Notification of Department Decision: When the Department receives an alternative compliance request and has obtained all information needed to process the request, the Department will notify the applicant or licensee in writing of its decision to approve or deny the request. The notification will be made within 30 days of the Department’s receipt of all appropriate information.
2-004.05 Notification of Changes: An applicant or licensee must notify the Department:
2-004.05A An Amendment to Application must be submitted at least 90 working days before the planned effective date for a change:
1. In location (see 2-004.03); and
2. In building or building usage.
2-004.05B An Amendment to Application must be submitted at least five working days before the planned effective date for a change:
1. In the days of the week care is provided;
2. In the hours of the day care is provided;
3. In the age of children for whom the child care home provides care; and
4. In household members age 13 or older, if the child care home is located in a private residence.
2-004.05C An Amendment to Application must be submitted within two working days of a change:
1. In the name of the licensee; or
2. In household members age 12 or younger, if the child care home is located in a private residence.
2-004.06 Information Available to Public: The Department will release the following information to the public upon request:
1. Application;
2. Name of licensee;
3. Name of program;
4. Program address;
5. Program telephone number;
6. Alternative compliances;
7. Type of license;
8. Relevant license information (for example, licensed capacity, hours and days of care, ages of children served, license effective dates);
9. Copies of inspection reports;
10. Fire safety inspection reports and correspondence;
11. Sanitation inspection reports and correspondence;
12. Licensing agreements;
13. Provisional license extension notices;
14. Corrective action status notices;
15. Discipline notices;
16. Corrective action plans;
17. Written transcripts of administrative hearings;
18. Emergency orders; and
19. All final orders.
2-004.06A The Department will not release the following information to the public:
1. Names, addresses and telephone numbers of complainants;
2. Names, addresses and telephone numbers of enrolled children and their parents/guardians;
3. Social Security or Federal Tax Identification numbers;
4. Health Information Reports and any physical or behavioral health information on the licensee and staff;
5. Reports of Law Enforcement Contact by the licensee, staff, and household members;
6. Law enforcement reports;
7. Child welfare reports or records, including the state child abuse/neglect central register under Neb. Rev. Stat. § 28-718;
8. Adult protective services (APS) reports or records, including the APS central registry under Neb. Rev. Stat. § 28-376;
9. Nebraska State Patrol Sex Offender Registry information not available to the public under the Sex Offender Registration Act; or
10. Internal Department correspondence, notes, and investigation reports.
2-004.07 Fees
1. Initial and annual licensure fees for a Family Child Care Home II are $25.
2. Initial and annual licensure fees are nonrefundable, except:
a. If the Department denies an application for a license or an applicant withdraws their application, and the Department has not completed an inspection before the denial or withdrawal, the Department will return the license fee to the applicant.
3. Fees will be accepted in the form of a check or money order. Cash will not be accepted.
2-005 INSPECTIONS AND COMPLAINT INVESTIGATIONS: To determine compliance with licensing regulations, the Department will inspect Family Child Care Home II programs as provided under the Child Care Licensing Act.
2-005.01 Initial Licensure Inspection: The Department will:
1. Schedule the date and time of the inspection visit with the applicant and/or the applicant’s designee;
2. Conduct an on-site inspection to determine compliance with licensing regulations within 30 days of receipt of a completed application for a provisional license; and
3. Provide a preliminary copy of the compliance report to the applicant and/or the applicant’s designee.
2-005.02 Provisional-to-Operating License Inspection: The Department will:
1. Conduct an unannounced on-site inspection to determine compliance with these regulations;
2. Conduct the inspection within 30 days of receipt of a completed application for an operating license;
3. Provide a preliminary copy of the compliance report to the applicant and/or designee at the conclusion of the inspection; and
4. Document any violations of these regulations determined at the inspection.
2-005.03 Annual License Inspection: The Department will conduct an unannounced inspection each year to assess compliance with licensing regulations.
2-005.04 Follow-Up Inspection: The Department may conduct a follow-up inspection to determine if the licensee has corrected all violations and to determine full compliance with regulations following any type of inspection. If conducted, the follow-up inspection will:
1. Occur no later than 60 days after the original inspection, or sooner if the licensee requests or if the violation needs to be corrected immediately; and
2. Be unannounced unless the program is closed.
2-005.05 Monitoring Inspection: The Department may conduct unannounced monitoring inspections to determine compliance with regulations and the conditions of any negative action or discipline.
2-005.06 Inspection Results
1. The Department will provide a copy of the compliance report to the child care program within ten working days after completion of an inspection.
2. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations, the applicant or licensee may request an alternative compliance (see 2-004.04).
3. When the Department finds that the applicant or licensee has complied substantially but has failed to comply fully with all regulations and the failure(s) would not pose an imminent danger of death or serious harm, the Department may:
a. Allow the applicant or licensee a period of time to correct all the violations; or
b. Initiate negative action or discipline if the applicant or licensee fails to correct all violations within the time frame given by the Department or has a history of violating the same or similar regulations at previous inspections.
4. When the Department finds that the applicant or licensee has failed to meet the regulations, the Department may initiate negative action or discipline or require the applicant or licensee to make all corrections at the time of inspection. If compliance cannot be achieved immediately, the Department may allow a reasonable period of time after the inspection was conducted to make corrections.
2-005.07 Complaint Investigations: The Department will investigate any licensed child care center after receiving an allegation of violation of licensing regulations.
1. The Department will accept complaints from anyone who witnessed a violation or a parent/guardian of a child who witnessed a violation;
2. The Department will accept complaints via telephone, letter, fax, electronically, or in person;
3. The identity of a complainant is not public information.
4. Only if found to be credible by the Department can such an allegation or complaint result in any negative action or discipline.
2-005.08 Complaint of Allegedly Improper Unlicensed Care: The Department will investigate any complaint of a person allegedly providing child care without an appropriate license. The Department will accept complaints from anyone via telephone, letter, fax, or electronically. The identity of a complainant is not public information. The Department may request enforcement by the Attorney General or the appropriate County Attorney if a person continues to provide a child care program without a license.
2-005.09 Inspection by Other Entities
2-005.09A Fire Inspection: The Department will make a fire inspection referral when:
1. An application is received for an initial Family Child Care Home II license;
2. There is a change in address;
3. The licensee is using areas of the home that were not approved for the care of children;
4. There is a change in hours to include overnight care;
5. There is a complaint specific to fire safety issues; or
6. Department staff observe conditions that may endanger the health or safety of children in care.
2-005.09B Sanitation Inspection: The Department will make a sanitation inspection referral when:
1. There is a complaint specific to sanitation issues; or
2. Department staff observe conditions that may endanger the health or safety of children in care.
2-006 STANDARDS OF OPERATION AND CARE: To provide adequate protection to children in care and to comply with state law, a Family Child Care Home II must meet the following standards.
2-006.01 Licensee Qualifications and Requirements: The Family Child Care Home II licensee must:
1. Be at least 19 years of age;
2. Be of good moral character;
3. Be a U.S. citizen or qualified alien lawfully present in the U.S.;
4. Be responsible for the day-to-day operation of the child care program;
5. Read, understand, and be familiar with these regulations;
6. Make license record information and inspection reports available for public inspection upon request;
7. Be in compliance with all regulations whenever any children are in care;
8. Assess his/her own ability and the ability of all staff to provide care for children with special needs while meeting the needs of other children enrolled;
9. Not engage in any other employment that interferes with the care of children;
10. During the hours of operation, not be under the influence or allow any staff, volunteer, or household member to be under the influence of alcohol, controlled substances that have not been lawfully prescribed, or any other type of substance that would affect their ability to care for children;
11. Allow parents access to their children at all times that children are in care; Denial of immediate and unrestricted access to the licensed premises by parents may be basis for disciplinary action against the license;
12. Allow access to the premises by an agent or employee of the Department for the purpose of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
13. Allow announced and unannounced inspections by state or local inspectors, investigators, or law enforcement officers for the purpose of investigation necessary to carry out their duties;
14. Not knowingly allow any individual to be on the premises if s/he has been convicted of, admitted to, or there is substantial evidence of, crimes involving intentional bodily harm, crimes against children, crimes involving the illegal use of controlled substances, or crimes involving moral turpitude;
15. Not knowingly allow any individual who is a registered sex offender on the premises, except that a parent who is a registered sex offender may be allowed on the premises only to pick up and drop off his/her child;
16. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children; and
17. Immediately file a report with the Child Abuse-Neglect Hotline (1-800-652-1999) and/or appropriate local law enforcement agency when s/he has reason to believe child abuse, neglect, or sexual abuse may be occurring in the family child care home, in the child’s home, or elsewhere.
2-006.02 Background Checks, Health Information, and Employment Limitations
2-006.02A Criminal History Record Check: The applicant/licensee must complete a pre-employment criminal history record check through a governmental law enforcement agency on him/herself, each staff member and volunteer age 19 or older, and each household member age 19 or older if the child care home is a private residence. Documentation must be kept and available for review by the Department.
The check must be conducted through the Nebraska State Patrol or through one or more local law enforcement agencies, as appropriate to the individual’s residence(s). If an individual has lived in Nebraska less than 12 months, the applicant/licensee must obtain documentation of a criminal history record check from the previous state(s) of residence.
2-006.02A1 Permanent Child Care Disqualification:
An individual is permanently disqualified from holding a child care license or working as a staff member or volunteer in a Family Child Care Home II if s/he has a criminal history that includes conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes against a child or vulnerable adult, crimes involving intentional bodily harm, crimes involving the sale, distribution or procurement of a controlled substance, or crimes involving moral turpitude on the part of the individual. These crimes include, but are not limited to:
1. Aggravated or armed robbery;
2. Assault, first or second degree;
3. Child abandonment;
4. Child abuse;
5. Child molestation or debauching a minor;
6. Child neglect;
7. Commercial sexual exploitation of a minor;
8. Domestic violence;
9. Exploitation of a minor involving drug offenses or conviction of drug offenses that involved a minor;
10. Felony controlled substances offenses, other than possession;
11. Felony violation of custody;
12. Incest;
13. Kidnapping;
14. Murder, first or second degree;
15. Sexual abuse of a minor;
16. Sexual assault;
17. Sexual exploitation of a minor, including child pornography; or
18. Voluntary manslaughter.
2-006.02A2 Twenty-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a Family Child Care Home II if s/he has a criminal history that includes conviction in the last 20 years of:
1. Arson;
2. Criminal non-support;
3. Felony possession of controlled substance offences;
4. Felony theft; or
5. Robbery.
The 20-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the 20-year period of disqualification. If the individual has more than one conviction, the 20-year disqualification begins the date the most recent conviction became final.
3-006.02A3 Five-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a Family Child Care Home II if s/he has a criminal history that includes conviction in the last five years of:
1. Burglary;
2. Driving under the influence: two or more convictions;
3. Felony bad check writing;
4. Misdemeanor controlled substances offenses;
5. Misdemeanor contributing to the delinquency of a child; or
6. Misdemeanor theft.
The five-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the five-year period of disqualification. If the individual has more than one conviction, the five-year disqualification begins the date the conviction became final.
2-006.02A4 An applicant, licensee, staff member, volunteer, or household member, must not have had his/her rights as a parent terminated by a Court because of a finding of abuse or neglect of a child or inability to care for a child.
2-006.02A5 Department Determination: An individual may hold a child care license or work as a staff member or a volunteer in a Family Child Care Home II with a pending complaint or indictment or conviction of other crimes if the Department determines the individual has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
1. The age of the individual at the time of the conduct;
2. The recency of the conduct;
3. The seriousness of the conduct;
4. The factors underlying the conduct;
5. The cumulative effect of the conduct;
6. The evidence of rehabilitation;
7. The individual’s positive social contributions since the conduct;
8. The individual’s honesty in providing information; and
9. The materiality of any omissions or misrepresentations.
The Department may deny or take action against a license if an individual is found to have a criminal history that includes conviction or substantial evidence of committing or permitting, or aiding or abetting another to commit any unlawful act endangering the health or safety of another individual or a history of convictions or behavior that shows an inability or unwillingness to comply with laws or regulations. This applies to the applicant/licensee, household members who reside at the place where the child care program will be/is provided, volunteers, and employees of the applicant/licensee.
2-006.02B Registry Checks:
The applicant/licensee, staff, volunteers, and household members if the home is a private residence, must not be listed as a perpetrator of abuse or neglect on Nebraska’s:
1. Child abuse/neglect central register, if the individual is age 13 or older;
2. Adult protective services (APS) central registry, if the individual is age 18 or older; or
3. State Patrol sex offender registry. The individual must provide enough information for an accurate check of the registries and must authorize the release of registry information. The Department will conduct the child and adult registry checks and provide the results to the applicant/licensee.
The applicant/licensee must conduct the State Patrol sex offender registry check. All registry checks must be completed before the individual assumes responsibility for the care and supervision of children.
Any individual who is listed as a perpetrator on any of the registries must not be on the child care premises during the hours of operation, except that a parent listed as a perpetrator may be allowed on the premises only to pick up and drop off his/her child.
2-006.02C Reports of Law Enforcement Contact: The applicant/licensee must complete a Report of Law Enforcement Contact for him/herself and must obtain a completed report for each staff member and volunteer age 19 or older and household member age 19 or older if the home is a private residence. The report must:
1. Be updated, signed and dated annually;
2. Be updated any time one of these individuals is arrested, issued a citation other than a minor traffic violation, or charged with or convicted of any felony, misdemeanor, or infraction;
3. List all previous and pending criminal charges and arrests, both felony and misdemeanor, regardless of prosecution;
4. List any record of felony and/or misdemeanor charges and arrests related to crimes against children;
5. List any record of felony and/or misdemeanor convictions;
6. List any current or past parole or probation status, including diversion or court supervision; and
7. List details, dates, county and state of the contact, arrest, charge, conviction, and disposition, if any.
2-006.02D Notification of Law Enforcement Contact: As soon as the licensee becomes aware of the occurrence, the licensee must notify the Department of any arrest, misdemeanor ticket other than a traffic violation, pending criminal charges, and any felony/misdemeanor convictions of him/herself, staff, volunteers, or household members. Failure to notify the Department of law enforcement contacts as described may result in disciplinary action.
2-006.02E Investigations and Repeat Registry Checks
1. Any time the licensee has reason to believe that a staff member or volunteer is being or has been investigated for abuse, neglect, or sexual abuse of a child or vulnerable adult, the licensee must submit the name of that individual to the Department for a check with the child abuse/neglect or adult protective services registry.
2. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
2-006.02F Health Information Report: The applicant must submit a completed and signed Health Information Report on a form provided by the Department for him/herself as part of the initial application. All staff who are responsible for the care and supervision of children more than 20 hours per week must complete the report within 30 days of hiring. The Health Information Report must be completed annually.
The Health Information Report must include an assessment by a health professional of the individual and any health conditions that could negatively affect his/her ability to care for children. If the information indicates that the individual has, or has had, a health condition that could negatively affect his/her ability to care for children, the Department may request additional information.
2-006.03 Primary Provider, Staff, Volunteer, and Household Member Qualifications and Requirements
2-006.03A Primary Provider: The licensee may serve as the primary provider. When serving as the primary provider, the licensee or the individual who is the primary provider must:
1. Be at least 19 years of age;
2. Be of good moral character;
3. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children;
4. Be on the child care premises a sufficient number of hours to permit adequate attention to the management of the Family Child Care Home II; and
6. Read, understand, and be familiar with these regulations.
2-006.03B Staff: Staff, including substitutes, must:
1. Be at least 16 years of age;
2. Be of good moral character; and
3. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children.
2-006.03C Volunteers: All volunteers must:
1. Be of good moral character;
2. Not engage in or have a history of behavior injurious to or which may endanger the health or morals of children; and
3. Never be left alone with children other than their own.
2-006.03D Household Members: If the child care home is a private residence, the licensee must:
1. Obtain a completed Report of Law Enforcement Contact on household members age 19 or older;
2. Obtain documentation of a criminal history record check on household members age 19 or older; and
3. Not allow any household member who engages in behavior injurious to or which may endanger the health or morals of children to provide care or be on the premises.
2-006.04 Training: Training must be completed as follows. Documentation of the completion of all training must be available on the premises for the Department to review. Acceptable documentation includes certificates issued by trainers and documentation of independent study.
2-006.04A Pre-Service Training: Before a provisional license will be issued, the applicant must complete the following:
1. Two-hour orientation training provided by the Department;
2. Cardiopulmonary Resuscitation (CPR) training; and
3. First Aid training.
2-006.04B Safety Training:
The primary provider must complete training developed by the Early Childhood Training Center on Sudden Infant Death Syndrome (SIDS), safe sleep, shaken baby syndrome, and child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. In programs licensed on or after the operative date of these regulations, the primary provider must complete the training within three years of the date of provisional licensure and every five years thereafter.
2. In programs licensed before the operative date of these regulations, the primary provider must complete the training within three years of that operative date and every five years thereafter.
3. This training counts toward the annual training requirement.
2-006.04C Business Management Training: The primary provider must complete a business training module for family child care homes developed by the Early Childhood Training Center (ECTC). Any proposed equivalent training must be approved by the Department.
1. In programs licensed on or after the operative date of these regulations, the primary provider must complete the training within five years of the date of provisional licensure.
2. In programs licensed before the operative date of these regulations, the primary provider must complete the training within five years of that operative date.
3. This training counts toward the annual training requirement.
2-006.04D Nebraska’s Early Learning Guidelines Training: The primary provider must complete training in the seven domains of Nebraska’s Early Childhood Learning Guidelines developed by the ECTC. Any proposed equivalent training must be approved by the Department. The domains are: Approaches to Learning, Creative Arts, Health and Physical Development, Language and Literacy Development, Mathematics, Science, and Social and Emotional Development.
1. In programs licensed on or after the operative date of these regulations, the primary provider must complete training in one domain within four years of the date of provisional licensure and one domain annually thereafter.
2. In programs licensed before the operative date of these regulations, the primary provider must complete training in one domain within four years of that operative date and one domain annually thereafter.
3. This training counts toward the annual training requirement.
2-006.04E Annual Training: The primary provider and each staff member, not including substitutes or volunteers, must obtain 12 clock hours of training annually. Staff who work 20 hours or less each week must complete six hours of training annually.
2-006.04E1 Training must include but is not limited to the following topics:
1. Safe environments;
2. Healthy environments;
3. Learning environments;
4. Physical development;
5. Cognitive learning;
6. Communication;
7. Creative learning;
8. Self esteem;
9. Social development;
10. Guidance;
11. Family relationships;
12. Program management; and
13. Professionalism.
Audio, video, and reading material specific to one or more of these training topics will count toward the annual training requirement only if an Independent Learning Summary is completed on a form provided by the Department. The actual length of audio and video material will be counted, and 50 pages of text will be considered equal to one clock hour of training. Two hours of CPR and one hour of first aid will be counted toward the annual training requirement in the year each is taken.
2-006.04E2 Each clock hour spent participating in any of the following types of activities counts toward the annual training requirement:
1. Workshops and conferences;
2. College courses;
3. Non-credit course work; and
4. Adult education courses.
2-006.04F Cardiopulmonary Resuscitation (CPR) and First Aid Training
1. CPR training must be obtained from an entity that has been approved by the Nebraska Board of Emergency Medical Services. The Department will provide the program with information about approved CPR courses.
2. The primary provider must maintain current CPR and First Aid training as long as the home is licensed.
3. The CPR card and documentation of First Aid training must be available upon request.
2-006.05 Employee Records Requirements: The licensee must ensure the following records are maintained, updated as needed, and made available to the Department upon request.
2-006.05A Primary Provider and Staff: Records for the primary provider and for all staff, except substitutes and volunteers, must include:
1. Name;
2. Address and telephone number;
3. Social Security number;
4. Date of hire/termination;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. A completed Health Information Report; and
8. Documentation of Nebraska registry checks with no adverse findings;
9. Documentation of training; and
10. Documentation that the individual has read and understands these regulations.
2-006.05B Substitutes and Volunteers: Records for each substitute and volunteer must include:
1. Name;
2. Address and telephone number;
3. Social Security Number;
4. Start date;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. Documentation of Nebraska registry checks with no adverse findings; and
8. For volunteers only, a written schedule that includes the hours and days of the week the individual serves as a volunteer.
2-006.06 Child’s Record: A Child’s Record must be completed before the child’s enrollment. The record must be kept current and available for review upon request by the Department. A Child’s Record form may be used or a form may be created and must contain the following information for each child:
1. Name of child;
2. Birthdate of child;
3. Enrollment date;
4. Date care ceased, if applicable;
5. Parent or guardian’s home address and telephone number;
6. Parent or guardian’s employment address and telephone number;
7. Individual(s) to whom the child may be released by the caregiver;
8. Individual(s) who will take responsibility for the child in an emergency when the parent or guardian cannot be reached;
9. Consent to contact a physician in an emergency;
10. Current health status of the child; and
11. List of child’s allergies and intolerance to food, insect bites, or stings, or other factors that result in a medical reaction, and clear instructions in the event of an exposure to the factor.
2-006.07 Parent Information Brochure: At the time of enrollment, the licensee must give the parent(s) of each enrolled child a Parent Information Brochure provided by the Department. The licensee must keep receipts signed and dated by the parent and make them available for review by the Department.
2-006.08 Licensed Capacity and Staff-to-Child Ratio
2-006.08A Licensed Capacity: The number of children in care at any one time must not exceed the licensed capacity. Licensed capacity will be determined by the Department based on available space and the capacity authorized by the State Fire Marshal or delegated authority. Whichever number is smaller will be the licensed capacity of the child care home.
The maximum licensed capacity for a Family Child Care Home II is 12 children. In determining whether the licensed capacity has been exceeded, any adults receiving care and supervision and all children at the program are counted, except:
1. Children who have left the child care home for an activity and will not be returning that day;
2. Children enrolled in the program and in attendance at school; and
3. Own children over age eight unless the licensee is receiving compensation directly or indirectly for own children over age eight.
2-006.08B Staff-to-Child Ratio: The appropriate staff-to-child ratio must be met at all times, as follows.
1. Infants only. If the program provides care to infants only, the following ratios apply:
Number of Infants in Care | Number of Staff Required |
4 | 1 |
5-8 | 2 |
9-12 | 3 |
2. Mixed ages. If the program provides care to children of mixed ages, the following ratios apply:
Number of Children in Care | Number of Staff Required |
1-10 | 1 |
11-12 | 2 |
a. Programs serving children of mixed ages may provide care for up to three infants if no more than two of the infants are under 12 months of age.
b. Programs serving ten children with one staff are limited to two infants and the ninth and tenth children must be school-age.
3. School-age only: If the program provides care to school-age children only, the following ratio applies:
Number of Children in Care | Number of Staff Required |
1-12 | 1 |
2-006.09 Communicable Diseases: The Department will provide the program with information about communicable diseases to assist the program in carrying out its responsibilities.
2-006.09A Notification to Parents: The licensee must notify parents of all enrolled children of any case of any reportable communicable disease on the same day the licensee is informed of or observes the illness, unless otherwise directed by the health authority. The health authority is the local health department for the area. Proper notification includes:
1. Notification to parents of children in attendance;
2. Notification to parents of enrolled children who are not in attendance on that day; and
3. Posting notice of the outbreak in a conspicuous place.
2-006.09B Confidentiality: Names of ill children must not be released to anyone except health authorities, unless parents have given their permission.
2-006.09C Health Authority: The licensee must follow all directives given to the licensee by the health authority in the event of a communicable disease outbreak.
2-006.10 Children Excluded Due to Illness: The licensee must have a written policy that identifies the circumstances under which children would be excluded from child care due to illness. To assist in writing the policy, the Department will provide the licensee with materials that include recommendations on:
1. Exclusion based on specific conditions such as fever, diarrhea, vomiting, etc.; and
2. Exclusion based on specific contagious and infectious diseases such as chickenpox, measles, mumps, etc. The licensee must enforce the program’s exclusion policy and make it available to the Department and to the parents of enrolled children.
2-006.11 Immunizations: Within 30 days of a child’s enrollment, the licensee must obtain a copy of the child’s immunization record. Immunization records must be available for review upon request by the Department and updated each time the child receives additional immunizations. Each child’s immunization record must include:
1. Documentation of age-appropriate immunization;
2. Certification by a physician, advanced practice registered nurse, or physician assistant that immunization is not appropriate for a stated medical reason; or
3. A written statement that the parent or guardian does not wish to have the child immunized and the reasons for that decision.
2-006.11A Immunization Report: The licensee must comply with all state statutes and regulations (Neb. Rev. Stat. §§ 71-1913.01 to 71-1913.03 and 173 NAC 4) regarding immunization status of all enrolled children. This includes annual reporting to the Department as specified in 173 NAC 4. The Department will provide materials to assist the program in carrying out its responsibilities.
2-006.12 Supervision of Children: Adequate and appropriate supervision must be provided to children at all times children are in attendance, including during outdoor play. Ultimate responsibility for supervision rests with the licensee.
2-006.12A Supervision in the Absence of the Primary Provider:
Any designated substitute has the same responsibility for providing adequate and appropriate supervision as the primary provider. All parents, except in emergency situations, must be notified in advance of the use of a substitute supervisor.
2-006.12B Permission for Off-Premises Supervision: The licensee must ensure that parents are informed and give written permission when children will be outside the premises of theome and supervised by staff. Written permission must be available to the Department on request.
2-006.12C Permission for Child to Leave Premises: If a child participates in activities that are not provided by the licensee and are outside the child care premises, the licensee must btain written permission from the parent. The written permission must be available to the Department upon request and must indicate the following:
1. The parent gives permission for his/her child(ren) to leave the child care premises; and
2. The parent understands the licensee is not responsible for supervision while his/her child participates in activities outside the child care premises or outside the supervision of the licensee.
2-006.12D Supervision During Outdoor Play: All children must be supervised during outdoor play.
2-006.12D1 Fenced Play Area: Children under the age of two must be accompanied and supervised while in a fenced play area. Children two and over may play in a fenced area unaccompanied, but must be supervised at all times.
2-006.12D2 Unfenced Play Area: Children under the age of four must be accompanied and supervised while in a play area that does not require a fence. Children four or older may be unaccompanied, but must be supervised at all times when playing in an unfenced play area.
2-006.13 Discipline: When parents are not present, the responsibility for the discipline of children in care lies only with the primary provider or the designated substitute. 2-006.13A Prohibited Forms of Discipline: The following actions are prohibited as a form of discipline:
1. Spanking;
2. Slapping;
3. Punching;
4. Pinching;
5. Shaking;
6. Striking with any object;
7. Use of soap, hot sauce or other unpleasant food or non-food items;
8. Isolating a child in a locked or closed room or closet;
9. Handling roughly;
10. Biting;
11. Denial of food;
12. Forced napping;
13. Subjecting a child to derogatory remarks about the child or the child’s family;
14. Abusive or profane language directed at children;
15. Yelling or screaming at children;
16. Threats of physical punishment; or
17. Mechanical restraints.
2-006.13B Child Behavior That Cannot Be Disciplined: Children must not be disciplined for the following:
1. Toileting accidents;
2. Refusal to take medication; or
3. Refusal to eat.
2-006.13C Use of Time Out: Separation from the group, if used, must be brief and appropriate for the child’s age. The time out period must:
1. Take place in a safe, lighted, and well-ventilated area;
2. Occur within hearing distance of staff; and
3. Not exceed more than one minute for each year of the child’s age. If the time a child spends in time out is extended, it must be carried out as indicated by a behavioral management plan developed and monitored by a licensed or certified professional qualified to identify the special needs of a child, as having a physical, emotional, or social developmental delay or impairment.
2-006.13D Use of Physical Hold: The primary provider and staff may restrict a child’s movement by the use of a physical hold. A physical hold may be used only:
1. When the child is hurting him/herself, others, or property;
2. When the hold does not prevent the child from breathing or speaking; and
3. Until the child is calm and able to demonstrate reasonable control of his/her behavior.
2-006.13D1 Notification and Documentation: The licensee must notify the child’s parents within 24 hours of the physical hold when a physical hold is used on their child. Written documentation of each use of a physical hold must be available for review by the parents of the child involved in the physical hold and the Department. The documentation must include:
1. Child’s name;
2. Date of the incident;
3. Description of the incident; and
4. Names of the staff involved.
2-006.13E Use of Restraints: The use of restraints is prohibited except under the following conditions:
1. All staff who participate in restraining a child must have received prior training in de-escalation and the use of restraints.
2. The training curriculum must be accepted by the Department.
3. The training must be taught by a certified trainer.
4. Written documentation of each use of restraint must be available for review by the parents of the child involved in the restraint and the Department. The documentation must include:
a. Child’s name;
b. Date of the incident;
c. Description of the incident; and
d. Names of the staff involved.
2-006.14 Prohibited Language, Materials, and Actions: Children of any age must not be exposed to:
1. Profanity;
2. Sexually explicit material;
3. Acts of violence towards a person or animal; or
4. Acts of racism.
2-006.15 Child Development Program: The licensee must provide an age-appropriate program designed to promote the cognitive, social, emotional and physical development of children in care. Information about the program must be given to parents and the Department upon request. The program must include:
1. Indoor play;
2. Outdoor play;
3. Napping and rest periods;
4. Opportunities for individual and group play times;
5. Opportunities for children to read and explore books;
6. Daily reading with children of age-appropriate literature; and
7. Fostering language and social development by talking and interacting with children and modeling appropriate language and behavior.
2-006.15A Toys, Equipment, and Materials: The licensee must provide a sufficient number of age-appropriate toys, equipment, and materials for all children in care. Children below the age of three must not have access to toys and objects that could create a choking hazard unless directly supervised by the primary provider or staff.
2-006.15B Beds, Cribs, and Sleeping Surfaces: Appropriate sleeping surfaces must be available for each child in care.
1. Acceptable sleeping surfaces for children over 12 months of age are:
a. Beds;
b. Cots;
c. Cribs;
d. Playpens;
e. Sofas;
f. Washable sleeping bags; and
g. Waterproof mats.
2. The only acceptable sleeping surfaces for children age 12 months and under are cribs and playpens. When used, cribs and playpens must meet the following standards:
a. Cribs and playpens must be federally approved;
b. Cribs must be equipped with a tight-fitting waterproof mattress covered by a fitted sheet. The mattress pad for a playpen must be specifically designed for playpen use and covered by a fitted sheet;
c. Cribs and playpens must contain no soft objects, bumper pads, toys, or loose bedding. If a blanket is used, it must be secured or tucked under the crib mattress or the pad of the playpen and reach no higher than the infant’s chest; and
d. Cribs and playpens must be clean, in good repair, and not have any surface covered by lead-based paint.
3. The following must not be used as sleeping surfaces:
a. The top level of a bunk bed for children age 5 and under;
b. Stackable cribs;
c. Waterbeds for children age 3 and under; and
d. Cots, cushions, futons, mats, or pillows for infants 12 months and under.
2-006.16 Infant/Toddler Care: If care is provided to infants and/or toddlers, the primary provider and staff must:
1. Investigate the cries of infants immediately;
2. Hold, talk to, and engage in play activities with each child every day;
3. Hold infants under six months of age or those not yet able to hold their own bottles. Bottles must not be propped and must be removed from sleeping infants;
4. Only use high chairs that are equipped with three-point safety straps;
5. Obtain and keep on file a signed and dated statement by the parent(s) that describes the formula and feeding schedule for each infant in care; and
6. Place infants on their backs to sleep unless there is a medical reason for a child to sleep in a different position. A written note from the infant’s physician, nurse practitioner, or physician assistant indicating that the infant must sleep in a different position must be obtained, kept on file, and available for review by the Department.
2-006.16A Diapering and Toileting
1. The licensee must ensure that diapering procedures are established and followed by the primary provider and staff. The procedures must require that:
a. Wet and/or soiled diapers are changed immediately;
b. Diapers are checked on a frequent and regular basis;
c. Individual washcloths or disposable towelettes are used;
d. Wet and soiled diapers are properly stored and disposed;
e. Diaper-changing surfaces are cleaned after each use by sanitizing the surface or changing the diaper pad or disposable sheeting; and
f. Proper hand washing is done after each diaper change.
2. The licensee must ensure that toilet training is conducted in a manner agreed upon by the primary provider and the parent. The licensee must also ensure that:
a. Potty chairs are not used or stored in eating or play areas; and
b. Proper hand washing by the provider and the child is done each time a child is helped with toileting.
2-006.17 Overnight Care: If overnight care is provided, the licensee must ensure that:
1. If requested by the parent, the child is given a shower, tub, or sponge bath in a manner agreed upon between the parent and the licensee; and
2. The following fire safety standards for overnight care are met:
a. The primary provider/staff remain awake until all children are asleep;
b. The primary provider/staff sleep on the same level of the home/facility as the children;
c. Smoke detection is provided in the sleeping rooms of the primary provider/staff and children;
d. A portable fire extinguisher with a minimum safety rating of 2A10BC is located in the primary provider/staff sleeping room;
e. The primary provider/staff is/are familiar with the operation of the extinguisher; and
f. The extinguisher is properly maintained according to State Fire Code Regulations, 153 NAC 1.
2-006.18 Wading and Swimming Activities: Children must be accompanied, kept safe, and adequately supervised during wading and swimming activities while in care.
2-006.18A Prohibited Water Sources: Children must not be allowed to use the following water sources for swimming or wading activities:
1. Natural bodies of water;
2. Hot tubs, spas, or saunas;
3. Livestock tanks; and
4. Decorative ponds.
2-006.18B Wading: If the licensee allows children to participate in wading or other water play activities:
1. Children must be accompanied and directly supervised; and
2. The licensee must ensure that the wading pool is drained and sanitized daily and is inaccessible to children when not in use.
2-006.18C Permission for Non-Licensee-Supervised Activities Off the Premises: If the licensee does not allow children to participate in swimming activities while in care, but a parent requests that their child leave the premises to go to a pool, the licensee must obtain a written and signed statement from the parent that is kept on file on the premises and available to the Department upon request. The statement must indicate that the child is allowed to leave care and must acknowledge that the licensee is not responsible for supervision.
2-006.18D Permission for Licensee-Supervised Activities Off the Premises: If the licensee allows children in care to participate in swimming activities under the supervision of the licensee but off the premises, the licensee must obtain a written, signed, and dated statement from the parent that is updated annually. The statement must be available to the Department upon request, and must indicate the following:
1. The parent gives permission for their child(ren) to leave the child care premises for swimming/wading;
2. The location of the pool where the child is allowed to swim; and
3. Whether the child is allowed to swim in water over his/her head.
2-006.18E Licensure of Swimming Pools: The licensee must ensure that swimming pools off the center’s premises where children are taken are licensed by the Department.
2-006.18F Water Safety: When the depth of a pool’s water is over four feet, the licensee must ensure that someone who has satisfactorily completed a swimming water safety course is on duty at all times children in care are at the pool.
2-006.18G Pool on the Premises Not Used by Children in Care: If an above-ground or in-ground swimming pool is on the premises and children in care are not allowed to use it, the licensee must meet the following requirements:
1. The pool must be enclosed with a fence that is at least four feet high and flush with the ground;
2. Above-ground pools must have non-climbable side walls;
3. When a pool is covered, the cover used must be the manufacturer’s recommended cover;
4. Equipment needed to rescue a child or adult must be readily accessible; and
5. Children must be accompanied and directly supervised if the pool is located in the outdoor play area.
2-006.18H Pool on the Premises Used by Children in Care: If the children in care are allowed to use a pool on the premises, the licensee must meet the requirements in 2-006.18G and:
1. Have a permit issued by the Department;
2. If the depth of the water is over four feet, an individual who has satisfactorily completed a swimming water safety course must be on duty at all times children are at the pool; and
3. Maintain the following staff-to-child ratios:
| Number of Children | Number of Staff Required |
Infants | 1 | 1 |
Toddlers | 2 | 1 |
Preschoolers | 4 | 1 |
School-age | 6 | 1 |
2-006.19 Transportation: When transportation is provided for children in care, the licensee must ensure the following conditions are met:
1. No child must ever be left alone in the vehicle;
2. Smoking is prohibited in the vehicle when children are being transported;
3. All doors on the vehicle must be locked when the vehicle is in motion;
4. Any individual who transports children must possess a current and valid driver’s license for the type of vehicle used to transport children, as verified by the Department of Motor Vehicles;
5. The vehicle used to transport children must be properly registered and must contain a first aid kit and parent contact information for each child being transported;
6. The number of children transported must not exceed the seating capacity of the vehicle as indicated by the manufacturer;
7. All children transported must be properly secured in an appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268;
8. All car seats must be federally approved and must be the correct type for the child’s age and developmental level;
9. Written permission from parents for the program to transport children must be obtained, kept on file, and made available to the Department;
10. Children must not be transported to any location without the prior knowledge of the parent(s), except in a medical or other emergency; and
11. Children must not be transported to avoid violations of capacity or staff-to-child ratio.
2-006.20 Medications
2-006.20A Giving or Applying Medication: If the primary provider or staff gives or applies medication, s/he must do so in accordance with the “Five Rights” as set out in the Medication Aide Act. The Five Rights are:
1. The right drug;
2. The right recipient;
3. In the right dose;
4. By the right route; and
5. At the right time.
2-006.20B Competence to Give or Apply Medication: Parents or any licensed health care professional are responsible for determining if the primary provider or staff are competent to give or apply medication. Any licensed health care professional, as directed by the prescribing health professional, is competent to give or apply medication under any circumstances as long as it is within the scope of practice of that health care professional.
2-006.20C Confidentiality: Any primary provider or staff who gives or applies medication must not disclose information about a child’s medication or physical or mental health condition unless such information is needed to protect the health of other children or staff. The use of a posted medication sign-in sheet does not violate confidentiality if the parent has been advised in writing that the parent has the option of using a private method of informing center staff of the child’s medication needs.
2-006.20D Written Permission and Instructions: The primary provider or staff must give or apply prescription and non-prescription medication only with prior written permission and written instructions from a parent. The licensee must ensure that he primary provider and staff comply with the instructions provided by the parent or inform the parent that medications will not be given or applied.
1. Any error in the giving or applying of medication must be reported to the parent.
2. The dosage must not exceed that which is printed on the label.
3. Expired medication must not be given or applied to a child and must be returned to the parent or destroyed.
2-006.20E Unusual Circumstances: The licensee must obtain a written statement from the licensed health care professional who prescribed the medication allowing the primary provider or staff to give the medication when:
1. Any prescription medication is given or applied as needed (PRN); or
2. By a route other than oral, topical, inhalant, or instillation.
The written statement must describe the route and what symptoms need to exist in order for the medication to be given or applied.
2-006.20F Hand Washing: All caregivers must properly wash their hands before giving or applying any medication. If handling any bodily fluids is involved, caregivers must properly wash their hands after giving or applying medication.
2-006.20G Storage: All medications must be kept in proper storage. This includes:
1. All prescription and nonprescription medications must be kept in locked storage at all times children are in care;
2. Separate locked storage must be provided for medications requiring refrigeration;
3. All medications must be kept in the original container, stored according to instructions, clearly labeled for the named child, and returned to the parent when no longer needed; and
4. Over-the-counter, non-toxic topical ointment such as lip balm, petroleum jelly, sun block and diaper ointment must be kept out of the reach of children.
2-006.20H Record-Keeping: The licensee must maintain a record of the time and amount of medication given or applied.
2-006.21 Food Service: Meals and snacks that are appropriate to the needs of the children in care must be served to all children in attendance. Weekly menus must be given to parents upon request. Meals and snacks must:
1. Be appropriate to the age and development of the child;
2. Address children’s allergies and food intolerance; and
3. Meet established USDA requirements regarding food groups and serving sizes.
Meals and snacks provided by the parents must be supplemented if USDA guidelines are not met. If the child’s meals are not to be supplemented due to dietary concerns, a statement from a physician must be obtained and available indicating it is acceptable for the child to be served a meal that does not meet USDA guidelines.
2-006.21A The licensee must offer at least the following number of meals and snacks, based on how long children are present:
2½ to 4 hours | One snack |
4 to 8 hours | One snack and one meal |
8 to 10 hours | Two snacks and one meal |
10 or more hours | Two snacks and two meals |
2-006.22 Food Safety: The licensee must ensure that food is stored, prepared, protected, served, and disposed in a safe and sanitary manner, as follows:
1. All perishable foods must be stored in a covered container in an operating refrigerator at a maximum temperature of 40 degrees;
2. Individuals handling food must properly wash their hands before and after handling food;
3. All prepared formula or breast milk must be refrigerated and clearly labeled with the child’s name, date received, date expressed and date frozen, if applicable.
a. Unused prepared formula must be discarded as indicated by the label.
b. Unfrozen breast milk must be discarded after 48 hours.
c. Frozen breast milk must be kept in a freezer for no more than three months;
4. Formula provided by the licensee must be made from commercially prepared products;
5. Children must only be served pasteurized grade A milk and milk products. Dry milk and milk products must be made from pasteurized milk and milk products;
6. All fresh or raw fruits and vegetables must be thoroughly washed with water before use;
7. Home-canned foods must not be served to children in care;
8. All food preparation areas must be easily cleanable and in good repair;
9. Any deep freezer that cannot be opened from the inside must be locked or stored in a locked room;
10. All utensils, equipment, and food storage areas must be kept clean and in good repair; and
11. All dishes and utensils must be properly washed, rinsed, sanitized, and air dried.
2-006.23 Emergency Preparedness
2-006.23A Telephone: A working telephone must be available on the premises at all times. Emergency telephone numbers, including fire, rescue, police (or 911), and Poison Control, must be prominently posted.
2-006.23B Fire and Tornado Drills: Fire and tornado drills must be practiced with the children and staff. Written documentation of drills, including dates conducted, must be kept and available for review by the Department.
1. Fire drills must be completed a minimum of once per month.
2. Tornado drills must be completed a minimum of four times per year during the months of March through September.
2-006.23C Fire and Tornado Safety Diagrams: Fire and tornado safety diagrams must:
1. Show the layout of the licensed child care area(s);
2. Be prominently posted and visible;
3. Include how the evacuation of children with special needs will be conducted;
4. Include fire evacuation routes; and
5. Include tornado safety locations.
2-006.23D Disaster Preparedness: The licensee must have a written plan that addresses:
1. Evacuating and moving children to a safe location in the event of a fire, tornado, flood, or other natural or man-made disaster;
2. Notifying parents of children in care of an emergency;
3. Reunification of parents with their children in the event of an emergency that requires evacuation; and
4. How children with special needs will be safe in the event of a disaster including evacuation and reunification with the parent.
2-006.23E Notification to the Department of Emergencies: The licensee must notify the Department within 24 hours or the next business day of the following occurrences at the child care program:
1. The death of a child;
2. Any accident or injury to a child which requires hospitalization or treatment at a medical facility;
3. When a child has been missing, lost, or left unsupervised on or off the premises; and/or
4. An emergency or disaster that results in damage to the Family Child Care Home II or inability of the licensee to comply with regulations.
2-006.23E First Aid Kit: A first aid kit must be available on the premises. It must be inaccessible to children. If any poisons or medications are stored in the kit, it must be kept in locked storage. The kit must contain:
1. Fever thermometer;
2. Soap;
3. Bandages;
4. Gauze;
5. First aid tape;
6. Scissors; and
7. Disposable gloves.
2-006.24 Environmental Services: The licensee must provide child care in a safe, clean, comfortable environment. Every area and building on the same premises used for child care must comply with these regulations.
2-006.24A Housekeeping and Maintenance: The licensee must provide the necessary housekeeping and maintenance to protect the health and safety of children in care. The child care home and grounds must be kept clean, safe, and in good repair.
1. The child care home and any building on the premises in or around areas where children are present must be kept free of exposed lead-based paint surfaces that are flaking, peeling, or chipped.
2. Rooms, walls, floors, and ceilings must be kept clean, dry, in good repair, and free of odor resulting from sewage, mold, mildew, or other environmental or biological hazards or unsanitary conditions.
3. Heating, ventilation, and lighting in all rooms used for child care must be adequate to protect the health of children.
4. The licensee must equip and maintain the premises to prevent the entrance, harborage, or breeding of rodents, flies, and all other insects and vermin. All doors opening to the outside must be self-closing (except sliding doors) and all windows used for ventilation must be screened.
5. All garbage and rubbish must be disposed of in a manner that minimizes odor and the transmission of infectious diseases, and prevents the attraction of rodents, flies, and all other insects and vermin.
2-006.24B Maintenance of Equipment, Fixtures, Furnishings, and Toys:
1. The licensee must keep equipment, fixtures, furnishings, and toys used in the child care program clean, safe, and in good repair.
2. The licensee must arrange furniture and equipment so as not to interfere with exits.
2-006.25 Environmental Safety: The licensee is responsible for maintaining a safe and hazard-free environment.
2-006.25A Smoking
1. If the child care home is in the residence of the licensee, smoking anywhere indoors in the child care home is prohibited during the hours of operation when one or more children who are not occupants of the residence are present.
2. If the child care home is not in the residence of the licensee, smoking anywhere indoors is prohibited at all times.
3. If the licensee or any household member smokes, parents must be informed before enrollment of their child(ren).
2-006.25B Alcohol and Controlled Substances
1. If the child care home is a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be consumed in any area used for child care whenever any child in care is present.
2. If the child care home is not a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be present in any area used for child care whenever any child in care is present.
3. The unlawful use or possession of controlled substances, as defined by Neb. Rev. Stat. §§ 28-401 to 28-403 and 28-439, is prohibited. Controlled substances that have not been legally prescribed must not be on the premises.
2-006.25C Animals/Pets: Any animal present at the child care home must not negatively affect the children. The licensee must:
1. Have all pets examined annually by a licensed veterinarian and have documentation available;
2. Complete all vaccinations recommended by the licensed veterinarian that include, at a minimum, current rabies vaccinations for dogs, household cats, and ferrets, and have documentation available;
3. Have provisions for pet care necessary to prevent the acquisition and spread of fleas, ticks, and other parasites;
4. Ensure that no animals are allowed in the food preparation, food storage, or serving areas during food preparation and serving times; and
5. Comply with any state or local law or ordinance relating to the care and ownership responsibilities of pets or specific breeds identified by those laws or ordinances.
2-006.25D Prohibited Animals: Exotic or unusual animals, or any animal that has bitten or attacked anyone without provocation or has been determined by the local health authority to be dangerous, must not be allowed on the premises during the hours of operation.
2-006.25E Other Environmental Safety Requirements
1. Surfaces must be smooth and free of sharp edges, mold, or dirt, and the environment must be kept free of other conditions which may pose apotential risk.
2. All cleaning agents, medications (both prescription and nonprescription), and poisonous materials must be kept in locked storage at all times children are in care. Separate locked storage must be provided for medications requiring refrigeration.
3. All firearms, other potentially hazardous weapons, weapon accessories, and ammunition must not be on the premises of the child care home, unless the home is a private residence. If the child care home is a private residence, all firearms, other potentially hazardous weapons, weapon accessories, and ammunition must be kept in locked storage. Firearms must be unloaded and ammunition must be stored separately from firearms.
4. Electrical outlets within reach of children must be covered with safety caps, ground fault interrupters, or have safety outlets installed.
5. Shared use of the following items is prohibited:
a. Disposable towelettes;
b. Drinking containers, cups, or glasses;
c. Personal care items such as toothbrushes and hair brushes; and
d. Towels and washcloths.
6. Waterproof storage must be provided for soiled or wet clothing and must not be accessible to children.
2-007 PHYSICAL PLANT STANDARDS: The child care home must be maintained in a manner that is safe, clean, and functional for child care. The following regulations apply to all areas of the child care home used for child care.
2-007.01 Activity Space: The child care home must have space for children’s activities, napping, and free play. The child care activity space must:
1. Have furnishings to accommodate all activities and age-appropriate needs of
all children in care;
2. Be available for all children; and
3. Have at least 35 square feet of activity space per child. Rooms not used for child care do not count in the square footage total.
2-007.02 Water Supply and Sewer Requirements
2-007.02A Water Supply: The licensee must have and maintain an accessible, adequate, safe, and potable supply of water for drinking, bathing, and hand washing.
1. If water is obtained from a source other than a public water supply system, the water must not contain contaminants that exceed the maximum contaminant levels set for nitrate, or total coliform for public water supply systems in 179 NAC 2-002, and 179 NAC 3 or the lead action level set in 179 NAC 12. The licensee must report to the Department the results of all tests that show the water contains contaminants that exceed a maximum contaminant or action level.
a. The water supply must be tested annually and the tests results must be available for review upon request.
b. If the water supply does not meet nitrate, total coliform bacteria and lead standards, the licensee must, until the contaminants are lowered to acceptable levels:
(1) Obtain water from a source approved by the Department; or
(2) Purchase water from a commercial source.
2. Drinking water must be provided by sanitary drinking fountains or individual or disposable cups.
3. The licensee must maintain hot and cold water to all hand washing and bathing locations. The hot water system must be maintained between a minimum of 100 degrees Fahrenheit and a maximum of 120 degrees Fahrenheit. Soap must be available at the hand washing sink.
2-007.02B Sewer Requirements: The licensee must maintain a sanitary and functioning sewage system which includes no open sewage discharge on the child care premises. When the Department determines that there may be open sewage present on the child care premises, a referral will be made to the Nebraska Department of Environmental Quality for an inspection.
2-007.03 Outdoor Play Areas: An outdoor play area must be available. The area must:
1. Have at least 50 square feet per child of age-appropriate play space;
2. Be kept clean and safe and contain no accident hazards, debris, or stagnant water;
3. Contain no barnyard animals or fowl; and
4. Be free of animal waste.
2-007.04 Fencing: A fence is required when the following conditions exist on or near the child care premises:
1. Drainage ditches;
2. Wells;
3. Holes;
4. Heavy machinery is used;
5. Railroad tracks;
6. Bodies of water, including decorative ponds;
7. Heavy street traffic; and
8. Other hazards.
2-007.05 Playground Surfaces: The area under climbing equipment, swings, slides, and other equipment from which children might fall must be of resilient material such as sand, dirt, grass, rubber matting, rubber mulch, wood chips, or small-to-medium size gravel.
2-007.06 Toilets and Sinks: The child care home must have a toilet and sink available for children’s use. Toilets and sinks must be:
1. Conveniently located;
2. Clean and in good repair;
3. Designed to accommodate children with special needs, when applicable; and
4. Of suitable height for children or have a safe stepstool.
2-007.07 Fire Safety: The child care home must maintain fire safety approval in addition to meeting the following standards:
1. There must be two unblocked exits approved by the Fire Marshal from every floor on which child care is provided;
2. Furnaces, wood-burning stoves, and other heaters must be inaccessible to children when in use;
3. Candles or incense must not be used while children are in care;
4. Open flames must not be present while children are in care;
5. All storage areas must be free of excessively combustible or highly flammable materials;
6. Bathroom and closet doors must be designed so they can be unlocked from the outside;
7. There must be properly mounted and operated smoke detection equipment as required by the Fire Marshal; and
8. When overnight care is provided, the licensee must ensure that additional fire safety requirements are met as specified in 2-006.14.
2-008 DENIAL AND DISCIPLINARY ACTIONS
2-008.01 Grounds for Denial or Disciplinary Action: The Department may deny the issuance of or take disciplinary action against a license on any of the following grounds:
1. Failure to meet or violation of any of the requirements of the Child Care Licensing Act or the rules and regulations adopted and promulgated under the Act;
2. Violation of an order of the Department under the Act;
3. Conviction of, or substantial evidence of committing or permitting, aiding, or abetting another to commit, any unlawful act, including, but not limited to, unlawful acts committed by an applicant or licensee under the act, household members who reside at the place where the program is provided, or employees of the applicant or licensee that involve:
a. Physical abuse of children or vulnerable adults as defined in Neb. Rev. Stat. § 28-371;
b. Endangerment or neglect of children or vulnerable adults;
c. Sexual abuse, sexual assault, or sexual misconduct;
d. Homicide;
e. Use, possession, manufacturing or distribution of a controlled substance listed in Neb. Rev. Stat. § 28-405;
f. Property crimes, including, but not limited to, fraud, embezzlement, and theft by deception; and
g. Use of a weapon in the commission of an unlawful act;
4. Conduct or practices detrimental to the health or safety of an individual served by or employed at the program;
5. Failure to allow an agent or employee of the Department access to the program for the purposes of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
6. Failure to allow state or local inspectors, investigators, or law enforcement offices access to the program for the purposes of investigation necessary to carry out their duties;
7. Failure to meet requirements relating to sanitation, fire safety, and building codes;
8. Failure to comply with or violation of the Medication Aide Act;
9. Failure to file a report of suspected abuse or neglect as required by Neb. Rev. Stat. §§ 28-372 and 28-711;
10. Violation of any city, village, or county rules, regulations, or ordinances regulating licensees; or
11. Failure to pay fees required under the Child Care Licensing Act.
2-008.02 Types of Disciplinary Action: The Department may impose any one or a combination of the following types of disciplinary action against a license issued under the Child Care Licensing Act:
1. Issue a probationary license;
2. Suspend or revoke a provisional, probationary, or operating license;
3. Impose a civil penalty of up to $5 per child, based upon the number of children for which the program is authorized to provide child care on the effective date of the finding of violation, for each day the program is in violation;
4. Establish restrictions on new enrollment in the program;
5. Establish restrictions or other limitations on the number of children or the age of the children served in the program; or
6. Establish other restrictions or limitations on the type of service provided by the program.
2-008.02A Considerations: In determining what type of disciplinary action to impose, the Department will consider:
1. The gravity of the violation, including the probability that death or serious physical or mental harm will result, the severity of the actual or potential harm, and the extent to which the provisions of applicable statutes, rules, and regulations were violated;
2. The diligence exercised by the program in identifying or correcting the violation;
3. The degree of cooperation exhibited by the licensee in the identification, disclosure, and correction of the violation;
4. Any previous violations committed by the program; and
5. The financial benefit to the program of committing or continuing the violation.
2-008.02B Additional Action: If the licensee fails to correct a violation or to comply with a particular type of disciplinary action, the Department may take additional disciplinary action.
2-008.03 Unpaid Fines: Any fine imposed and unpaid under the Child Care Licensing Act will constitute a debt to the State of Nebraska which may be collected in the manner of a lien foreclosure or sued for and recovered in any proper form of action in the name of the State of Nebraska in the district court of the county in which the program is located. The Department will, within 30 days after receipt, remit fines to the State Treasurer for credit to the permanent school fund.
2-008.04 Department’s Emergency Power: Whenever the Department finds that an emergency exists requiring immediate action to protect the physical well-being and safety of a child in the program, the Department may, without notice or hearing, issue an order declaring the existence of such an emergency and requiring that such action be taken as it deems necessary to meet the emergency. The order may include an immediate prohibition on the care of children by the licensee other than children of the licensee. An order under this subsection will be effective immediately. Any person to whom the order is directed must comply immediately, and upon application to the Department, the person will be afforded a hearing as soon as possible and not later than ten days after his or her application for the hearing. On the basis of such hearing, the Department will continue to enforce the order or rescind or modify it.
2-008.05 Re-Application After Revocation: A former licensee whose child care license has been revoked for any cause other than nonpayment of fees is not eligible to reapply for a license for two years. The former licensee must:
1. Apply for a provisional license;
2. Meet the requirements for provisional licensure in 2-003.01; and
3. Demonstrate to the Department’s satisfaction the ability and willingness to comply with all licensing regulations.
TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 3 - CHILD CARE CENTERS
3-001 SCOPE AND AUTHORITY: These regulations will become operative three months after their effective date. These regulations govern the licensing of Child Care Centers by the Department of Health and Human Services. Statutory authority for these regulations is in:
1. The Child Care Licensing Act (Neb. Rev. Stat. §§ 71-1908 to 71-1923);
2. The Child Protection Act (Neb. Rev. Stat. §§ 28-710 to 28-727);
3. The Clean Indoor Air Act (Neb. Rev. Stat. §§ 71-5716 to 71-5734);
4. The Quality Child Care Act (Neb. Rev. Stat. §§ 43-2601 to 43-2625);
5. The Sex Offender Registration Act (Neb. Rev. Stat. §§ 29-4001 to 29-4014); and
6. Neb. Rev. Stat. §§ 4-108 to 4-114.
The Child Care Licensing Act requires the Department to develop regulations establishing standards for the physical well-being, safety, and protection of children in programs licensed under the Act. The purposes of the Act are to provide statewide licensure standards for persons providing child care programs and to provide the Department with authority to coordinate the enforcement of standards on licensees. The standards ensure that a program is providing proper care for and treatment of the children served, and that the care and treatment are consistent with the children’s physical well-being, safety, and protection.
The Child Protection Act authorizes the Department to use information in the state child abuse/neglect central register for purposes of licensing providers of child care programs, and the Clean Indoor Air Act addresses smoking in licensed child care programs.
The Quality Child Care Act requires the Department to develop regulations for mandatory training requirements for child care providers designed to meet the health, safety, and developmental needs of children and tailored to the needs of licensed providers. The Act states that the Legislature’s intent is to encourage high-quality, affordable, and accessible child care services that are educationally and developmentally appropriate.
The Sex Offender Registration Act authorizes the disclosure of information to providers who serve children for the purpose of conducting confidential background checks for employment. Neb. Rev. Stat. §§ 4-108 to 4-114 provide that no state agency or political subdivision of the State of Nebraska may provide public benefits to a person who is not lawfully present in the United States. A child care license is considered a public benefit.
3-001.01 These regulations apply to Child Care Centers, which are licensed to provide a child care program for 13 or more children. A center may be located in the licensee’s residence or another location.
3-001.02 The following are exempt from mandatory licensure, but may be voluntarily licensed:
1. Any person who provides child care:
a. On an irregular, informal basis and with no established pattern of occurrence;
b. Without cost to the parents and who receives no form of compensation;
c. To three or fewer children at any one time, except by a person whose license has been suspended or revoked;
2. Recreation camps as defined in Neb. Rev. Stat. § 71-3101, a recreation facility, center, or program operated by a political or governmental subdivision pursuant to the authority provided in Neb. Rev. Stat. § 13-304;
3. Classes or services provided by a religious organization other than child care or a preschool or nursery school;
4. A preschool program conducted in a school approved under Neb. Rev. Stat. § 79-318;
5. Programs operated or contracted by a public school district and subject to the rules and regulations of the State Department of Education under Neb. Rev. Stat. § 79-1104;
6. Services provided only to school-age children during the summer and other extended breaks in the school year;
7. Care provided only to children 13 years of age or older;
8. Care provided for less than two hours per week on average;
9. Foster care as defined in Neb. Rev. Stat. § 71-1901;
10. Care provided by grandparents to only their grandchildren;
11. Care provided on federal military installations;
12. Care provided on Indian reservations by Native Americans; or
13. Care provided by non-Native Americans on Indian reservations when tribal authorities have assumed jurisdiction for regulating the care.
3-002 DEFINITIONS
Accredited school means a public school district or a nonpublic school or group of nonpublic schools under a governing body organized to provide education in elementary, middle, secondary, and/or high school grades accredited pursuant to 92 NAC 10.
Adequate and appropriate supervision includes:
1. Knowing the whereabouts and being within sight or sound of all children at all times;
2. Being awake, alert, attentive, and responsive to the needs of all children, and
3. Protecting or removing children from harm.
Agency representative means an individual employed by or under contract with the Nebraska Department of Health and Human Services, the State Fire Marshal, or their designated agents.
Ages of Children:
1. Infant means a child age 6 weeks to 18 months;
2. Toddler means a child age 18 months to 3 years;
3. Preschooler means a child age 3 or older who has not attended kindergarten; and
4. School-ager means a child who attends kindergarten or above.
Approved school means a nonpublic school or group of nonpublic schools under a governing body organized to provide education in elementary and/or secondary grades approved pursuant to Title 92 NAC 14.
Certificated teacher means a teacher who holds a valid Teaching Certificate issued by the Nebraska Department of Education.
Child care means the care and supervision of children in lieu of parental care and supervision and includes programs. (See definition of program.)
Child care center means a child care program licensed to provide child care for 13 or more children.
Department means the Nebraska Department of Health and Human Services.
Designee means an individual given responsibility to act on another’s behalf.
Director means the individual who is responsible for the daily operation of the child care center, including compliance with all regulations, when that individual is not the licensee, as provided in 391 NAC 3-006.01(4) and 391 NAC 3-006.02.
Early Childhood Training Center means the entity authorized in Neb. Rev. Stat. § 79-1102 and established within the Nebraska Department of Education. Its purpose is to train individuals who provide education and development activities for infants and young children and their parents.
Family means individuals who are not household members and have one or more children enrolled in the child care program.
Fence means a continuous barrier, including a wall, at least 36 inches in height, flush with the ground, and without any gaps that would allow a child to exit the fenced area.
Food Code means the Nebraska Food Code as defined in Neb. Rev. Stat. § 81-2,244.01 and as published by the Nebraska Department of Agriculture, except for compliance and enforcement provisions.
GED means a General Educational Development credential, also sometimes known as a General Education Diploma or General Equivalency Diploma.
Health authority means the local health department, which by law has the authority and duty for communicable disease control in the counties under its jurisdiction.
Household member means any individual residing in or regularly present in the child care center, including children and youth for whom 24-hour care is provided.
Licensed health care professional means an individual for whom administration of medication is included in the scope of practice.
Licensee means the owner of the child care program and the individual, partnership, limited liability company, corporation, or governmental unit to whom the license is issued and who is responsible for compliance with all regulations.
Locked storage means a container or closet used to store poisonous materials, medications, and weapons that is secured by lock and key, combination lock, or magnetic lock approved by the Department.
NAC means the Nebraska Administrative Code, the compiled regulations of all state agencies maintained by the Secretary of State. Properly adopted regulations have the force and effect of law. These regulations are 391 NAC 3. Within this chapter, references to other parts of the same chapter do not show “391 NAC”; they are shown simply as 3-003.01, for example. References to different regulations show the full citation; for example, 179 NAC 2-002.
Overnight care means care provided for children between the hours of 9:00 p.m. and 6:00 a.m.
Parent means the natural parent, adoptive parent, step parent, guardian, or other legally responsible custodian.
Parent training/education means parents participate in activities supervised by staff to improve knowledge of child development and developmentally appropriate interactions with children.
Physical hold means applying minimal physical force by placing the arms around a child to restrict the child’s movement.
Premises means the home or facility, including areas of the home or facility not used for child care/preschool, all attached and all outbuildings, and all areas included within the lot boundaries.
Preschool means a part-day early childhood program for children age three or older which provides primarily education services where children do not nap and are not served a meal.
Program means the provision of services in lieu of parental supervision:
1. For children under 13 years of age;
2. For compensation, either directly or indirectly; and
3. On the average of less than 12 hours per day, but more than two hours per week.
Program includes any employer-sponsored child care, family child care home, child care center, school-age child care program, school-age services under Neb. Rev. Stat. § 79-1104, or preschool or nursery school.
Proper hand washing means washing and scrubbing the hands for at least 20 seconds with soap and warm running water, rinsing well under running water, and drying with a paper towel, air dryer, or clean towel.
Restraint means the use of manual restraints (direct application of physical force) or mechanical restraints (straps, belts, towels, blankets, tape) or other means to subdue a child or otherwise limit a child’s freedom of movement. Restraint does not refer to physical holds or braces or other devices used to assist, obtain, and maintain normal body function.
Room means an area with four walls flush from the floor to the ceiling and at least one passageway or doorway. A partition is considered a wall if the partition is at least four feet high and is flush to the floor and to the other walls.
Special needs means a child has a requirement for extra care because of an acute or chronic physical or mental condition. Acute special needs include temporary conditions that require special medical attention and isolation from other children, e.g., recovery from surgery, etc. Chronic special needs include long-standing medical or behavioral problems that require medical, behavioral, or other services at all times, e.g., medically fragile, attention deficit, etc. To be considered a child with a special need, the child must have one or more of the following conditions which are not related to chronological age:
1. Emotional impairment: including behavioral impairment, requiring special equipment or assistance;
2. Developmental age level lower than chronological age and requires assistance via special supervision;
3. Movement impairment: requires assistance or is unable to move;
4. Sensory impairment: requires special environmental modifications or assistance;
5. Speech impairment: requires special equipment or assistance;
6. Hygiene: requires assistance or special equipment;
7. Feeding: requires special equipment or assistance;
8. Toileting: requires assistance or special equipment;
9. Medical conditions: requires respiratory aids or special procedures;
10. Therapy required: physical, occupational, speech, or respiratory;
11. Medications: requires assistance or special procedures.
Diseases such as measles, chicken pox, flu, etc., are not considered special needs.
Staff means an individual who provides direct care to the children attending the child care center, including the licensee, director, teacher, aide, and any other individual who counts in the staff-to-child ratio.
Support staff means an individual employed by the center as a food service, clerical, custodial, or transportation staff.
Swimming pool means any artificial basin of water modified, improved, constructed, or installed for the purpose of swimming, wading, diving, recreation, or instruction. Swimming pool includes, but is not limited to, a pool on the child care premises, a pool serving a community, a subdivision, an apartment complex, a condominium, a club, a camp, a school, an institution, a park, a manufactured home park, a hotel, a motel, a recreational area, or a water park. Swimming pool includes a spa, hot tub, or whirlpool or similar device which is designed for recreational use and not to be drained, cleaned and refilled after each individual use.
Teacher means an individual who is responsible for the direct care of the children.
Uncompensated parent helper means the parent of a child enrolled in the center who without compensation, assists in the care of children, who does not count in the staff-to-child ratio, and who is not left alone with children other than his/her own at the center.
USCIS means United States Citizenship and Immigration Services.
USDA means the United States Department of Agriculture.
Volunteer means a person who assists in the care of children, who does not count in the staff-to-child ratio, and is not left alone with children other than his/her own at the child care center.
Wading pool means a portable, above-ground basin filled with 12 or fewer inches of water, and designed for the purpose of wading.
3-003 LICENSING REQUIREMENTS AND PROCEDURES: Any person intending to establish, operate, or maintain a child care center, unless exempt and not seeking voluntary licensure as provided in 391 NAC 3-001 and 391 NAC 3-002, must first obtain a license from the Department. An applicant must show that the child care program meets all licensing requirements contained in these regulations, 391 NAC 3.
3-003.01 Provisional License: Provisional licenses are issued to all newly licensed child care center programs. Provisional licenses are effective for one year.
3-003.01A Application Requirements: An applicant for a provisional child care center license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, if an individual or an individual in a partnership, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. Consent for central registry checks and authorization for release of information for the applicant, all staff and volunteers age 13 or older, and all household members age 13 or older if the center is to be located in a private residence;
4. Documentation of criminal history record checks for the applicant if an individual or an individual in a partnership, all staff and volunteers age 19 or older, all household members age 19 or older if the center is to be located in a private residence, and for the individual who will be the director of the center if the applicant is a limited liability company, a corporation, or a governmental unit (see 3-006.03A);
5. A Report of Law Enforcement Contact for the applicant, or for the individual who will be the director of the center if the applicant is a limited liability company, a corporation, or a governmental unit, all staff and volunteers age 19 or older, and household members age 19 or older if the center is to be located in a private residence (see 3-006.03C);
6. A Health Information Report for the director on a form provided by the Department (see 3-006.03F);
7. Documentation of director qualifications (see 3-006.04);
8. A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of rooms to be used by the children, and outdoor play area;
9. Copies of zoning approval from the relevant jurisdiction;
10. A Fire Inspection Approval issued by the appropriate fire marshal’s office;
11. A Sanitation Inspection Approval issued by the Department or delegated authority;
12. A written description of services;
13. A sample daily schedule for each age group in care;
14. A sample weekly menu of snacks and/or meals;
15. The planned occupancy date; and
16. The required licensing fee (see 3-004.08).
3-003.01B Denial of Provisional License: See 3-008 for grounds on which the Department may deny a provisional license.
3-003.01C Extension of Provisional License: The Department may extend a provisional license once for a period no longer than six months. The Department’s decision regarding extension of a provisional license may not be appealed. A provisional license may be extended if the Department determines:
1. The provisional licensee is unable to comply with all licensure requirements and standards, is making a good faith effort to comply, and is capable of compliance within the next six months;
2. The effect of the current inability to comply with a rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department which is to be completed within the extension period.
3-003.01D Expiration of Provisional License: The Department will send a notice of expiration to the licensee no later than 90 days before the date of expiration.
1. If a provisional licensee does not submit a complete application for an operating license on or before the expiration date, the provisional license expires.
2. If the former licensee submits a complete application and is in compliance with all regulations within 90 days after expiration, the Department will issue an operating license effective when issued.
3. If the former licensee submits an application more than 90 days after expiration, the Department will process the application as a provisional license application.
3-003.02 Operating License: Operating licenses are standard, non-expiring licenses issued to child care center programs that have been licensed for more than one year and are in full compliance with all regulations. Licensees must have completed one full year with a provisional license with satisfactory compliance with all regulations before qualifying for an operating license.
3-003.02A Application Requirements: An applicant for an operating child care center license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, if an individual or an individual in a partnership, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older if the center is located in a private residence (see 3-006.03B);
4. Verification of director qualifications; (see 3-006.14A); and
5. The required licensure fee (see 3-004.08).
3-003.02B Denial of an Operating License: See 3-008 for grounds on which the Department may deny an operating license.
3-003.03 Change of Ownership: Child care licenses are not transferable or assignable. A change of ownership terminates the license. The new owner must apply for a license.
3-003.03A Change of ownership includes the sale or transfer of the ownership or control of a child care center to a person other than the current licensee. Change of ownership does not include a change of name or location of the child care center.
3-003.03B Requirements of New Owner: If there is a change of ownership and the child care center remains on the same premises, the new owner must apply for a provisional license as required in 3-003.01A, except that:
1. Criminal history record checks, Reports of Law Enforcement Contact, and Health Information Reports are required only for new employees who have not already submitted or completed these documents; and
2. A sketch, diagram, or blueprint of the facility, a written description of services, and a sample daily schedule are required only when the new owner changes the use of the facility and/or changes the description of services or the daily schedule.
3-003.03C Mergers: If there is a change of ownership based on the merger of a parent and subsidiary company, affiliated businesses, or governmental units, and the child care center remains on the same premises, the new owner must submit:
1. A Full Disclosure of Ownership Statement on a form provided by the Department; and
2. An application for a child care center license.
3-003.03D Denial of License: See 3-008 for grounds on which the Department may deny a license.
3-003.04 Temporary and Voluntary Cease of Operation: A licensee may request to voluntarily cease operation of the child care program for a period of up to one year. The licensee must:
1. Have attained an operating license;
2. Intend to re-open the child care program at the same location;
3. Not serve any children during the period of ceased operation;
4. Not be the subject of any disciplinary action, investigation of alleged non-compliance with regulations, or outstanding non-compliance; and
5. Pay license fees during the period as specified in 3-004.08.
3-003.04A If the licensee is the subject of any negative or disciplinary action, the period of ceased operation does not count toward the period of negative or disciplinary action.
3-003.04B No routine fire safety, sanitation, or Department inspections will be conducted during the period of ceased operation.
3-003.04C The period of ceased operation may be extended beyond the one-year limit if the licensee shows a reasonable cause.
3-003.04D Reinstatement: A child care center licensee may request reinstatement after a period of ceased operation by submitting an application at least 30 days before the scheduled re-opening date. The Department will review the application and decide if additional information, an on-site inspection, or a fire safety or sanitation inspection is needed to determine compliance with regulations.
3-003.05 Negative Actions: The Department may initiate a negative action when a licensee is not in compliance with regulation but the violation does not rise to the level of a disciplinary action. (Disciplinary actions are described in 3-008.) Negative actions are voluntary and are not appealable. The Department may conduct unannounced monitoring inspections of licensees under negative action. If a licensee does not agree to the terms of the negative action, the Department may initiate a disciplinary action. The two types of negative action are a Licensing Agreement and Corrective Action Status, described as follows.
3-003.05A Licensing Agreement
3-003.05A1 Determining Need for a Licensing Agreement: The Department may request a written licensing agreement if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance; and
2. The effect of noncompliance with any rule or regulations does not present an unreasonable risk to the health, safety, or well-being of children or staff.
3-003.05A2 The Licensing Agreement must:
1. Identify the length of time the Department has determined the agreement will be in effect;
2. Identify regulation violation(s);
3. Identify conditions agreed to by the licensee or director to correct any identified issue and to maintain compliance with licensing regulations;
4. Be signed by the licensee or designee, with permission of the licensee; and
5. Be witnessed by a notary public, Department staff, or non-relative of the licensee.
3-003.05B Corrective Action Status: The Department may place a provisional or operating license on corrective action status for up to six months if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance;
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department.
3-003.05B1 The written plan of correction must:
1. Identify the issue(s) of concern;
2. Identify who is responsible for corrections and maintenance of compliance;
3. Include timelines; and
4. Specify the documentation to be provided to the Department.
3-003.05B2 The Department may discipline the license if the written plan of correction is not approved.
3-003.06 Voluntary Surrender of a License: A licensee may voluntarily surrender a license issued under the Child Care Licensing Act at any time, except that the Department may refuse to accept a voluntary surrender of the license if the licensee is under investigation or if the Department has initiated disciplinary action against the license. If the Department accepts the surrender, the licensee must return the license to the Department within one week of the surrender.
3-003.06A Reapplication for an Operating License Less Than One Year After Voluntary Surrender: A licensee who voluntarily surrendered a child care center operating license less than one year before the date of reapplication may reapply for an operating license. The licensee must meet the requirements of 3-003.02A.
3-003.06B Reapplication One Year or More After Voluntary Surrender: A licensee who voluntarily surrendered a child care center provisional or operating license one year or more before the date of reapplication must reapply for a provisional license. The applicant must meet the requirements of 3-003.01A.
3-003.07 Permanent Closure: When a child care center is to be permanently closed, the licensee must return the license to the Department within one week of closing.
3-004 GENERAL REQUIREMENTS
3-004.01 License Not Transferable: A child care center license is not transferable or assignable and is only valid at the address printed on the license.
3-004.02 Separate License: An applicant for a child care center license must obtain a separate license for each program the applicant seeks to operate.
1. A single license may be issued for a child care center operating in separate buildings or structures on the same premises under one licensee.
2. Multiple licenses may be issued for child care centers, preschools, and school-age-only centers operating on the same premises under multiple licensees.
3-004.03 Posting of License and Availability of License Record Information: The licensee must ensure the current license, including any applicable status or amendment, is prominently posted and clearly visible in the child care area. License record information and inspection reports must be available for public inspection upon request.
3-004.04 Change in Premises: When there is a change in premises:
1. Ninety days before the scheduled date of occupancy of the new premises, the licensee must submit an application for the same type of license (provisional or operating) currently held, except that:
a. The following items must be submitted before the license will be issued:
(1) A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of room to be used by children, and outdoor play area;
(2) A fire inspection approval issued by the State Fire Marshal or delegated authority;
(3) A sanitation inspection approval issued by the Department or delegated local authority;
(4) Copies of zoning approval from the relevant jurisdiction;
(5) Planned occupancy date; and
b. Remaining items must be submitted only if there are changes since the previous application;
2. The Department will conduct an inspection(s) of the proposed location to determine compliance with these regulations before use or occupancy by the applicant; and
3. The new premises cannot be used for a child care program until a license has been issued by the Department. The license for the initial premises will become null and void when a license for the new premises is issued.
3-004.05 Alternative Compliance: The Department may grant alternative compliance with a regulation under the following conditions:
3-004.05A Written Request: A request for alternative compliance must be submitted to the Department in writing and must include:
1. The regulation for which alternative compliance is being requested;
2. The reason for the alternative compliance request;
3. A description of how the alternative will meet the intent of the regulation; and
4. How the alternative will offer equal protection for all children.
3-004.05B Review and Approval: The Department may request additional information from the applicant or licensee in order to reach a decision to approve or deny the alternative compliance request. To be considered for approval, the proposed alternative must:
1. Be consistent with the overall intent and purposes of the regulation; and
2. Protect the health, rights, safety, and well-being of all children in care.
3-004.05C Terms of Alternative Compliance: An alternative compliance may be granted:
1. For a period of time that ends when the conditions of the approval no longer exist; and
2. To permit the applicant or licensee time to come into compliance.
3-004.05D Requirements Not Qualifying for Alternative Compliance: Alternative compliance will not be granted for the requirements on:
1. Capacity/Ratio;
2. Transportation;
3. Supervision;
4. Fire Safety;
5. Criminal history/background checks;
6. Licensee and staff; and
7. Any regulation for which a discipline has been initiated or completed.
3-004.05E Notification of Department Decision: When the Department receives an alternative compliance request and has obtained all information needed to process the request, the Department will notify the applicant or licensee in writing of its decision to approve or deny the request. The notification will be made within 30 days of the Department’s receipt of all appropriate information.
3-004.06 Notification of Changes: An applicant or licensee must notify the Department:
3-004.06A An Amendment to Application must be submitted at least 90 working days before the planned effective date for a change:
1. In location (see 3-004.04); and
2. In building or building usage.
3-004.06B An Amendment to Application must be submitted at least five working days before the planned effective date for a change:
1. In the days of the week care is provided;
2. In the hours of the day care is provided;
3. In the age of children for whom the center provides care; and
4. A change in household members age 13 or older, if the center is located in a private residence.
3-004.06C An Amendment to Application must be submitted within two working days of the following changes:
1. In director; and
2. In household members age 12 or younger, if the center is located in a private residence.
3-004.07 Information Available to Public: The Department will release the following information to the public upon request:
1. Application;
2. Name of licensee;
3. Name of facility;
4. Facility address;
5. Facility telephone number;
6. Alternative compliances;
7. Type of license;
8. Relevant license information (for example, licensed capacity, hours and days of operation, ages of children served, license effective dates);
9. Copies of inspection reports;
10. Fire safety inspection reports and correspondence;
11. Sanitation inspection reports and correspondence;
12. Licensing agreements;
13. Provisional license extension notices;
14. Corrective action status notices;
15 Discipline notices;
16. Corrective action plans;
17. Written transcripts of administrative hearings;
18. Emergency orders; and
19. All final orders.
3-004.07A The Department will not release the following information to the public:
1. Names, addresses, and telephone numbers of complainants;
2. Names, addresses, and telephone numbers of enrolled children and their parents/guardians;
3. Social Security or Federal Tax Identification numbers;
4. Health Information Reports and any physical or behavioral health information on the licensee and staff;
5. Reports of Law Enforcement Contact by the licensee, staff, and household members;
6. Law enforcement reports;
7. Child welfare reports or records, including the state child abuse/neglect central register under Neb. Rev. Stat. § 28-718;
8. Adult protective services (APS) reports or records, including the APS central registry under Neb. Rev. Stat. § 28-376;
9. Nebraska State Patrol Sex Offender Registry information not available to the public under the Sex Offender Registration Act; or
10. Internal Department correspondence, notes, and investigation reports.
3-004.08 Fees
1. Initial and annual licensure fees for child care centers are:
a. Programs with licensed capacity of 1-29 $25
b. Programs with licensed capacity of 30 and up $50
2. Initial and annual licensure fees are nonrefundable, except:
a. If the Department denies an application for a license or an applicant withdraws their application, and the Department has not completed an inspection before the denial or withdrawal, the Department will return the license fee to the applicant.
3. Fees will be accepted in the form of a check or money order. Cash will not be accepted.
3-005 INSPECTIONS AND COMPLAINT INVESTIGATIONS: To determine compliance with licensing regulations, the Department will inspect child care center programs as provided under the Nebraska Child Care Licensing Act.
3-005.01 Initial Licensure Inspection: The Department will:
1. Schedule the date and time for the inspection visit with the applicant and/or the applicant’s designee;
2. Conduct an on-site inspection to determine compliance with these regulations within 30 days of receipt of a completed application for a provisional license; and
3. Provide a preliminary copy of the compliance report to the applicant and/or the applicant’s designee at the conclusion of the inspection.
3-005.02 Provisional-to-Operating License Inspection: The Department will:
1. Conduct an unannounced on-site inspection to determine compliance with these regulations;
2. Conduct the inspection within 30 days of receipt of a completed application for an operating license;
3. Provide a preliminary copy of the compliance report to the applicant and/or designee at the conclusion of the inspection; and
4. Document any violations of these regulations determined at the inspection.
3-005.03 Annual and Semi-Annual License Inspections: To determine compliance with licensing regulations, the Department will conduct unannounced inspections:
1. A minimum of once each year of child care centers licensed for 29 or fewer children; and
2. A minimum of twice each year to child care centers licensed for 30 or more children.
3-005.04 Follow-Up Inspections: The Department may conduct a follow-up inspection to determine if the licensee has corrected all violations and to determine full compliance with regulations following any type of inspection. If conducted, the follow-up inspection will:
1. Occur no later than 60 days after the original inspection, or sooner if the licensee requests or the violation needs to be corrected immediately; and
2. Be unannounced unless the program is closed.
3-005.05 Monitoring Inspections:
The Department may conduct unannounced monitoring inspections to determine compliance with regulations and the conditions of any negative action or discipline.
3-005.06 Inspection Results
1. The Department will provide a copy of the compliance report to the child care program within ten working days after completion of an inspection.
2. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations, the applicant or licensee may request an alternative compliance (see 3-004.05).
3. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations and the failure(s) would not pose an imminent danger of death or serious harm, the Department may:
a. Allow the applicant or licensee a period of time to correct all the violations; or
b. Initiate negative action or discipline if the applicant or licensee fails to correct all violations within the time frame given by the Department or has a history of violating the same or similar regulations at previous inspections.
4. When the Department finds that the applicant or licensee has failed to meet the regulations, the Department may initiate negative action or discipline or require the applicant or licensee to make all corrections at the time of inspection. If compliance cannot be achieved immediately, the Department may allow a reasonable period of time after the inspection was conducted to make corrections.
3-005.07 Complaint Investigations: The Department will investigate any licensed child care center after receiving an allegation of violation of licensing regulations.
1. The Department will accept complaints from anyone who witnessed a violation or a parent/guardian of a child who witnessed a violation;
2. The Department will accept complaints via telephone, letter, fax, electronically, or in person;
3. The identity of a complainant is not public information.
4. Only if found to be credible by the Department can such an allegation or complaint result in any negative action or discipline.
3-005.08 Complaints of Allegedly Improper Unlicensed Care: The Department will investigate any complaint of a person allegedly providing child care without an appropriate license. The Department will accept complaints from anyone via telephone, letter, fax, or electronically. The identity of a complainant is not public information. The Department may request enforcement by the Attorney General or the appropriate County Attorney if a person continues to provide a child care program without a license.
3-005.09 Inspections by Other Entities
3-005.09A Fire Inspection: The Department will make a fire inspection referral when:
1. An application is received for an initial child care center license;
2. Every two years following the initial fire inspection;
3. The center requests to use space that was not previously approved for use;
4. There is a change in address;
5. There is a complaint specific to fire safety issues; or
6. Department staff observe conditions that may endanger the health or safety of children in care.
3-005.09B Sanitation Inspection: The Department will make a sanitation inspection referral when:
1. An application is received for an initial child care center license;
2. Every two years following the initial sanitation inspection, unless the center is located in a health care facility or school that receives more frequent sanitation inspections;
3. The center requests to use space that was not previously approved for use;
4. There is a change in address;
5. There is a complaint specific to sanitation issues; and/or
6. Department staff observe conditions that may endanger the health or safety of children in care.
3-006 STANDARDS OF OPERATION AND CARE: To provide adequate protection to children in care and to comply with state law, a child care center must meet the following standards.
3-006.01 Licensee Requirements: The licensee must:
1. Ensure that the center is administered and managed appropriately;
2. Maintain compliance with all applicable state statutes and child care center regulations;
3. Permit announced and unannounced inspections by agency representatives during the hours of operation;
4. Either manage the day-to-day operations of the center or designate a director who is responsible for the day-to-day management of the center and define the duties and responsibilities of the director in writing; and
5. Ensure that the center has sufficient resources to provide a safe, healthy, and nurturing environment to all children enrolled in the center.
3-006.02 Director Requirements: The director is responsible for managing the day-to-day operations of the child care center. The director must report to the licensee all matters related to the maintenance, operation, and management of the child care center and be directly responsible to the licensee or to a person delegated governing authority by the licensee. The director must:
1. Be responsible for the center’s compliance with rules and regulations;
2. Be within the child care area a sufficient number of hours to permit adequate attention to the management of the center;
3. When not in the child care area, designate another staff to act in his/her absence who will be responsible and accountable for management of the center;
4. Provide written personnel policies and policies and procedures specific to:
a. Job descriptions and responsibilities; and
b. Position qualifications, skills, knowledge, abilities and physical demands of the job;
5. Assess his/her own ability and the ability of all staff to provide care for children with special needs while meeting the needs of other children enrolled;
6. Provide orientation for new staff, including training on child care center regulations;
7. Schedule training and continuing education for all staff and ensure that records are maintained including the date, topic, and length of time for each training entry;
8. Ensure that center staff identify and review incidents, accidents, complaints, and concerns, and monitor patterns and trends in overall operation and take action to alleviate problems;
9. Develop and implement written procedures that require the reporting of any evidence of physical abuse, neglect, or sexual abuse of any child in care at the child care center;
10. Immediately file a report with the Child Abuse-Neglect Hotline (1-800-652-1999) and/or appropriate local law enforcement agency when s/he has reason to believe child abuse, neglect, or sexual abuse may be occurring in the child care center, in the child’s home, or elsewhere, or ensure that a report is filed;
11. Not knowingly allow any individual who is a registered sex offender on the premises, except that a parent who is a registered sex offender may be allowed on the premises only to pick up and drop off his/her child;
12. Ensure that the maximum capacity of the child care center is not exceeded at any time;
13. Ensure that staff-to-child ratios are met at all times;
14. Ensure that parents have access to their children at all times that children are in care; and
15. Develop and use written criteria to assess the ability of staff to give or apply medication safely.
3-006.03 Background Checks, Health Information, and Employment Limitations
3-006.03A Criminal History Record Checks: The applicant/licensee, if an individual or an individual in a partnership, must complete a pre-employment criminal history record check on him/herself, on each staff member and volunteer age 19 or older, and on each household member age 19 or older if the center is located in a private residence.
Documentation must be kept and available for review by the Department.
The check must be conducted through the Nebraska State Patrol or through one or more local law enforcement agencies, as appropriate to the individual’s residence(s). If an individual has lived in Nebraska less than 12 months, the applicant/licensee must obtain documentation of a criminal history record check from the previous state(s) of residence.
3-006.03A1 Permanent Child Care Disqualification:
An individual is permanently disqualified from holding a child care license or working as a staff member or volunteer in a child care center if s/he has a criminal history that includes conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes against a child or vulnerable adult, crimes involving intentional bodily harm, crimes involving the sale, distribution or procurement of a controlled substance, or crimes involving moral turpitude on the part of the individual. These crimes include but are not limited to:
1. Aggravated or armed robbery;
2. Assault, first or second degree;
3. Child abandonment;
4. Child abuse;
5. Child molestation or debauching a minor;
6. Child neglect;
7. Commercial sexual exploitation of a minor;
8. Domestic violence;
9. Exploitation of a minor involving drug offenses or conviction of drug offenses that involved a minor;
10. Felony controlled substances offenses, other than possession;
11. Felony violation of custody;
12. Incest;
13. Kidnapping;
14. Murder, first or second degree;
15. Sexual abuse of a minor;
16. Sexual assault;
17. Sexual exploitation of a minor, including child pornography; or
18. Voluntary manslaughter.
3-006.03A2 Twenty-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a child care center if s/he has a criminal history that includes conviction in the last 20 years of:
1. Arson;
2. Criminal non-support;
3. Felony possession of controlled substance offenses;
4. Felony theft; or
5. Robbery.
The 20-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the 20-year period of disqualification. If the individual has more than one conviction, the 20-year disqualification begins the date the most recent conviction became final.
3-006.03A3 Five-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a child care center if s/he has a criminal history that includes conviction in the last five years of:
1. Burglary;
2. Driving under the influence: two or more convictions;
3. Felony bad check writing;
4. Misdemeanor controlled substances offenses;
5. Misdemeanor contributing to the delinquency of a child; or
6. Misdemeanor theft.
The five-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the five-year period of disqualification. If the individual has more than one conviction, the five-year disqualification begins the date the most recent conviction became final.
3-006.03A4 An applicant, licensee, staff member, volunteer, or household member, must not have had his/her rights as a parent terminated by a Court because of a finding of abuse or neglect of a child or inability to care for a child.
3-006.03A5 Department Determination: An individual may hold a child care license or work as a staff member or a volunteer in a child care center with a pending complaint or indictment or conviction of other crimes if the Department determines the individual has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
1. The age of the individual at the time of the conduct;
2. The recency of the conduct;
3. The seriousness of the conduct;
4. The factors underlying the conduct;
5. The cumulative effect of the conduct;
6. The evidence of rehabilitation;
7. The individual’s positive social contributions since the conduct;
8. The individual’s honesty in providing information; and
9. The materiality of any omissions or misrepresentations.
The Department may deny or take action against a license if an individual is found to have a criminal history that includes conviction or substantial evidence of committing or permitting, or aiding or abetting another to commit, any unlawful act endangering the health or safety of another individual or a history of convictions or behavior that shows an inability or unwillingness to comply with laws or regulations. This applies to the applicant/licensee, household members who reside at the place where the child care program will be/is provided, volunteers, and employees of the applicant/licensee.
3-006.03B Registry Checks: The applicant/licensee, if an individual or an individual in a partnership, staff, volunteers, and household members if the center is located in a private residence, must not be listed as a perpetrator of abuse or neglect on the Nebraska:
1. Child abuse/neglect central register, if the individual is age 13 or older;
2. Adult protective services (APS) central registry if the individual is age 18 or older; or
3. State Patrol sex offender registry.
The individual must provide enough information for an accurate check of the registries and must authorize the release of registry information. The Department will conduct the child and adult registry checks and provide the results to the applicant/licensee.
The applicant/licensee must conduct the State Patrol sex offender registry check. All registry checks must be completed before the individual assumes responsibility for the care and supervision of children.
Any individual who is listed as a perpetrator on any of the registries must not be on the premises during the hours of operation, except that a parent listed as a perpetrator may be allowed on the premises only to pick up and drop off his/her child.
3-006.03C Reports of Law Enforcement Contact: The applicant/licensee must complete a Report of Law Enforcement Contact for him/herself, if an individual or an individual in a partnership, and must obtain a completed report for each staff member and volunteer age 19 or older and each household member age 19 or older if the center is located in a private residence. The report must:
1. Be updated, signed, and dated annually;
2. Be updated any time one of these individuals is arrested, issued a citation other than a minor traffic violation, or charged with or convicted of any felony, misdemeanor, or infraction;
3. List all previous and pending criminal charges and arrests, both felony and misdemeanor, regardless of prosecution;
4. List any record of felony and/or misdemeanor charges and arrests related to crimes against children;
5. List any record of felony and/or misdemeanor convictions;
6. List any current or past parole or probation status, including diversion or court supervision; and
7. List details, dates, county and state of the contact, arrest, charge, conviction, and disposition, if any.
3-006.03D Notification of Law Enforcement Contact:
As soon as the licensee/director becomes aware of the occurrence, s/he must notify the Department of any arrest, misdemeanor ticket other than a traffic violation, pending criminal charges, and any felony or misdemeanor convictions of him/herself, staff, volunteers, or household members if the center is located in a private residence.
The licensee/director must request a criminal history record check on the individual within five working days. Failure to notify the Department of law enforcement contacts as described may result in disciplinary action.
3-006.03E Investigations and Repeat Registry Checks
1. Any time the licensee/director has reason to believe that a staff member or volunteer is being or has been investigated for abuse, neglect, or sexual abuse of a child or vulnerable adult, the licensee/director must submit the name of that individual to the Department for a check with the child abuse/neglect or adult protective services registry.
2. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
3-006.03F Health Information Report: The applicant, if an individual or an individual in a partnership, must submit a completed Health Information Report on a form provided by the Department for him/herself as part of the initial application. All staff who are responsible for the care and supervision of children for more than 20 hours per week must complete the report within 30 days of hiring. The Health Information Report must be completed annually.
The Health Information Report must include an assessment by a health professional of the individual and any health conditions that could negatively affect his/her ability to care for children. If the information indicates that the individual has, or has had, a health condition that could negatively affect his/her ability to care for children, the Department may request additional information.
3-006.04 Director Qualifications
3-006.04A New Centers: The director of a center initially licensed on or after the operative date of these regulations must be at least 19 years of age and of good moral character, and must meet one of the following requirements:
1. Hold a bachelor’s degree from an accredited college or university in early childhood education, education, or child/youth development;
2. Hold a bachelor’s degree from an accredited college or university with at least six credit hours in early childhood education, education or child/youth development;
3. Have an associate degree from an accredited college or university in early childhood education, education or child/youth development;
4. Have a Child Development Associate Credential; or
5. Have a high school diploma or GED and 3000 clock hours of verifiable experience in organized group activities for children age birth to 13 as indicated by a positive reference from a former employer or supervisor and:
a. Have successfully completed six credit hours or 36 clock hours of Department-approved training in administration, early childhood education, education, or child/youth development. Business courses may be included, not to exceed one-half of the credit or clock hour requirement; or
b. A written, Department-approved plan to acquire at least six credit hours or 36 clock hours of Department-approved training in administration, early childhood education, education, or child/youth development, in a period not to exceed 12 months. Business courses may be included in the plan, not to exceed one-half of the credit or clock hour requirements.
3-006.04B Existing Centers: The director of a center licensed before the operative date of these regulations, if s/he does not have a high school diploma or GED, may continue employment as director of the same center or any other center licensed before the operative date of these regulations for no more than 22 children.
3-006.05 Teacher Qualifications
3-006.05A Certificated Teachers: An individual who holds a valid Nebraska Teaching Certificate and who is employed as a staff member or used as a volunteer at a licensed child care center that is on the premises of an accredited or approved school will be considered to have met the qualifications, background checks, health information, and training requirements in these regulations.
3-006.05B Non-Certificated Teachers: To be employed as a teacher in a licensed child care center, an individual who is not a certificated teacher must be at least 18 years of age and of good moral character, and must meet one of the following requirements:
1. Hold a bachelor’s degree from an accredited college or university in early childhood education, education or child/youth development;
2. Hold an associate degree from an accredited college or university in early childhood education, education or child/youth development;
3. Have a Child Development Associate Credential; or
4. Have a high school diploma or GED; and
a. 1500 verified clock hours of experience in organized group activities for young children as indicated by a positive reference from a former employer or supervisor; or
b. Submit a written plan for Department approval to acquire at least three credit hours or 45 clock hours of training in administration, early childhood education, education, or child/youth development, in a period not to exceed six months. The licensee must maintain a copy of the written plan and Department approval for Department review.
3-006.06 Substitute, Support Staff, Volunteer, and Parent Helper Qualifications
1. The director may hire substitute staff. The substitute must meet the age requirement for the position s/he is assuming and be of good moral character. If the substitute works over 20 hours per week and is counted in the staff-to-child ratio, the substitute must meet the staff requirements for the position s/he is assuming.
2. The director may hire support staff to assist in the care of children. Support staff must be at least 16 years of age and be of good moral character. A teacher must be in the room with support staff at all times when children are in care.
3. The director may use volunteers and uncompensated parent helpers. Volunteers and uncompensated parent helpers are not counted in the staff-to-child ratio. Volunteers and uncompensated parent helpers must be supervised by the director or a teacher at all times and must not be left alone with any children other than their own.
3-006.07 Parents Participating in Parent Training/Education: Parents participating in parent training/education on the premises of the center during the hours of operation:
1. Must not be counted in the staff-to-child ratio;
2. Must not be left alone with any children other than their own; and
3. Must be supervised by the director or a teacher at all times.
3-006.08 Director Orientation and Training: When a new center director is employed, that individual must complete Department-approved director orientation within 30 days of starting employment. The director must also complete:
3-006.08A Safety Training: The director must complete training developed by the Early Childhood Training Center on Sudden Infant Death Syndrome (SIDS), safe sleep, shaken baby syndrome, and child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. In centers licensed on or after the operative date of these regulations, the director must complete the training within three years of the date of provisional licensure and every five years thereafter.
2. In centers licensed before the operative date of these regulations, the director must complete the training within three years of that operative date and every five years thereafter.
3. This training counts toward the annual training requirement.
3-006.08B Child Care Management Training: The director must complete child care management training for child care center directors developed by the Early Childhood Training Center (ECTC). Any proposed equivalent training must be approved by the Department.
1. In centers licensed on or after the operative date of these regulations, the director must complete the training within five years of the date of provisional licensure.
2. In centers licensed before the operative date of these regulations, the director must complete the training within five years of that operative date.
3. This training counts toward the annual training requirement.
4. When the same licensee operates two or more child care centers, the licensee may designate another employee who is responsible for writing policies and procedures, preparing budgets, and other administrative duties to complete Child Care Management Training instead of the director.
3-006.08C Nebraska’s Early Learning Guidelines Training: The director must complete training in the seven domains of Nebraska’s Early Childhood Learning Guidelines developed by the ECTC. Any proposed equivalent training must be approved by the Department. The domains are: Approaches to Learning, Creative Arts, Health and Physical Development, Language and Literacy Development, Mathematics, Science, and Social and Emotional Development.
1. In centers licensed on or after the operative date of these regulations, the director must complete training in one domain within four years of the date of provisional licensure and one domain annually thereafter.
2. In centers licensed before the operative date of these regulations, the director must complete training in one domain within four years of that operative date and one domain annually thereafter.
3. This training counts toward the annual training requirement.
3-006.09 Teacher Training: The licensee must ensure that teachers employed at the center complete the following training:
3-006.09A Safety Training: Teachers must complete training developed by the Early Childhood Training Center (ECTC) on Sudden Infant Death Syndrome (SIDS), safe sleep, shaken baby syndrome, and child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. Beginning three years after the operative date of these regulations, 50% of all teachers employed by the center must have completed this training.
2. This training counts toward the annual training requirement.
3-006.09B Nebraska’s Early Learning Guidelines Training: Teachers must receive training in the domains of Nebraska’s Early Childhood Learning Guidelines developed by the ECTC. Any proposed equivalent training must be approved by the Department.
1. Beginning four years after the operative date of these regulations, 25% of all teachers employed by the center must have completed training in at least one domain.
2. Beginning five years after the operative date of these regulations, 50% of all teachers employed by the center must have completed training in at least one domain.
3. Beginning six years after the operative date of these regulations, 75% of all teachers employed by the center must have completed training in at least one domain.
4. This training counts toward the annual training requirement.
3-006.09C Evidence of Teacher Training: The director must maintain a list of all teachers for each calendar year that identifies which individuals have completed:
1. Orientation training;
2. Safety training;
3. Nebraska Early Learning Guidelines Training;
4. Clock hours of annual training; and
5. CPR and First Aid training.
3-006.10 Staff and Volunteer Orientation and Training
3-006.10A Orientation: When new staff or volunteers are employed, those individuals must be provided with orientation prior to their having direct responsibility for the care of children. The orientation must include:
1. Job duties and responsibilities;
2. Infection control practices including proper hand washing techniques, personal hygiene, and disposal of infectious material;
3. Information on abuse, neglect and sexual abuse of children and the state’s reporting requirements;
4. Child care center regulations;
5. Evacuation plans in the event of fire;
6. Safety plans in the event of a tornado;
7. Emergency preparedness in the event of a natural or man made disaster; and
8. The center’s method of interacting with children and discipline policies.
3-006.10B Nutrition and Food Safety Training: When meals are served, all staff responsible for menu planning, food preparation, and food safety must be provided at least four clock hours of training in nutrition and food safety within 30 days of employment and annually thereafter.
3-006.10C Transportation Training: Individuals who transport children on behalf of a child care center must:
1. Receive and maintain a valid certificate of completion of the “Safe Kids Buckle Up” program within 90 days of employment and every five years thereafter. Individuals who transport children who were employed before the operative date of these regulations must receive and maintain a valid certificate of completion for “Safe Kids Buckle Up” within one year and every five years thereafter. Any proposed equivalent training must be approved by the Department.
2. Maintain valid certificates for Cardiopulmonary Resuscitation (CPR) and First Aid Training.
Individuals who transport children who were employed before the operative date of these regulations must complete CPR and First Aid Training within one year and maintain valid certificates thereafter.
3-006.10D Annual Training: Each staff member, not including substitutes or volunteers, who provides direct care to children must obtain a minimum of 12 clock hours of training annually. Staff who work 20 hours or less each week must obtain six clock hours of training annually.
3-006.10D1 Training must include but is not limited to the following topics:
1. Safe Environments;
2. Healthy Environments;
3. Learning Environments;
4. Physical Development;
5. Cognitive Learning;
6. Communication;
7. Creative Learning;
8. Self-Esteem;
9. Social Development;
10. Guidance;
11. Family Relationships;
12. Program Management; and
13. Professionalism.
Audio, video, and reading material specific to one or more of these training topics will count toward the annual training requirement only if an Independent Learning Summary is completed on a form provided by the Department. The actual length of audio and video material will be counted, and 50 pages of text will be considered equal to one clock hour of training. Two hours of CPR and one hour of First Aid will be counted toward the annual training requirement in the year each is taken.
3-006.10D2 Each clock hour spent participating in any of the following types of activities counts toward the annual training requirement:
1. Center-sponsored training;
2. Workshops and conferences;
3. College courses;
4. Non-credit course work; and
5. Adult education courses.
3-006.10E CPR and First Aid Training
1. CPR training must be obtained from an entity that has been approved by the Nebraska Board of Emergency Medical Services. The Department will provide the program with information about approved CPR courses.
2. At least one staff member with current CPR and First Aide training must be on the premises at all times during the hours/days of operation.
3. The CPR card and documentation of First Aid training must be available upon request.
3-006.11 Employee Records Requirements: The licensee must ensure the following employee records are maintained, updated as needed, and made available to the Department upon request. Records must be maintained for at least one year after an employee leaves the center.
3-006.11A Staff: Records for all staff, except substitutes and volunteers, must include:
1. Name;
2. Address and telephone number;
3. Social Security Number;
4. Date of hire/termination;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. A completed Health Information Report;
8. Documentation of Nebraska registry checks with no adverse findings;
9. Documentation that the individual has met the qualifications for the position;
10. Documentation of orientation training and required ongoing training; and
11. Documentation that the individual has read and understands these regulations.
3-006.11B Substitutes: Records for each substitute must include:
1. Name;
2. Address and telephone number;
3. Social Security number;
4. A completed Report of Law Enforcement Contact;
5. Documentation of a criminal history record check;
6. Documentation of Nebraska registry checks with no adverse findings;
7. Documentation that the individual has met the qualifications for the position; and
8. Documentation that the individual has read and understands these regulations.
3-006.11C Volunteers: Records for each volunteer must include:
1. Name;
2. Address and telephone number;
3. Start date;
4. A completed Report of Law Enforcement Contact;
5. Documentation of Nebraska registry checks with no adverse findings; and
6. A written schedule that includes the hours and days of the week the individual serves as a volunteer.
3-006.12 Child’s Record: A Child’s Record must be completed before the child’s enrollment. The record must be kept current and available for review upon request by the Department. A Child’s Record form may be used or a form may be created and must contain the following information for each child:
1. Name of child;
2. Birthdate of child;
3. Enrollment date;
4. Date care ceased, if applicable;
5. Parent or guardian’s home address and telephone number;
6. Parent or guardian’s employment address and telephone number;
7. Individual(s) to whom the child may be released by the caregiver;
8. Individual(s) who will take responsibility for the child in an emergency when the parent or guardian cannot be reached;
9. Consent to contact a physician in an emergency;
10. Current health status of the child; and
11. List of child’s allergies and intolerance to food, insect bites, or stings, or other factors that result in a medical reaction, and clear instructions in the event of an exposure to the factor.
3-006.13 Parent Information Brochure: At the time of enrollment, the licensee must give the parent(s) of each enrolled child a Parent Information Brochure provided by the Department. The licensee must maintain receipts signed and dated by the parent and make the receipts available for review by the Department.
3-006.14 Description of Center Services and Policies: The licensee must ensure that the center has a written description of center services and written policies, and that they are available to the Department. Copies of both must be given to all staff and the parents of all enrolled children, except that the center is not required to give parents the center’s personnel policies. The licensee must maintain receipts signed and dated by the staff and parent and make the receipts available for review by the Department.
3-006.14A Description of Services: The center must have a written description of the range of services available. The written description must include:
1. Ages of children served;
2. Days and hours of operation;
3. A description of the center’s child development program;
4. Special services provided;
5. A description of any parent training/education offered;
6. What is expected of parents;
7. Name, address, and phone number of the center’s owner or authorized representative; and
8. Information provided by the Department that describes how regulations can be accessed, how child care licensing staff can be contacted, and how complaints can be made.
3-006.14B Center Policies: The center must have written policies on:
1. Exclusion of ill children;
2. Conditions for suspending and terminating care;
3. Fees/contract information for parents;
4. Verifying the identification of individuals approved to remove children from the center;
5. Parent grievances, questions, or concerns; and
6. Personnel policies, including:
a. Staff qualifications;
b. Staff training requirements;
c. Staff discipline procedures; and
d. Staff immunization and exclusion of ill staff.
3-006.15 Licensed Capacity, Staffing Requirements, and Staff-to-Child Ratio
3-006.15A Licensed Capacity: The number of children in care at any one time must not exceed the center’s licensed capacity. Licensed capacity will be determined by the Department based on available space and the capacity authorized by the State Fire Marshal or delegated authority. Whichever number is smaller will be the licensed capacity of the center.
In determining whether the licensed capacity has been exceeded, any children over age 13 receiving care for compensation and any adults receiving care and supervision are included in the count of school-age children. All children are counted except:
1. Children who have left the center for an activity and will not be returning that day; and
2. Children who are enrolled in the center and in attendance at school.
3-006.15B Staffing Requirements
1. All staff must be awake and alert to the needs of the children at all times, including napping/sleeping times.
2. Each room where children are receiving care must have a teacher who is involved with the direct care of children.
3. During naptime, at least one teacher must be in the room where children are napping, as long as the staff-to-child ratio is maintained center-wide.
4. At least two staff members must be on the premises at all times, except:
a. When the number of children in care is 12 or fewer; or
b. When all children in care are school-age and there are 15 or fewer.
3-006.15C Staff-to-Child Ratio: The center must maintain accurate staff and daily attendance records to verify compliance with staff-to-child ratios. Compliance with staff-to-child ratios is determined on a center-wide basis. Only staff involved in the direct care of children are counted. The appropriate staff-to-child ratios must be met at all times, as follows.
Age of Children | Number of Children in Care | Number of Staff Required |
6 weeks to 18 months | 4 | 1 |
18 months to 3 years | 6 | 1 |
3 years | 10 | 1 |
4 and 5 years | 12 | 1 |
School-age | 15 | 1 |
3-006.16 Communicable Diseases: The Department will provide the center with information about communicable diseases to assist the center in carrying out its responsibilities.
3-006.16A Notification to Parents: The licensee/director must notify parents of all enrolled children of any case of any reportable communicable disease on the same day the licensee is informed of or observes the illness, unless otherwise directed by the health authority. The health authority is the local health department for the area. Proper notification includes:
1. Notification to parents of children in attendance;
2. Notification to parents of enrolled children who are not in attendance on that day; and
3. Posting notice of the outbreak in a conspicuous place.
3-006.16B Confidentiality: Names of ill children must not be released to anyone except health authorities, unless parents have given their permission.
3-006.16C Health Authority: The center must follow all directives given to the licensee by the health authority in the event of a communicable disease outbreak.
3-006.17 Children Excluded Due to Illness: The center must have a written policy that identifies the circumstances under which children would be excluded from child care due to illness. To assist in writing the policy, the Department will provide the licensee with materials that include recommendations on:
1. Exclusion based on specific conditions such as fever, diarrhea, vomiting, etc.; and
2. Exclusion based on specific contagious and infectious diseases such as chickenpox, measles, mumps, etc.
The licensee must enforce the center’s exclusion policy and make it available to the Department and to the parents of enrolled children.
3-006.18 Immunizations: Within 30 days of a child’s enrollment, the licensee/director must obtain a copy of the child’s immunization record. Immunization records must bavailable for review upon request by the Department and updated each time the child receives additional immunizations. Each child’s immunization record must include:
1. Documentation of age-appropriate immunization;
2. Certification by a physician, advanced practice registered nurse, or physician assistant that immunization is not appropriate for a stated medical reason; or
3. A written statement that the parent or guardian does not wish to have the child immunized and the reasons for that decision.
3-006.18A Immunization Report: The licensee must comply with all state statutes and regulations (Neb. Rev. Stat. §§ 71-1913.01 to 71-1913.03 and 173 NAC 4) regarding immunization status of all enrolled children. This includes annual reporting to the Department as specified in 173 NAC 4. The Department will provide the program with materials to assist the program in carrying out its responsibilities.
3-006.19 Supervision of Children: Adequate and appropriate supervision must be provided to children at all times children are in attendance, including during outdoor play. Ultimate responsibility for supervision rests with the licensee.
3-006.19A Permission for Off-Premises Supervision: The licensee must ensure that parents are informed and give written permission when children will be outside the premises of the center and supervised by center staff. Written permission must be available to the Department on request.
3-006.19B Permission for Child to Leave Premises: If a child participates in activities that are not provided or supervised by center staff and are outside the premises of the center, the licensee must ensure written permission is obtained from the parent. The written permission must be available to the Department upon request and must indicate the following:
1. The parent gives permission for his/her child(ren) to leave the center premises; and
2. The parent understands the licensee is not responsible for supervision while his/her child participates in activities outside the center premises or outside the supervision of center staff.
3-006.20 Discipline: When parents are not present, the responsibility for the discipline of children in care lies only with the licensee/director or the designated substitute.
3-006.20A Prohibited Forms of Discipline: The following actions are prohibited as a form of discipline:
1. Spanking;
2. Slapping;
3. Pinching;
4. Punching;
5. Shaking;
6. Striking with any object;
7. Use of soap, hot sauce, or other unpleasant food and non-food items;
8. Isolating a child in a locked or closed room or closet;
9. Handling roughly;
10. Biting;
11. Denial of food;
12. Forced napping;
13. Subjecting children to derogatory remarks about the child or the child’s family;
14. Abusive or profane language directed at children;
15. Yelling or screaming at children;
16. Threats of physical punishment; or
17. Mechanical restraints.
3-006.20B Child Behavior That Cannot Be Disciplined: Children must not be disciplined for:
1. Toileting accidents;
2. Refusal to take medication; or
3. Refusal to eat.
3-006.20C Use of Time Out: Separation from the group, if used, must be brief and appropriate for the child’s age. The time out period must:
1. Take place within a safe, lighted, and well-ventilated area;
2. Occur within direct vision of staff; and
3. Not exceed more than one minute for each year of the child’s age. If the time a child spends in time out is extended, it must be carried out as indicated by a behavioral management plan developed and monitored by a licensed or certified professional qualified to identify the special needs of a child, as having a physical, emotional, or social developmental delay or impairment.
3-006.20D Use of Physical Hold: Center staff may restrict a child’s movement by the use of a physical hold. A physical hold may be used only:
1. When the child is hurting him/herself, others, or property;
2. When the hold does not prevent the child from breathing or speaking; and
3. Until the child is calm and able to demonstrate reasonable control of his/her behavior.
3-006.20D1 Notification and Documentation: The licensee/director must notify the child’s parents within 24 hours of the physical hold when a physical hold is used on their child. Written documentation of each use of a physical hold must be available for review by the parents of the child involved in the physical hold and the Department. The documentation must include:
1. Child’s name;
2. Date of the incident;
3. Description of the incident; and
4. Names of the staff involved.
3-006.20E Use of Restraints: The use of restraints is prohibited except under the following conditions:
1. All staff who participate in restraining a child must have received prior training in de-escalation and the use of restraints;
2. The training curriculum must be accepted by the Department;
3. The training must be taught by a certified trainer; and
4. Written documentation of each use of restraint must be available for review by the parents of the child involved in the restraint and the Department. The documentation must include:
a. Child’s name;
b. Date of the incident;
c. Description of the incident; and
d. Names of the staff involved.
3-006.21 Prohibited Language, Materials, and Actions: Children of any age must not be exposed to:
1. Profanity;
2. Sexually explicit material;
3. Acts of violence toward a person or animal; or
4. Acts of racism.
3-006.22 Child Development Program: The licensee must provide an age-appropriate program designed to promote the cognitive, cultural, social, emotional, and physical development of children in care. Information about the program must be given to parents and the Department upon request. The program must include:
1. Indoor play;
2. Outdoor play;
3. Nap and/or rest periods and other quiet times;
4. Opportunities for individual and group play times;
5. Opportunities for children to read and explore books;
6. Daily reading with children of developmentally appropriate literature; and
7. Fostering language and social development by talking and interacting with children and modeling appropriate language and behavior.
3-006.22A Toys, Equipment, and Materials: The licensee must provide a sufficient number of age-appropriate toys, equipment, and materials for all children in care. Children below the age of three must not have access to toys or objects that are easily breakable or could create a choking hazard.
3-006.22B Beds, Cribs, and Sleeping Surfaces: The licensee must ensure that sleeping surfaces appropriate to the child's age and level of development are available for each child in care.
1. Acceptable sleeping surfaces for children over 12 months of age are:
a. Beds;
b. Cots;
c. Cribs;
d. Playpens;
e. Sofas;
f. Washable sleeping bags; and
g. Waterproof mats, which must be at least one inch thick and at
least 45 inches long.
2. The only acceptable sleeping surfaces for children age 12 months and
under are cribs and playpens. When used, cribs and playpens must meet the following standards:
a. Cribs and playpens must be federally approved;
b. Cribs must be equipped with a waterproof crib mattress covered by a fitted sheet. The mattress pad for a playpen must be specifically designed for playpen use and covered by a fitted sheet;
c. Cribs and playpens must contain no soft objects, bumper pads, toys, or loose bedding. If a blanket is used, it must be secured or tucked under the crib mattress or the pad of the playpen and reach no higher than the infant’s chest; and
d. Cribs and playpens must be kept clean, in good repair, and not have any surface covered by lead-based paint.
3. Cribs, playpens, cots, and mats must be separated by at least three feet of space.
4. Cribs, playpens, cots, and mats must be disinfected daily or marked for individual use and disinfected weekly or more often when needed.
5. For evening care, each child must be provided with a cot with a waterproof mattress.
6. The following must not be used as sleeping surfaces:
a. The top level of a bunk for children age 5 and under;
b. Stackable cribs;
c. Waterbeds for children age 3 and under; and
d. Cots, cushions, futons, mats, or pillows for infants 12 months and under.
3-006.23 Infant/Toddler Care: If care is provided to infants and/or toddlers, the licensee must ensure that the emotional and physical needs of infants and toddlers are met consistently and promptly. Staff assigned to infants must be identified in writing and assigned to the same infants whenever possible. Center staff must:
1. Investigate the cries of infants immediately;
2. Hold, talk to, and engage in play activities with each child every day;
3. Hold infants under six months of age or those not yet able to hold their own bottles. Bottles must not be propped and must be removed from sleeping infants;
4. Only use high chairs that are equipped with three-point safety straps;
5. Obtain and keep on file a signed and dated statement by the parent(s) that
describes the formula and feeding schedule for each infant in care; and
6. Place infants on their backs to sleep unless there is a medical reason for a child to sleep in a different position. A written note from the infant’s physician, physician assistant, or nurse practitioner indicating that the infant must sleep in a different position must be obtained, kept on file, and available for review by the Department.
3-006.23A Infant Care Rooms: Rooms where infants are receiving care must be limited to the care of no more than 12 children at any one time.
1. If five or more infants are receiving care in a room, at least two staff members must be in the room.
2. If nine or more infants are receiving care in a room, at least three staff members must be in the room.
3. Equipment such as cribs with wheels, buggies, wagons, or laundry carts must be available for emergency evacuation unless additional staff above the ratio are available to carry infants.
3-006.23B Diapering and Toileting
1. The licensee must ensure that diapering procedures are established and followed by center staff. The procedures must include:
a. Wet and/or soiled diapers are changed immediately;
b. Diapers are checked on a frequent and regular basis;
c. Individual washcloths or disposable towelettes are used;
d. Wet and soiled diapers are properly stored and disposed;
e. Diaper-changing surfaces are cleaned after each use by sanitizing the surface or changing the diaper pad or disposable sheeting and are disinfected daily; and f. Proper hand washing is done after each diaper change.
2. The licensee must ensure that toilet training is conducted in a manner agreed upon with the parent. The licensee must also ensure that:
a. Potty chairs are not used or stored in eating or play areas; and
b. Proper hand washing by the provider and the child is done each time a child is helped with toileting.
3-006.24 Overnight Care: If overnight care is provided, center staff must:
1. If requested by the parent, give the child a shower, tub, or sponge bath in a manner agreed upon between the parent and the center; and
2. Remain awake and alert to the needs of children through the night.
3-006.25 Wading and Swimming Activities: Children must be accompanied, kept safe, and adequately supervised during wading and swimming activities while in care.
3-006.25A Prohibited Water Sources: Children must not be allowed to use the following water sources for wading or swimming activities:
1. Natural bodies of water;
2. Hot tubs, spas or saunas;
3. Livestock tanks; or
4. Decorative ponds.
3-006.25B Wading: If the licensee allows children to participate in wading or other water play activities:
1. Children must be accompanied and directly supervised; and
2. The licensee must ensure that the wading pool is drained and sanitized daily and is inaccessible to children when not in use.
3-006.25C Permission for Non-Center-Supervised Activities Off the Premises: If the licensee does not allow children to participate in swimming activities while in care, but a parent requests that their child leave the premises to go to a swimming pool, the licensee must obtain a written and signed statement from the parent that is kept on file on the premises and available to the Department upon request. The statement must indicate that the child is allowed to leave care and must acknowledge that the licensee is not responsible for supervision.
3-006.25D Permission for Center-Supervised Activities Off the Premises: If the licensee allows children in care to participate in swimming activities under the supervision of center staff but off the center’s premises, the licensee must obtain a written, signed, and dated statement from the parent that is updated annually. The statement must be available to the Department upon request, and must indicate the following:
1. The parent gives permission for their child(ren) to leave the center’s premises for swimming/wading;
2. The location of the pool where the child is allowed to swim; and
3. Whether the child is allowed to swim in water over his/her head.
3-006.25E Licensure of Swimming Pools: The licensee must ensure that swimming pools off the center’s premises where children are taken are licensed by the Department.
3-006.25F Water Safety
1. When a swimming or non-portable pool is in use (except in the case of organized swimming lessons), the staff-child ratio in 3-006.25H3 must be maintained.
2. When the depth of a pool’s water is over four feet, the licensee must ensure that someone who has satisfactorily completed a swimming water safety course is on duty at all times children in care are at the pool.
3-006.25G Pool on the Premises Not Used by Children in Care: The licensee must meet the following requirements if an above-ground or in-ground swimming pool is on the premises that children in care are not allowed to use:
1. The pool must be enclosed with a fence that is at least four feet high and flush with the ground;
2. Above-ground pools must have non-climbable side walls;
3. When a pool is covered, the cover used must be the manufacturer’s recommended cover;
4. Equipment needed to rescue a child or adult must be readily accessible; and
5. Children must be accompanied and directly supervised if the pool is located in the outdoor play area.
3-006.25H Pool on the Premises Used by Children in Care: If children in care are allowed to use a pool on the premises, the licensee must meet the requirements in 3-006.25G and:
1. Have a permit issued by the Department;
2. If the depth of the water is over four feet, an individual who has satisfactorily completed a swimming water safety course must be on duty at all times children are at the pool; and
3. Maintain the following staff-to-child ratios:
| Number of Children | Number of Staff Required |
Infants | 1 | 1 |
Toddlers | 2 | 1 |
Preschoolers | 4 | 1 |
School-age | 6 | 1 |
3-006.26 Transportation: When transportation is provided for children in care, the licensee must ensure the following conditions are met:
1. No child must ever be left alone in the vehicle;
2. Smoking is prohibited in the vehicle used to transport children;
3. All doors on the vehicle must be locked when the vehicle is in motion;
4. Any individual who transports children must be at least 18 years of age, and must possess a current and valid driver’s license for the type of vehicle used to transport children, as verified by the Department of Motor Vehicles;
5. The vehicle used to transport children must be properly registered and insured, and must contain a first aid kit and parent contact information for each child being transported;
6. The number of children transported must not exceed the seating capacity of the vehicle as indicated by the manufacturer;
7. All children transported must be properly secured in the appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268;
8. All car seats must be federally approved and must be the correct type for the child’s age and developmental level;
9. Written permission from parents for the center to transport children must be obtained, kept on file, and made available to the Department;
10. Children must not be transported to any location without the prior knowledge of the parents, except in a medical or other emergency;
11. Children must not be transported to avoid violations of capacity or staff-to-child ratio;
12. Staff-to-child ratio must be maintained whenever children are in care;
13. School-age children only may be transported with no staff in addition to the driver;
14. School-age children only may be transported in buses over 10,000 pounds, unless the bus is equipped with and the children are properly secured in the appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268; and
15. The center must have a written transportation policy that is given to all staff who transport children and is available to parents and the Department upon request. The transportation policy must describe:
a. Restraints and safety equipment;
b. Procedures to ensure children are never left alone in a vehicle at any time; and
c. Emergency procedures in the event a child becomes ill, the vehicle breaks down or is involved in an accident, or other emergencies.
3-006.27 Medications: The licensee must ensure the following conditions are met when center staff or volunteers give or apply medication.
3-006.27A Giving or Applying Medication: Any staff who gives or applies medication must do so in accordance with the “Five Rights” as set out in the Medication Aide Act. The Five Rights are:
1. The right drug;
2. The right recipient;
3. In the right dose;
4. By the right route; and
5. At the right time.
3-006.27B Competence to Give or Apply Medication: Parents or any licensed health care professional are responsible for determining if center staff are competent to give or apply medication. Any licensed health care professional, as directed by the prescribing health professional, is competent to give or apply medication under any circumstances as long as it is within the scope of practice of that health care professional. The center director has the responsibility to assess the ability of staff to give or apply medication.
3-006.27C Confidentiality: Any staff who gives or applies medication must not disclose information about a child’s medication or physical or mental health condition unless such information is needed to protect the health of other children or staff.
The use of a posted medication sign-in sheet does not violate confidentiality if the parent has been advised in writing that the parent has the option of using a private method of informing center staff of the child’s medication needs.
3-006.27D Written Permission and Instructions: Any staff who gives or applies prescription or non-prescription medication may do so only with prior written permission and written instructions from a parent. Staff must comply with the instructions provided by the parent or inform the parent the medications will not be given or applied.
1. Any error in the giving or applying of medication must be reported to the parent.
2. The dosage must not exceed that which is printed on the label.
3. Expired medication must not be given or applied to a child and must be returned to the parent or destroyed.
3-006.27E Unusual Circumstances: The licensee must obtain a written statement from the licensed health care professional who prescribed the medication allowing center staff to give the medication when:
1. Any prescription medication is given or applied as needed (PRN); or
2. By a route other than oral, topical, inhalant, or instillation.
The written statement must describe the route and what symptoms need to exist in order for the medication to be given or applied.
3-006.27F Hand Washing: All individuals must properly wash their hands before giving or applying any medication. If handling any bodily fluids is involved, individuals must properly wash their hands after giving or applying medication.
3-006.27G Storage: All medications must be kept in proper storage. This includes:
1. All prescription and non-prescription medications must be kept in locked storage at all times children are in care;
2. Separate locked storage must be provided for medications requiring refrigeration;
3. All medications must be kept in the original container and stored according to instructions, clearly labeled for the named child, and returned to the parent when no longer needed; and
4. Over-the-counter, non-toxic topical ointments such as lip balm, petroleum jelly, sun block and diaper ointment must be kept out of the reach of children.
3-006.27H Record-Keeping: The licensee/director must maintain a record as to the time and amount of medication given or applied.
3-006.28 Food Service: The licensee must ensure that meals and snacks that are appropriate to the needs of the children in care are served to all children in attendance. Weekly menus must be given to parents upon request. Meals and snacks must:
1. Be appropriate to the age and development of the child;
2. Address children’s allergies and food intolerance; and
3. Meet established USDA requirements regarding food groups and serving sizes.
Meals and snacks provided by parents must be supplemented if USDA requirements are not met. If the child’s meals are not to be supplemented due to dietary concerns, a statement from a physician must be obtained and available indicating it is acceptable for the child to be served a meal that does not meet USDA requirements.
3-006.28A The center must offer at least the following number of meals and snacks, based on how long children are present:
2 ½ to 4 hours | One snack |
4 to 8 hours | One snack and one meal |
8 to 10 hours | Two snacks and one meal |
10 or more hours | Two snacks and two meals |
3-006.29 Food Safety: The licensee must ensure that the center complies with the Food Code whenever food is prepared and/or served on the premises of the center. If the center serves food prepared at another location, the licensee must ensure that the individual or organization preparing the food is in compliance with the Food Code. If the center provides infant formula, it must be made from commercially prepared products.
3-006.29A Storage of Breast Milk and Formula: All prepared formula or breast milk must be refrigerated and clearly labeled with the child’s name, date received, and date expressed and date frozen if applicable.
1. Unused prepared formula must be discarded as indicated by the label.
2. Unfrozen breast milk must be discarded after 48 hours.
3. Frozen breast milk must be kept in a freezer for no more than three months.
3-006.30 Emergency Preparedness
3-006.30A Telephone: A working, non-coin operated telephone must be available on the premises at all times. Emergency telephone numbers, including fire, rescue, police (or 911) and Poison Control, must be prominently posted.
3-006.30B Fire and Tornado Drills: Fire and tornado drills must be practiced with the children and staff. Written documentation of drills, including dates conducted, must be kept and available for review by the Department.
1. Fire drills must be completed a minimum of once per month. At least one fire drill per year must be practiced during naptime.
2. Tornado drills must be completed a minimum of four times per year during the months of March through September. At least one tornado drill per year must be practiced during naptime.
3-006.30C Fire and Tornado Safety Diagrams: Fire and tornado safety diagrams must:
1. Show the layout of the licensed child care area(s);
2. Be prominently posted and visible in each room where care is provided;
3. Include how the evacuation of children with special needs will be conducted;
4. Include fire evacuation routes; and
5. Include tornado safety locations.
3-006.30D Disaster Preparedness: The licensee must have a written plan that addresses:
1. Evacuating and moving children to a safe location in the event of a fire, tornado, flood or other natural or man-made disaster;
2. Notification of parents of children in care of an emergency;
3. Reunification of parents with their children in the event of an emergency that requires evacuation; and
4. How children with special needs will be safe in the event of a disaster including evacuation and reunification with the parent.
3-006.30E Notification to the Department of Emergencies: The licensee/director must notify the Department within 24 hours or next business day of the following occurrences at the center:
1. The death of a child;
2. Any accident or injury to a child which requires hospitalization or treatment at a medical facility;
3. When a child has been missing, lost, or left unsupervised on or off the premises; and/or
4. An emergency or disaster that results in damage to the Child Care Center or the inability of the licensee/director to comply with regulations.
3-006.30F First Aid Kit: A first aid kit must be available on the premises. It must be inaccessible to children. If any poisons or medications are stored in the kit, it must be kept in locked storage. The kit must contain:
1. Fever thermometer;
2. Soap;
3. Bandages;
4. Sterile gauze pads;
5. First aid tape;
6. Scissors; and
7. Disposable gloves.
3-006.31 Environmental Services: The licensee must ensure that child care is provided in a safe, clean, comfortable environment. Every area and building on the same premises used for child care must comply with these regulations.
3-006.31A Housekeeping and Maintenance: The licensee must ensure that the necessary housekeeping and maintenance are provided to protect the health and safety of children in care. The center and grounds must be kept clean, safe, and in good repair.
1. The center and any building on the premises in or around areas where children are present must be kept free of exposed lead-based paint surfaces that are flaking, peeling, or chipped.
2. Rooms, walls, floors, and ceilings must be kept clean, dry, in good repair, and free of odor resulting from sewage, mold, mildew, or other environmental or biological hazards or unsanitary conditions.
3. Heating, ventilation, and lighting in all rooms used for child care must be adequate to protect the health of children.
4. The licensee must equip and maintain the premises to prevent the entrance, harborage, or breeding of rodents, flies and all other insects and vermin. All doors opening to the outside must be self-closing (except sliding doors) and all windows used for ventilation must be screened. The center must have effective screening of all openings to the outside when flies or other flying insects are present.
5. All garbage and rubbish must be disposed of in a manner that minimizes odor and the transmission of infectious diseases, and prevents the attraction of rodents, flies, and all other insects and vermin. This includes:
a. Using containers, both indoor and outdoor, for garbage and rubbish that are watertight, have tight fitting covers, and are fly and rodent-proof;
b. Keeping all garbage and rubbish containers clean; and
c. Not burning garbage on the premises.
6. If carpeting is used in a bathroom, it must be removable, washable, and non-shag.
7. Carpeting is prohibited in the food preparation area.
8. In rooms where food is stored or prepared:
a. Walls and ceilings must be smooth, of easily cleanable construction, and finished in a light color; and
b. Walls subject to splash must have a smooth, washable surface.
3-006.31B Maintenance of Equipment, Fixtures, Furnishings, and Toys: The licensee must ensure that equipment, fixtures, furnishings, and toys used in the center are kept clean, safe, and in good repair.
1. The licensee/director must create and follow a process for routine and preventative maintenance of equipment, fixtures, furnishings, and toys so they are kept safe, in good repair, and available to meet the intended use. This includes ensuring no sharp edges, rust, or loose parts.
2. Furniture and equipment must be arranged so as not to interfere with exits.
3-006.32 Environmental Safety: The licensee is responsible for maintaining a safe and hazard-free environment to protect the health and safety of children in care.
3-006.32A Smoking: Smoking anywhere indoors in a child care center is prohibited at all times, unless the center is located in a private residence. If the center is located in a private residence, the licensee must ensure that:
1. No one smokes indoors during the hours of operation when one or more children who are not occupants of the residence are present; and
2. Parents are informed before enrollment if the licensee or any household member smokes.
3-006.32B Alcohol and Controlled Substances
1. If the center is located in a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be consumed in any area used for child care during the hours of operation.
2. If the center is not located in a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be present in any area used for child care whenever any child in care is present.
3. The unlawful use or possession of controlled substances, as defined by Neb. Rev. Stat. §§ 28-401 to 28-403 and 28-439, is prohibited. Controlled substances that have not been legally prescribed must not be on the premises.
3-006.32C Animals/Pets: The licensee must ensure that any animal at the center does not negatively affect the children. The licensee must:
1. Have all pets examined annually by a licensed veterinarian and have documentation available;
2. Complete all vaccinations recommended by the licensed veterinarian that include, at a minimum, current rabies vaccinations for dogs, household cats, and ferrets, and have documentation available;
3. Have provisions for pet care necessary to prevent the acquisition and spread of fleas, ticks and other parasites;
4. Ensure that no animals are allowed in the food preparation, food storage, or serving areas during food preparation and serving times; and
5. Comply with any state or local law or ordinance relating to the care and ownership responsibilities of pets or specific breeds identified by those laws or ordinances.
3-006.32D Prohibited Animals: Exotic or unusual animals, or any animal that has bitten or attacked anyone without provocation or has been determined by the local health authority to be dangerous, must not be allowed on the premises during the hours of operation.
3-006.32E Other Environmental Safety Requirements
1. Surfaces must be smooth and free of sharp edges, mold, or dirt, and the environment must be kept free of other conditions which may pose a potential risk.
2. All cleaning agents, medications (both prescription and nonprescription), and poisonous materials must be kept in locked storage at all times children are in care. Separate locked storage must be provided for medications requiring refrigeration.
3. All firearms, other potentially hazardous weapons, weapon accessories, and ammunition must not be on the premises of the center, unless the center is located in a private residence. If the center is located in a private residence, all firearms, other potentially hazardous weapons, weapon accessories, and ammunition must be kept in locked storage. Firearms must be unloaded and ammunition must be stored separately from firearms.
4. Electrical outlets within reach of children under age six must be covered with safety caps, ground fault interrupters, or have safety outlets installed.
5. Shared use of the following items is prohibited:
a. Disposable towelettes;
b. Drinking containers, cups, or glasses;
c. Personal care items such as toothbrushes and hair brushes; and
d. Towels and washcloths.
6. The licensee must ensure storage that is:
a. Clean and adequate for all personal items of staff;
b. Clean and adequate for all personal items of children;
c. Covered and waterproof for soiled or wet clothing; and
d. For staff and children’s storage, areas separate from where food and medication are kept.
7. Deep freezers that cannot be opened from the inside must be locked or stored in a locked room.
3-007 PHYSICAL PLANT STANDARDS: The center must be designed, constructed and maintained in a manner that is safe, clean and functional for child care. The following regulations apply to all areas of the center.
3-007.01 Activity Space: The center must have space for children’s activities, napping, and free play. The activity space must:
1. Have furnishings to accommodate all activities and age-appropriate needs of all children in care;
2. Be available for all children; and
3. Have at least 35 square feet of activity space per child. Bathrooms, kitchen, isolation room, office, passageways, storage, or space occupied by cribs, cots, or built-in cabinets must not be considered when computing activity space.
3-007.02 Plumbing, Water Supply, and Sewer Requirements
3-007.02A Plumbing: The licensee must ensure that:
1. No plumbing fixture or other device that provides a connection between a drinking water supply and a drainage, soil, waste, or other sewer pipe so as to make possible the backflow of sewage or waste water into the potable water supply system. Water that has been used for cooling or for any other purpose must not be returned to the system; and
2. All plumbing conforms to the local plumbing code. Where no plumbing code is in effect, plumbing must conform to national standards as provided in Neb. Rev. Stat. § 18-1915.
3-007.02B Water Supply: The licensee must ensure the center has and maintains an accessible, adequate, safe, and potable supply of water for drinking, food preparation, and hand washing.
1. If water is obtained from a source other than a public water supply system, the water must not contain contaminants that exceed the maximum contaminant levels set for nitrate, or total coliform for public water supply systems in 179 NAC 2-002, and 179 NAC 3 or the lead action level set in 179 NAC 12. The licensee must report to the Department the results of all tests that show the water contains contaminants that exceed a maximum contaminant or action level.
a. The water supply must be tested annually and the tests results must be available for review upon request.
b. If the water supply does not meet nitrate, total coliform bacteria and lead standards, the licensee must, until the contaminants are lowered to acceptable levels:
(1) Obtain water from a source approved by the Department; or
(2) Purchase water from a commercial source.
2. Drinking water must be provided by sanitary drinking fountains or individual or disposable cups.
a. Drinking fountains must have mouth guards with water issuing under sufficient pressure.
b. Sanitary dispensing and disposal units must be provided for paper cups.
3. The licensee must ensure that:
a. Running water under pressure is provided;
b. Each hot water storage tank is provided with a pressure and temperature relief valve;
c. Adequate water heating facilities are provided so that a sufficient amount of hot water for general cleaning as well as washing and sanitizing utensils is available at proper temperatures;
d. Water supply to all hand washing and bathing locations is maintained between a minimum of 100 degrees Fahrenheit and a maximum of 120 degrees Fahrenheit; and
e. Soap is available for hand washing.
3-007.02C Sewer Requirements: When a municipal sewage system is not available, the licensee must:
1. Collect, treat, and dispose of sewage and all liquid waste with a sewage system that conforms to local ordinances; or
2. Where local ordinances do not exist, sewage disposal systems must comply with the regulations of the Nebraska Department of Environmental Quality.
3-007.03 Fenced Outdoor Play Area: When care is provided to children between the ages of six weeks and school-age, the licensee must ensure that a fenced outdoor play area is available. The area must:
1. Directly adjoin the center or have a Department-approved plan as described in 3-007.03B;
2. Accommodate at least 25 percent of the center’s licensed capacity at one time;
3. When in use, have at least 50 square feet per child of age-appropriate play space;
4. Have grounds sloped or drained to prevent stagnant water collection;
5. Be kept clean and safe and contain no accident hazards, debris, or stagnant water;
6. Contain no barnyard animals and/or fowl; and
7. Be free of animal waste.
3-007.03A The fence and all toys and equipment within the fenced area must be free of rust and free of sharp and hazardous edges.
3-007.03B When the outdoor play area does not directly join the indoor facility, a Department-approved plan that addresses the following must be on file with the Department:
1. Distance to the play area;
2. Safety and supervision procedures;
3. Type of transportation, if any, needed to get to the outdoor play area;
4. Numbers and ages of children going to the play area; and
5. Frequency of outdoor play available to children in care.
3-007.03C Outdoor Play Equipment: The licensee must ensure that:
1. Stationary outdoor equipment such as climbing apparatus, swings, or slides are located away from traffic areas in the outdoor play area;
2. Stationary outdoor equipment is securely anchored, unless designed to be portable; and
3. Swing seats must be made of a pliable material. Seats must not be made of hard plastic, wood, or metal.
3-007.03D Playground Surfaces: The area under climbing equipment, swings, slides, and other equipment from which children might fall must be of resilient material such as sand, dirt, grass, rubber matting, rubber mulch, wood chips, or small-to-medium size gravel.
3-007.04 Toilets and Sinks: The center must have sufficient toilets and sinks available for children’s use. A minimum of one operable toilet and one operable sink must be available per 15 children two years of age or older. Toilet rooms must be fully enclosed. A sink must be readily available to each toilet and diaper area. Sanitary dispensing and disposal units must be provided for paper towels and must be installed at heights convenient for the children’s use. Toilets and sinks must be:
1. Conveniently located;
2. Clean, operable, and in good repair;
3. Designed to accommodate children with special needs, when applicable; and
4. Of suitable height for children or have a safe stepstool.
3-007.04A If a door to the toilet room opens directly from a food service area, the door must be self-closing and tight-fitting.
3-007.04B The licensee must ensure that no adult or child resumes work or play after using the bathroom without first washing his/her hands.
3-007.05 Fire Safety: The licensee must maintain fire safety approval at all times.
3-007.06 Sanitation: The licensee must maintain sanitation approval at all times.
3-008 DENIAL AND DISCIPLINARY ACTIONS
3-008.01 Grounds for Denial or Disciplinary Action: The Department may deny the issuance of or take disciplinary action against a license on any of the following grounds:
1. Failure to meet or violation of any of the requirements of the Child Care Licensing Act or the rules and regulations adopted and promulgated under the Act;
2. Violation of an order of the Department under the Act;
3. Conviction of, or substantial evidence of committing or permitting, aiding or abetting another to commit, any unlawful act, including, but not limited to, unlawful acts committed by an applicant or licensee under the Act, household members who reside at the place where the program is provided, or employees of the applicant or licensee that involve:
a. Physical abuse of children or vulnerable adults as defined in Neb. Rev. Stat. § 28-371;
b. Endangerment or neglect of children or vulnerable adults;
c. Sexual abuse, sexual assault, or sexual misconduct;
d. Homicide;
e. Use, possession, manufacturing or distribution of a controlled substance listed in Neb. Rev. Stat. § 28-405;
f. Property crimes, including, but not limited to, fraud, embezzlement, and theft by deception; and
g. Use of a weapon in the commission of an unlawful act;
4. Conduct or practices detrimental to the health or safety of an individual served by or employed at the program;
5. Failure to allow an agent or employee of the Department access to the program for the purposes of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
6. Failure to allow state or local inspectors, investigators, or law enforcement offices access to the program for the purposes of investigation necessary to carry out their duties;
7. Failure to meet requirements relating to sanitation, fire safety and building codes;
8. Failure to comply with or violation of the Medication Aide Act;
9. Failure to file a report of suspected abuse or neglect as required by Neb. Rev. Stat. §§ 28-372 and 28-711;
10. Violation of any city, village, or county rules, regulations, or ordinances regulating licensees; or
11. Failure to pay fees required under the Child Care Licensing Act.
3-008.02 Types of Disciplinary Action: The Department may impose any one or a combination of the following types of disciplinary action against a license issued under the Child Care Licensing Act:
1. Issue a probationary license;
2. Suspend or revoke a provisional, probationary, or operating license;
3. Impose a civil penalty of up to $5 per child, based upon the number of children for which the program is authorized to provide child care on the effective date of the finding of violation, for each day the program is in violation;
4. Establish restrictions on new enrollment in the program;
5. Establish restrictions or other limitations on the number of children or the age of the children served in the program; or
6. Establish other restrictions or limitations on the type of service provided by the program.
3-008.02A Considerations: In determining the type of disciplinary action to impose, the Department will consider:
1. The gravity of the violation, including the probability that death or serious physical or mental harm will result, the severity of the actual or potential harm, and the extent to which the provisions of applicable statutes, rules, and regulations were violated;
2. The diligence exercised by the program in identifying or correcting the violation;
3. The degree of cooperation exhibited by the licensee in the identification, disclosure, and correction of the violation;
4. Any previous violations committed by the program; and
5. The financial benefit to the program of committing or continuing the violation.
3-008.02B Additional Action: If the licensee fails to correct a violation or to comply with a particular type of disciplinary action, the Department may take additional disciplinary action.
3-008.03 Unpaid Fines: Any fine imposed and unpaid under the Child Care Licensing Act will constitute a debt to the State of Nebraska which may be collected in the manner of a lien foreclosure or sued for and recovered in any proper form of action in the name of the State of Nebraska is the district court of the county in which the program is located. The Department will, within 30 days after receipt, remit fines to the State Treasurer for credit to the permanent school fund.
3-008.04 Department’s Emergency Power: Whenever the Department finds that an emergency exists requiring immediate action to protect the physical well-being and safety of a child in the program, the Department may, without notice or hearing, issue an order declaring the existence of such an emergency and requiring that such action be taken as it deems necessary to meet the emergency. The order may include an immediate prohibition on the care of children by the licensee other than children of the licensee. An order under this subsection will be effective immediately. Any person to whom the order is directed must comply immediately, and upon application to the Department, the person will be afforded a hearing as soon as possible and not later than ten days after his or her application for the hearing. On the basis of such hearing, the Department will continue to enforce the order or rescind or modify it.
3-008.05 Re-Application After Revocation: A former licensee whose child care license has been revoked for any cause other than nonpayment of fees is not eligible to reapply for a license for two years. The former licensee must:
1. Apply for a provisional license;
2. Meet the requirements for provisional licensure in 3-003.01; and
3. Demonstrate to the Department’s satisfaction the ability and willingness to comply with all licensing regulations.
TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 4 - SCHOOL-AGE-ONLY CENTERS
4-001 SCOPE AND AUTHORITY: These regulations will become operative three months after their effective date. These regulations govern the licensing of school-age-only child care centers by the Department of Health and Human Services. Statutory authority for these regulations is in the:
1. Child Care Licensing Act (Neb. Rev. Stat. §§ 71-1908 to 71-1923);
2. Child Protection Act (Neb. Rev. Stat. §§ 28-710 to 28-727);
3. Clean Indoor Air Act (Neb. Rev. Stat. §§ 71-5716 to 71-5734);
4. Quality Child Care Act (Neb. Rev. Stat. §§ 43-2601 to 43-2625);
5. Sex Offender Registration Act (Neb. Rev. Stat. §§ 29-4001 to 29-4014); and
6. Neb. Rev. Stat. §§ 4-108 to 4-114.
The Child Care Licensing Act requires the Department to develop regulations establishing standards for the physical well-being, safety, and protection of children in programs licensed under the Act. The purposes of the Act are to provide statewide licensure standards for persons providing child care programs and to provide the Department with authority to coordinate the enforcement of standards on licensees. The standards ensure that programs are providing proper care for and treatment of the children served, and that the care and treatment are consistent with the children’s physical well-being, safety, and protection.
The Child Protection Act authorizes the Department to use information in the state child abuse/neglect central register for purposes of licensing providers of child care programs, and the Clean Indoor Air Act addresses smoking in licensed child care programs.
The Quality Child Care Act requires the Department to develop regulations for mandatory training requirements for child care providers designed to meet the health, safety, and developmental needs of children and tailored to the needs of licensed providers. The Act states that the Legislature’s intent is to encourage high-quality, affordable, and accessible child care services that are educationally and age-appropriate.
The Sex Offender Registration Act authorizes the disclosure of information to providers who serve children for the purpose of conducting confidential background checks for employment.
Neb. Rev. Stat. §§ 4-108 to 4-114 provide that no state agency or political subdivision of the State of Nebraska may provide public benefits to a person who is not lawfully present in the United States. A child care license is considered a public benefit.
4-001.01 These regulations apply to School-Age-Only Child Care Centers, which are licensed to provide a child care program for 13 or more children who attend kindergarten or above. A school-age center may be located in the licensee’s residence or another location.
4-001.02 The following are exempt from mandatory licensure, but may be voluntarily licensed:
1. Any person who provides child care:
a. On an irregular, informal basis and with no established pattern of occurrence;
b. Without cost to the parents and who receives no form of compensation;
c. To three or fewer children at any one time, except by a person whose license has been suspended or revoked;
2. Recreation camps as defined in Neb. Rev. Stat. § 71-3101, a recreation facility, center, or program operated by a political or governmental subdivision pursuant to the authority provided in Neb. Rev. Stat. § 13-304;
3. Classes or services provided by a religious organization other than child care or a preschool or nursery school;
4. A preschool program conducted in a school approved under Neb. Rev. Stat. § 79-318;
5. Programs operated or contracted by a public school district and subject to the rules and regulations of the State Department of Education under Neb. Rev. Stat. § 79-1104;
6. Services provided only to school-age children during the summer and other extended breaks in the school year;
7. Care provided only to children 13 years of age or older;
8. Care provided for less than two hours per week on average;
9. Foster care as defined in Neb. Rev. Stat. § 71-1901;
10. Care provided by grandparents to only their grandchildren;
11. Care provided on federal military installations;
12. Care provided on Indian reservations by Native Americans; or
13. Care provided by non-Native Americans on Indian reservations when tribal authorities have assumed jurisdiction for regulating the care.
4-002 DEFINITIONS
Accredited school means a public school district or a nonpublic school or group of nonpublic schools under a governing body organized to provide education in elementary, middle, secondary, and/or high school grades accredited pursuant to 92 NAC 10.
Adequate and appropriate supervision includes:
1. Knowing the whereabouts and being within sight or sound of all children at all times;
2. Being awake, alert, attentive, and responsive to the needs of all children, and
3. Protecting or removing children from harm.
Agency representative means an individual employed by or under contract with the Nebraska Department of Health and Human Services, the State Fire Marshal, or their designated agents.
Ages of Children:
1. Infant means a child age 6 weeks to 18 months;
2. Toddler means a child age 18 months to 3 years;
3. Preschooler means a child age 3 or older who has not attended kindergarten; and
4. School-ager means a child who attends kindergarten or above.
Approved school means a nonpublic school or group of nonpublic schools under a governing body organized to provide education in elementary and/or secondary grades approved pursuant to Title 92 NAC 14.
Certificated teacher means a teacher who holds a valid Teaching Certificate issued by the Nebraska Department of Education.
Child care center means a child care program licensed to provide child care for 13 or more children.
Child care means the care and supervision of children in lieu of parental care and supervision and includes programs. (See definition of program.)
Department means the Nebraska Department of Health and Human Services.
Designee means an individual given responsibility to act on another’s behalf.
Director means the individual who is responsible for the daily operation of the school-age-only center, including compliance with all regulations, when that individual is not the licensee, as provided in 391 NAC 4-006.01(4) and 391 NAC 4-006.02.
Early Childhood Training Center means the entity authorized in Neb. Rev. Stat. § 79-1102 and established within the Nebraska Department of Education. Its purpose is to train individuals who provide education and development activities for infants and young children and their parents.
Family means individuals who are not household members and have one or more children enrolled in the child care program.
Food Code means the Nebraska Food Code as defined in Neb. Rev. Stat. § 81-2,244.01 and as published by the Nebraska Department of Agriculture, except for compliance and enforcement provisions.
GED means a General Educational Development credential, also sometimes known as a General Education Diploma or General Equivalency Diploma.
Health authority means the local health department, which by law has the authority and duty for communicable disease control in the counties under its jurisdiction.
Household member means any individual residing in or regularly present in the child care center, including children and youth for whom 24-hour care is provided.
Licensed health care professional means an individual for whom administration of medication is included in the scope of practice.
Licensee means the owner of the child care program and the individual, partnership, limited liability company, corporation, or governmental unit to whom the license is issued and who is responsible for compliance with all regulations.
Locked storage means a container or closet used to store poisonous materials, medications, and weapons that is secured by lock and key, combination lock, or magnetic lock approved by the Department.
NAC means the Nebraska Administrative Code, the compiled regulations of all state agencies maintained by the Secretary of State. Properly adopted regulations have the force and effect of law. These regulations are 391 NAC 4. Within this chapter, references to other parts of the same chapter do not show “391 NAC”; they are shown simply as 4-003.01, for example. References to different regulations show the full citation; for example, 179 NAC 2-002.
Parent means the natural parent, adoptive parent, step parent, guardian, or other legally responsible custodian.
Physical hold means applying minimal physical force by placing the arms around a child to restrict the child’s movement.
Premises means the home or facility, including areas of the home or facility not used for child care/preschool, all attached and all outbuildings, and all areas included within the lot boundaries.
Program means the provision of services in lieu of parental supervision:
1. For children under 13 years of age;
2. For compensation, either directly or indirectly; and
3. On the average of less than 12 hours per day, but more than two hours per week.
Program includes any employer-sponsored child care, family child care home, child care center, school-age child care program, school-age services under Neb. Rev. Stat. § 79-1104, or preschool or nursery school.
Proper hand washing means washing and scrubbing the hands for at least 20 seconds with soap and warm running water, rinsing well under running water, and drying with a paper towel, air dryer, or clean towel.
Restraint means the use of manual restraints (direct application of physical force) or mechanical restraints (straps, belts, towels, blankets, tape) or other means to subdue a child or otherwise limit a child’s freedom of movement. Restraint does not refer to physical holds or braces or other devices used to assist, obtain, and maintain normal body function.
Room means an area with four walls flush from the floor to the ceiling and at least one passageway or doorway. A partition is considered a wall if the partition is at least four feet high, and is flush to the floor and to the other walls.
Special needs means a child has a requirement for extra care because of an acute or chronic physical or mental condition. Acute special needs include temporary conditions that require special medical attention and isolation from other children, e.g., recovery from surgery, etc.
Chronic special needs include long-standing medical or behavioral problems that require medical, behavioral or other services at all times, e.g., medically fragile, attention deficit, etc.
To be considered a child with a special need, the child must have one or more of the following conditions which are not related to chronological age:
1. Emotional impairment: including behavioral impairment, requiring special equipment or assistance;
2. Developmental age level lower than chronological age and requires assistance via special supervision;
3. Movement impairment: requires assistance or is unable to move;
4. Sensory impairment: requires special environmental modifications or assistance;
5. Speech impairment: requires special equipment or assistance;
6. Hygiene: requires assistance or special equipment;
7. Feeding: requires special equipment or assistance;
8. Toileting: requires assistance or special equipment;
9. Medical conditions: requires respiratory aids or special procedures; 10. Therapy required: physical, occupational, speech, or respiratory;
11. Medications: requires assistance or special procedures.
Diseases such as measles, chicken pox, flu, etc., are not considered special needs.
Staff means an individual who provides direct care to the children attending the school-age-only center, including the licensee, director, teacher, aide, and any other individual who counts in the staff-to-child ratio.
Support staff means an individual employed by the center as a food service, clerical, custodial, or transportation staff.
Swimming pool means any artificial basin of water modified, improved, constructed, or installed for the purpose of swimming, wading, diving, recreation, or instruction. Swimming pool includes, but is not limited to, a pool on the child care premises, a pool serving a community, a subdivision, an apartment complex, a condominium, a club, a camp, a school, an institution, a park, a manufactured home park, a hotel, a motel, a recreational area, or a water park.
Swimming pool includes a spa, hot tub or whirlpool or similar device which is designed for recreational use and not to be drained, cleaned and refilled after each individual use.
Teacher means an individual who is responsible for the direct care of the children.
Uncompensated parent helper means the parent of a child enrolled in the center who without compensation, assists in the care of children, who does not count in the staff-to-child ratio, and who is not left alone with children other than his/her own at the school age only center.
USCIS means United States Citizenship and Immigration Service.
USDA means the United States Department of Agriculture.
Volunteer means an individual who assists in the care of children, who does not count in the staff-to-child ratio, and is not left alone with children other than his/her own at the child care center.
Wading pool means a portable, above-ground basin filled with 12 or fewer inches of water, and designed for the purpose of wading.
4-003 LICENSING REQUIREMENTS AND PROCEDURES: Any person intending to establish, operate, or maintain a school-age-only child care center, unless exempt and not seeking voluntary licensure as provided in 391 NAC 4-001 and 391 NAC 4-002, must first obtain a license from the Department. An applicant must show that the child care program meets all licensing requirements contained in these regulations, 391 NAC 4.
4-003.01 Provisional License: Provisional licenses are issued to all newly licensed School-Age-Only Center programs. Provisional licenses are effective for one year.
4-003.01A Application Requirements: An applicant for a provisional School-Age-Only Center license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, if an individual or an individual in a partnership, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. Consent for central registry checks and authorization for release of information for the applicant, all staff and volunteers age 13 or older, and all household members age 13 or older if the center is to be located in a private residence;
4. Documentation of criminal history record checks for the applicant, if an individual or an individual in a partnership, all staff and volunteers age 19 or older, all household members age 19 or older if the center is to be located in a private residence, and for the individual who will be the director of the center if the applicant is a limited liability company, a corporation, or a governmental unit (see 4-006.03A);
5. A Report of Law Enforcement Contact for the applicant, or for the individual who will be the director of the center if the applicant is a limited liability company, a corporation, or a governmental unit;
6. A Health Information Report for the director on a form provided by the Department (see 4-006.03F);
7. Documentation of director qualifications (see 4-006.04);
8. A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of rooms to be used by the children, and outdoor play area;
9. Copies of zoning approval from the relevant jurisdiction;
10. A Fire Inspection Approval issued by the appropriate fire marshal’s office;
11. A Sanitation Inspection Approval issued by the Department or delegated authority;
12. A written description of services (see 4-006.13A);
13. A sample daily schedule;
14. A sample weekly menu of snacks and/or meals;
15. The planned occupancy date; and
16. The required licensing fee (see 4-004.08).
4-003.01B Denial of Provisional License: See 4-008 for grounds under which the Department may deny a provisional license.
4-003.01C Extension of Provisional License: The Department may extend a provisional license once for a period no longer than six months. The Department’s decision regarding extension of a provisional license may not be appealed. A provisional license may be extended if the Department determines:
1. The provisional licensee is unable to comply with all licensure requirements and standards, is making a good faith effort to comply, and is capable of compliance within the next six months;
2. The effect of the current inability to comply with a rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department which is to be completed within the extension period.
4-003.01D Expiration of Provisional License: The Department will send a notice of expiration to the licensee no later than 90 days before the date of expiration.
1. If a provisional licensee does not submit a complete application for an operating license on or before the expiration date, the provisional license expires.
2. If the former licensee submits a complete application and is in compliance with all regulations within 90 days after expiration, the Department will issue an operating license effective when issued.
3. If the former licensee submits an application more than 90 days after expiration, the Department will process the application as a provisional license application.
4-003.02 Operating Licenses: Operating licenses are standard, non-expiring licenses issued to school-age-only center programs that have been licensed for more than one year and are in full compliance with all regulations. Licensees must have completed one full year with a provisional license with satisfactory compliance with all regulations before qualifying for an operating license.
4-003.02A Application Requirements: An applicant for an operating school-age-only center license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, if an individual or an individual in a partnership, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older if the school-age-only center is located in a private residence (see 4-006.03B);
4. Verification of director qualifications (see 4-006.04); and
5. The required licensure fee as specified (see 4-004.08).
4-003.02B Denial of an Operating License: See 4-008 for grounds on which the Department may deny an operating license.
4-003.03 Change of Ownership: Child care licenses are not transferable or assignable. A change of ownership terminates the license. The new owner must apply for a license.
4-003.03A Change of ownership includes the sale or transfer of the ownership or control of a school-age-only center to a person other than the current licensee. Change of ownership does not include a change of name or location of the school-age-only center.
4-003.03B Requirements of New Owner: If there is a change of ownership and the school-age-only center remains on the same premises, the new owner must apply for a provisional license as required in 4-003.01A, except that:
1. Criminal history record checks, Reports of Law Enforcement Contact, and Health Information Reports are required only for new employees who have not already submitted or completed these documents; and
2. A sketch, diagram, or blueprint of the facility, a written description of services, and a sample daily schedule are required only when the new owner changes the use of the facility and/or changes the description of services or daily schedule.
4-003.03C Mergers: If there is a change of ownership based on the merger of a parent and subsidiary company, affiliated businesses, or governmental units, and the child care center remains on the same premises, the new owner must submit:
1. A Full Disclosure of Ownership Statement on a form provided by the Department; and
2. An application for a child care center license.
4-003.03D Denial of License: See 4-008 for grounds on which the Department may deny a license.
4-003.04 Temporary and Voluntary Cease of Operation: A licensee may request to temporarily cease operation of the school-age-only center for a period of up to one year.
The licensee must:
1. Have attained an operating license;
2. Intend to re-open the school-age-only center at the same location;
3. Not serve any children during the period of ceased operation;
4. Not be the subject of any disciplinary action, investigation of alleged non-compliance with regulations, or outstanding non-compliance; and 5. Pay license fees during the period as specified in 4-004.08.
4-003.04A If the licensee is the subject of any negative or disciplinary action, the period of ceased operation does not count toward the period of negative or disciplinary action.
4-003.04B No routine fire safety, sanitation, or Department inspections will be conducted during the period of ceased operation.
4-003.04C The period of ceased operation may be extended beyond the one-year limit if the licensee shows a reasonable cause.
4-003.04D Reinstatement: A school-age-only center may request reinstatement after a period of ceased operation by submitting an application at least 30 days before the scheduled re-opening date. The Department will review the application and decide if additional information, an on-site inspection, or a fire safety or sanitation inspection is needed to determine compliance with regulations.
4-003.05 Negative Actions: The Department may initiate a negative action when a licensee is not in compliance with regulation but the violation does not rise to the level of a disciplinary action. (Disciplinary actions are described in 4-008.) Negative actions are voluntary and are not appealable.
The Department may conduct unannounced monitoring inspections of licensees under negative action. If a licensee does not agree to the terms of the negative action, the Department may initiate a disciplinary action. The two types of negative action are a Licensing Agreement and Corrective Action Status, described as follows.
4-003.05A Licensing Agreement
4-003.05A1 Determining Need for a Licensing Agreement: The Department may request a written licensing agreement if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance; and
2. The effect of noncompliance with any rule or regulations does not present an unreasonable risk to the health, safety, or well-being of children or staff.
4-003.05A2 The Licensing Agreement must:
1. Identify the length of time the Department has determined the agreement will be in effect;
2. Identify regulation violation(s);
3. Identify conditions agreed to by the licensee or director to correct any identified issue and to maintain compliance with licensing regulations;
4. Be signed by the licensee or designee, with permission of the licensee; and
5. Be witnessed by a notary public, Department staff, or non-relative of the licensee.
4-003.05B Corrective Action Status: The Department may place a provisional or operating license on corrective action status for up to six months if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance;
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department.
4-003.05B1 The written plan of correction must:
1. Identify the issue(s) of concern;
2. Identify who is responsible for corrections and maintenance of compliance;
3. Include timelines; and
4. Specify the documentation to be provided to the Department.
4-003.05B2 The Department may discipline the license if the written plan of correction is not approved.
4-003.06 Voluntary Surrender of a License: A licensee may voluntarily surrender a license issued under the Child Care Licensing Act at any time, except that the Department may refuse to accept a voluntary surrender of the license if the licensee is under investigation or if the Department has initiated disciplinary action against the license. If the Department accepts the surrender, the licensee must return the license to the Department within one week of the surrender.
4-003.06A Reapplication for an Operating License Less Than One Year After Voluntary Surrender: A licensee who voluntarily surrendered a school-age-only center operating license less than one year before the date of reapplication may reapply for an operating license. The licensee must meet the requirements of 4-003.02A.
4-003.06B Reapplication One Year or More After Voluntary Surrender: A licensee who voluntarily surrendered a school-age-only center provisional or operating license one year or more before the date of reapplication must reapply for a provisional license. The applicant must meet the requirements of 4-003.01A.
4-003.07 Permanent Closure: When a school-age-only center is to be permanently closed, the licensee must return the license to the Department within one week of closing.
4-004 GENERAL REQUIREMENTS
4-004.01 License Not Transferable: A school-age-only center license is not transferable or assignable and is only valid at the address printed on the license.
4-004.02 Separate License: An applicant for a school-age-only center license must obtain a separate license for each program that the applicant seeks to operate.
1. A single license may be issued for a school-age-only center operating in separate buildings or structures on the same premises under one licensee.
2. Multiple licenses may be issued for child care centers, preschools, and school-age-only centers operating on the same premises under multiple licensees.
4-004.03 Posting of License and Availability of License Record Information: The licensee must ensure the current license, including any applicable status or amendment, is prominently posted and clearly visible in the child care area. License record information and inspection reports must be available for public inspection upon request.
4-004.04 Change in Premises: When there is a change in premises:
1. Ninety days before the scheduled date of occupancy of the new premises, the licensee must submit an application for the same type of license (provisional or operating) currently held, except that:
a. The following items must be submitted before the license will be issued:
(1) A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of room to be used by children, and outdoor play area;
(2) A fire inspection approval issued by the State Fire Marshal or delegated authority;
(3) A sanitation inspection approval issued by the Department or delegated local authority;
(4) Copies of zoning approval from the relevant jurisdiction;
(5) Planned occupancy date; and
b. Remaining items must be submitted only if there are changes since the previous application;
2. The Department will conduct an inspection(s) of the proposed location to determine compliance with these regulations before use or occupancy by the applicant; and
3. The new premises cannot be used for a child care program until a license has been issued by the Department. The license for the initial premises will become null and void when a license for the new premises is issued.
4-004.05 Alternative Compliance: The Department may grant alternative compliance with a regulation under the following conditions:
4-004.05A Written Request: A request for alternative compliance must be submitted to the Department in writing and must include:
1. The regulation for which alternative compliance is being requested;
2. The reason for the alternative compliance request;
3. A description of how the alternative will meet the intent of the regulation; and
4. How the alternative will offer equal protection for all children.
4-004.05B Review and Approval: The Department may request additional information from the applicant or licensee in order to reach a decision to approve or deny the alternative compliance request. To be considered for approval, the proposed alternative must:
1. Be consistent with the overall intent and purposes of the regulation; and
2. Protect the health, rights, safety, and well-being of all children in care.
4-004.05C Terms of Alternative Compliance: An alternative compliance may be granted:
1. For a period of time that ends when the conditions of the approval no longer exist; and
2. To permit the applicant or licensee time to come into compliance.
4-004.05D Requirements Not Qualifying for Alternative Compliance: Alternative compliance will not be granted for requirements that protect the health, safety, and well-being of children, including the requirements on:
1. Capacity/Ratio;
2. Transportation;
3. Supervision;
4. Fire Safety;
5. Criminal history/background checks;
6. Licensee and staff requirements;
7. Any regulation for which a discipline has been initiated or completed.
4-004.05E Notification of Department Decision: When the Department receives an alternative compliance request and has obtained all information needed to process the request, the Department will notify the applicant or licensee in writing of its decision to approve or deny the request. The notification will be made within 30 days of the Department’s receipt of all appropriate information.
4-004.06 Notification of Changes: An applicant or licensee must notify the Department:
4-004.06A An Amendment to Application must be submitted at least 90 working days before the planned effective date for a change:
1. In location (see 4-004.04); and
2. In building or building usage.
4-004.06B An Amendment to Application must be submitted at least five working days before the planned effective date for a change:
1. In the days of the week care is provided;
2. In the hours of the day care is provided;
3. In the age of children for whom the center provides care; and
4. In household members age 13 or older, if the center is located in a private residence.
4-004.06C An Amendment to Application must be submitted within two working days after the following changes are effective:
1. In director; and
2. In household members age 12 or younger, if the center is located in a private residence.
4-004.07 Information Available to Public: The Department will release the following information to the public upon request:
1. Application;
2. Name of licensee;
3. Name of facility;
4. Facility address;
5. Facility telephone number;
6. Alternative compliances;
7. Type of license;
8. Relevant license information (for example, licensed capacity, hours and days of operation, ages of children served, license effective dates);
9. Copies of inspection reports;
10. Fire safety inspection reports and correspondence;
11. Sanitation inspection reports and correspondence
12. Licensing agreements;
13. Provisional license extension notices;
14. Corrective action status notices;
15 Discipline notices;
16. Corrective action plans;
17. Written transcripts of administrative hearings;
18. Emergency orders; and
19. All final orders.
4-004.07A The Department will not release the following information to the public:
1. Names, addresses, and telephone numbers of complainants;
2. Names, addresses, and telephone numbers of enrolled children and their parents/guardians;
3. Social Security or Federal Tax Identification numbers;
4. Health Information Reports and any physical or behavioral health information on the licensee and staff;
5. Reports of Law Enforcement Contact by the licensee, staff, and household members;
6. Law enforcement reports;
7. Child welfare reports or records, including the state child abuse/neglect central register under Neb. Rev. Stat. § 28-718;
8. Adult protective services (APS) reports or records, including the APS central registry under Neb. Rev. Stat. § 28-376;
9. Nebraska State Patrol Sex Offender Registry information not available to the public under the Sex Offender Registration Act; or
10. Internal Department correspondence, notes, and investigation reports.
4-004.08 Fees
1. Initial and annual licensure fees for school-age-only centers are:
a. Programs with licensed capacity of 1-29 $25
b. Programs with licensed capacity of 30 and up $50
2. Initial and annual licensure fees are nonrefundable, except:
a. If the Department denies an application for a license or an applicant withdraws their application, and the Department has not completed an inspection before the denial or withdrawal, the Department will return the license fee to the applicant.
3. Fees will be accepted in the form of a check or money order. Cash will not be accepted.
4-005 INSPECTIONS AND COMPLAINT INVESTIGATIONS: To determine compliance with licensing regulations, the Department will inspect school-age-only center programs as provided under the Nebraska Child Care Licensing Act.
4-005.01 Initial Licensure Inspection: The Department will:
1. Schedule the date and time for the inspection visit with the applicant and/or the applicant’s designee;
2. Conduct an on-site inspection to determine compliance with these regulations within 30 days of receipt of a complete application for a provisional license; and
3. Provide a preliminary copy of the inspection report to the applicant and/or the applicant’s designee at the conclusion of the inspection.
4-005.02 Provisional-to-Operating License Inspection: The Department will:
1. Conduct an unannounced on-site inspection to determine compliance with these regulations;
2. Conduct the inspection within 30 days of receipt of a completed application for an operating license;
3. Provide a preliminary copy of the compliance report to the applicant and/or -designee at the conclusion of the inspection; and
4. Document any violations of these regulations determined at the inspection.
4-005.03 Annual and Semi-Annual License Inspections: To determine compliance with licensing regulations, the Department will conduct unannounced inspections:
1. A minimum of once each year to school-age-only centers licensed for 29 or fewer children; and
2. A minimum of twice each year to school-age-only centers licensed for 30 or more children.
4-005.04 Follow-Up Inspection: The Department may conduct a follow-up inspection to determine if the licensee has corrected all violations and to determine full compliance with regulations following any type of inspection. If conducted, the follow-up inspection will:
1. Occur no later than 60 days after the original inspection, or sooner if the licensee requests or the violation needs to be corrected immediately; and
2. Be unannounced unless the center is closed.
4-005.05 Monitoring Inspections:
The Department may conduct unannounced monitoring inspections to determine compliance with regulations and the conditions of any negative action or discipline.
4-005.06 Inspection Results
1. The Department will provide a copy of the compliance report to the child care program within ten working days after completion of an inspection.
2. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations, the applicant or licensee may request an alternative compliance (see 4-004.05).
3. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations and the failure(s) would not pose an imminent danger of death or serious harm, the Department may:
a. Allow the applicant or licensee a period of time to correct all the violations; or
b. Initiate negative action or discipline if the applicant or licensee fails to correct all violations within the time frame given by the Department or has a history of violating the same or similar regulations at previous inspections.
4. When the Department finds that the applicant or licensee has failed to meet the regulations, the Department may initiate negative action or discipline or require the applicant or licensee to make all corrections at the time of inspection. If compliance cannot be achieved immediately, the Department may allow up to 24 hours after the inspection was conducted to make corrections.
4-005.07 Complaint Investigations: The Department will investigate any licensed child care center after receiving an allegation of violation of licensing regulations.
1. The Department will accept complaints from anyone who witnessed a violation or a parent/guardian of a child who witnessed a violation.
2. The Department will accept complaints via telephone, letter, fax, electronically, or in person.
3. The identity of a complainant is not public information.
4. Only if found to be credible by the Department can such an allegation or complaint result in any negative action or discipline.
4-005.08 Complaints of Allegedly Improper Unlicensed Care: The Department will investigate any complaints of a person alleged to be providing child care without an appropriate license. The Department will accept complaints from anyone via telephone, letter, fax, or electronically. The identity of a complainant is not public information.
The Department may request enforcement by the Attorney General or the appropriate County Attorney if a person continues to provide a child care program without a license.
4-005.09 Inspections by Other Entities
4-005.09A Fire Inspection: The Department will make a fire inspection referral when:
1. An application is received for an initial school-age-only center license;
2. Every two years following the initial fire inspection;
3. Whenever the center requests to use space that was not previously approved for use;
4. There is a change in address;
5. There is a complaint specific to fire safety issues; or
6. Department staff observe conditions that may endanger the health or safety of children in care.
4-005.09B Sanitation Inspection: The Department will make a sanitation inspection referral when:
1. An application is received for an initial school-age-only center license;
2. Every two years following the initial sanitation inspection, unless the center is located in a health care facility or school that receives more frequent sanitation inspections;
3. Whenever the center requests to use space that was not previously approved for use;
4. There is a change in address;
5. There is a complaint specific to sanitation issues; and/or
6. Department staff observe conditions that may endanger the health or safety of children in care.
4-006 STANDARDS OF OPERATION AND CARE: To provide adequate protection to children in care and to comply with state law, a school-age-only center must meet the following standards.
4-006.01 Licensee Requirements: The licensee must:
1. Ensure that the center is administered and managed appropriately;
2. Maintain compliance with all applicable state statutes and school-age-only center regulations;
3. Permit announced and unannounced inspections by agency representatives during the hours of operation;
4. Either manage the day-to-day operations of the center or designate a director who is responsible for the day-to-day management of the center and define the duties and responsibilities of the director in writing; and
5. Ensure that the center has sufficient resources to provide a safe, healthy, and nurturing environment to all children enrolled in the center.
4-006.02 Director Requirements: The director is responsible for managing the day-to-day operations of the school-age-only center. The director must report to the licensee all matters related to the maintenance, operation, and management of the center and be directly responsible to the licensee or to a person delegated governing authority by the licensee. The director must:
1. Be responsible for the center’s compliance with rules and regulations;
2. Be within the child care area a sufficient number of hours to permit adequate attention to the management of the center;
3. When not in the child care area, designate another staff to act in his or her absence who will be responsible and accountable for management of the center;
4. Provide written personnel policies and policies and procedures specific to:
a. Job descriptions and responsibilities; and
b. Position qualifications, skills, knowledge, abilities and physical demands of the job.
5. Assess his/her own ability and the ability of all staff to provide care for children with special needs while meeting the needs of other children enrolled;
6. Provide orientation for new staff, including training on school-age-only center regulations;
7. Schedule training and continuing education for all staff and ensure that records are maintained including the date, topic, and length of time for each training entry;
8. Ensure that center staff identify and review incidents, accidents, complaints, and concerns, and monitor patterns and trends in overall operation and take action to alleviate problems;
9. Develop and implement written procedures that require the reporting of any evidence of physical abuse, neglect, or sexual abuse of any child in care at the school-age-only center;
10. Immediately file a report with the Child Abuse-Neglect Hotline (1-800-652-1999) and/or appropriate local law enforcement agency when s/he has reason to believe child abuse, neglect or sexual abuse may be occurring in the school-age-only center, in the child’s home, or elsewhere, or ensure that a report is filed;
11. Not knowingly allow any individual who is a registered sex offender on the premises, except that a parent who is a registered sex offender may be allowed on the premises only to pick up and drop off his/her child;
12. Ensure that the maximum capacity of the school-age-only center is not exceeded at any time;
13. Ensure that staff-to-child ratios are met at all times;
14. Ensure that parents have access to their children at all times that children are in care; and
15. Develop and use written criteria to assess the ability of staff to give or apply medication safely.
4-006.03 Background Checks, Health Information, and Employment Limitations
4-006.03A Criminal History Record Check: The applicant/licensee, if an individual or an individual in a partnership, must complete a pre-employment criminal history record check on him/herself, on each staff member and volunteer age 19 or older, and on each household member age 19 or older if the center is located in a private residence.
Documentation must be kept and available for review by the Department.
The check must be conducted through the Nebraska State Patrol or through one or more local law enforcement agencies, as appropriate to the individual’s residence(s). If an individual has lived in Nebraska less than 12 months, the applicant/licensee must obtain documentation of a criminal history record check from the previous state(s) of residence.
4-006.03A1 Permanent Child Care Disqualification:
An individual is permanently disqualified from holding a child care license or working as a staff member or volunteer in a school-age-only center if s/he has a criminal history that includes conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes against a child or vulnerable adult, crimes involving intentional bodily harm, crimes involving the sale, distribution or procurement of a controlled substance, or crimes involving moral turpitude on the part of the individual. These crimes include, but are not limited to:
1. Aggravated or armed robbery;
2. Assault, first or second degree;
3. Child abandonment;
4. Child abuse;
5. Child molestation or debauching a minor;
6. Child neglect;
7. Commercial sexual exploitation of a minor;
8. Domestic violence;
9. Exploitation of a minor involving drug offenses or conviction of drug offenses that involved a minor;
10. Felony controlled substances offenses, other than possession;
11. Felony violation of custody;
12. Incest;
13. Kidnapping;
14. Murder, first or second degree;
15. Sexual abuse of a minor;
16. Sexual assault;
17. Sexual exploitation of a minor, including child pornography; or
18. Voluntary manslaughter.
4-006.03A2 Twenty-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a school-age-only center if s/he has a criminal history that includes conviction in the last 20 years of:
1. Arson;
2. Criminal non-support;
3. Felony possession of controlled substance offences;
4. Felony theft; or
5. Robbery.
The 20-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the 20-year period of disqualification. If the individual has more than one conviction, the 20-year disqualification begins the date the most recent conviction became final.
4-006.03A3 Five-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a school-age-only center if s/he has a criminal history that includes conviction in the last five years of:
1. Burglary;
2. Driving under the influence: two or more convictions;
3. Felony bad check writing;
4. Misdemeanor controlled substances offenses;
5. Misdemeanor contributing to the delinquency of a child; or
6. Misdemeanor theft.
The five-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the five-year period of disqualification. If the individual has more than one conviction, the five-year disqualification begins the date the most recent conviction became final.
4-006.03A4 An applicant, licensee, staff member, volunteer, or household member, must not have had his/her rights as a parent terminated by a Court because of a finding of abuse or neglect of a child or inability to care for a child.
4-006.03A5 Department Determination: An individual may hold a child care license or work as a staff member or a volunteer in a school-age-only center with a pending complaint or indictment or conviction for other crimes if the Department determines the individual has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
1. The age of the individual at the time of the conduct;
2. The recency of the conduct;
3. The seriousness of the conduct;
4. The factors underlying the conduct;
5. The cumulative effect of the conduct;
6. The evidence of rehabilitation;
7. The individual’s positive social contributions since the conduct;
8. The individual’s honesty in providing information; and
9. The materiality of any omissions or misrepresentations.
The Department may deny or take action against a license if an individual is found to have a criminal history that includes conviction or substantial evidence of committing or permitting, or aiding or abetting another to commit, any unlawful act endangering the health or safety of another individual or a history of convictions or behavior that shows an inability or unwillingness to comply with laws or regulations. This applies to the applicant/licensee, household members who reside at the place where the child care program will be/is provided, volunteers, and employees of the applicant/licensee.
4-006.03B Registry Checks: The applicant/licensee, if an individual or an individual in a partnership, staff, volunteers, and household members if the center is located in a private residence, must not be listed as a perpetrator of abuse or neglect on the Nebraska:
1. Child abuse/neglect central register, if the individual is age 13 or older;
2. Adult protective services (APS) central registry if the individual is age 18 or older; or
3. State Patrol sex offender registry.
The individual must provide enough information for an accurate check of the registries and must authorize the release of registry information. The Department will conduct the child and adult registry checks and provide the results to the applicant/licensee.
The applicant/licensee must conduct the State Patrol sex offender registry check. All registry checks must be completed before the individual assumes responsibility for the care and supervision of children. Any individual who is listed on any of the registries must not be on the premises during the hours of operation, except that a parent listed as a perpetrator may be allowed on the premises only to pick up or drop off his/her child.
4-006.03C Reports of Law Enforcement Contact: The applicant/licensee must complete a Report of Law Enforcement Contact for him/herself if an individual or an individual in a partnership, and must obtain a completed report for each staff member and volunteer age 19 or older and each household member age 19 or older if the center is located in a private residence. The report must:
1. Be updated, signed, and dated annually;
2. Be updated any time one of these individuals is arrested, issued a citation other than a minor traffic violation, or charged with or convicted of any felony, misdemeanor, or infraction;
3. List all previous and pending criminal charges and arrests, both felony and misdemeanor, regardless of prosecution;
4. List any record of felony and/or misdemeanor charges and arrests related to crimes against children;
5. List any record of felony and/or misdemeanor convictions;
6. List any current or past parole or probation status, including diversion or court supervision; and
7. List details, dates, county and state of the contact, arrest, charge, conviction, and disposition, if any.
4-006.03D Notification of Law Enforcement Contact:
As soon as the licensee/director becomes aware of the occurrence, s/he must notify the Department of any arrest, misdemeanor ticket other than a traffic violation, pending criminal charges, and any felony or misdemeanor convictions of him/herself, staff, volunteers, or household members if the center is located in a private residence.
The licensee/director must request a criminal history record check on the individual within five working days. Failure to notify the Department of law enforcement contacts as described may result in disciplinary action.
4-006.03E Investigations and Repeat Registry Checks
1. Any time the licensee/director has reason to believe that a staff member or volunteer is being or has been investigated for abuse, neglect, or sexual abuse of a child or vulnerable adult, the licensee/director must submit the name of that individual to the Department for a check with the child abuse/neglect or adult protective services registry.
2. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
4-006.03F Health Information Report: The applicant, if an individual or an individual in a partnership, must submit a completed Health Information Report on a form provided by the Department for him/herself as part of the initial application.
All staff who are responsible for the care and supervision of children for more than 20 hours per week must complete the report within 30 days of hiring. The Health Information Report must be completed annually.
The Health Information Report must include an assessment by a health professional of the individual and any health conditions that could negatively affect his/her ability to care for children. If the information indicates that the individual has, or has had, a health condition that could negatively affect his/her ability to care for children, the Department may request additional information.
4-006.04 Director Qualifications: The director must be at least 19 years of age and of good moral character, and must meet one of the following requirements:
1. Hold a bachelor’s degree from an accredited college or university in early childhood education, education or child/youth development;
2. Hold a bachelor’s degree from an accredited college or university and at least six credit hours in early childhood education, education or child/youth development;
3. Have an associate degree from an accredited college or university in early childhood education, education or child/youth development;
4. Have a Child Development Associate Credential;
5. Have successfully completed six credit hours or 36 clock hours of Department-approved training in administration, early childhood education, education, or child/youth development. Business courses may be included, not to exceed one-half of the credit or clock hour requirements; or
6. Have a high school diploma or GED and 3000 clock hours of verifiable experience in organized group activities for school-age children as indicated by a positive reference from a former employer or supervisor.
4-006.05 Teacher Qualifications
4-006.05A Certificated Teachers: An individual who holds a valid Nebraska Teaching Certificate and who is employed as a staff member or used as a volunteer at a licensed school-age-only center that is on the premises of an accredited or approved school will be considered to have met the qualifications, background checks, health information, and training requirements in these regulations.
4-006.05B Non-Certificated Teachers: To be employed as a teacher in a licensed school-age-only center, an individual who is not a certificated teacher must be at least 18 years of age and of good moral character, and must meet one of the following requirements:
1. Hold a bachelor’s degree from an accredited college or university in early childhood education, education or child/youth development;
2. Hold an associate degree from an accredited college or university in early childhood education, education or child/youth development;
3. Have a Child Development Associate Credential; or
4. Have a high school diploma or GED; and
(1) 1500 verified clock hours of experience in organized group activities for school-age children as indicated by a positive reference from a former employer or supervisor; or
(2) Submit a written plan for Department approval to acquire at least three credit hours or 45 clock hours of training in administration, early childhood education, education, or child/youth development, in a period not to exceed six months. The licensee must maintain a copy of the written plan and Department approval for Department review.
4-006.06 Substitute, Support Staff, Volunteer, and Parent Helper Qualifications
1. The director may hire substitute staff. The substitute must meet the age requirement for the position s/he is assuming and be of good moral character. If the substitute works over 20 hours per week and is counted in the staff-to-child ratio, the substitute must meet the staff requirements for the position s/he is assuming.
2. The director may hire support staff to assist in the care of children. Support staff must be at least 16 years of age and be of good moral character. A teacher must be in the room with support staff at all times when children are in care.
3. The director may use volunteers and uncompensated parent helpers. Volunteers and uncompensated parent helpers are not counted in the staff-to-child ratio. Volunteers and uncompensated parent helpers must be supervised by the director or a teacher at all times and must not be left alone with any children other than their own.
4-006.07 Director Orientation and Training: When a new center director is employed, that individual must complete Department-approved director orientation within 30 days of starting employment. The director must also complete:
4-006.07A Safety Training: The director must complete training developed by the Early Childhood Training Center on child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. In centers licensed on or after the operative date of these regulations, the director must complete the training within three years of the date of provisional licensure and every five years thereafter.
2. In centers licensed before the operative date of these regulations, the director must complete the training within three years of that operative date and every five years thereafter.
3. This training counts toward the annual training requirement.
4-006.08 Teacher Training: The licensee must ensure that teachers employed at the center complete the following training:
4-006.08A Safety Training: Teachers must complete training developed by the Early Childhood Training Center on child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. Beginning three years after the operative date of these regulations, 50% of all teachers employed by the center must have completed this training.
2. This training counts toward the annual training requirement.
4-006.08B Evidence of Teacher Training: The director must maintain a list of all teachers for each calendar year that identifies which individuals have completed:
1. Orientation training;
2. Safety training;
3. Clock hours of annual training; and
4. CPR and First Aid training.
4-006.09 Staff and Volunteer Orientation and Training
4-006.09A Orientation: When new staff or volunteers are employed, those individuals must be provided with orientation prior to their having direct responsibility for the care of children. The orientation must include:
1. Job duties and responsibilities;
2. Infection control practices including proper hand washing techniques, personal hygiene, and disposal of infectious material;
3. Information on abuse, neglect and sexual abuse of children and the state’s reporting requirements;
4. School-age-only center regulations;
5. Evacuation plans in the event of fire;
6. Safety plans in the event of a tornado;
7. Emergency preparedness in the event of a natural or man made disaster; and
8. The center’s method of interacting with children and discipline policies.
4-006.09B Nutrition and Food Safety Training: When meals are served, all staff responsible for menu planning, food preparation, and food safety must be provided at least four clock hours of training in nutrition and food safety within 30 days of employment and annually thereafter.
4-006.09C Transportation Training: Individuals who transport children on behalf of a school-age only center must:
1. Receive and maintain a valid certificate of completion of the “Safe Kids Buckle Up” program within 90 days of employment and every five years thereafter. Individuals who transport children who were employed before the operative date of these regulations must receive and maintain a valid certificate of completion for “Safe Kids Buckle Up” within one year and every five years thereafter. Any proposed equivalent training must be approved by the Department.
2. Maintain valid certificates for Cardiopulmonary Resuscitation (CPR) and First Aid Training. Individuals who transport children who were employed before the operative date of these regulations must complete CPR and First Aid Training within one year and maintain valid certificates thereafter.
4-006.09D Annual Training: Each staff member, not including substitutes or volunteers, who provides direct care to children must obtain a minimum of 12 clock hours of training annually. Staff who work 20 hours or less each week must complete six hours of training annually.
4-006.09D1 Training must include but is not limited to the following topics:
1. Safe Environments;
2. Healthy Environments;
3. Learning Environments;
4. Physical Development;
5. Cognitive Learning;
6. Communication;
7. Creative Learning;
8. Self-Esteem;
9. Social Development;
10. Guidance;
11. Family Relationships;
12. Program Management; and
13. Professionalism.
Audio, video, and reading material specific to one or more of these training topics will count toward the annual training requirement only if an Independent Learning Summary is completed on a form provided by the Department. The actual length of audio and video material will be counted, and 50 pages of text will be considered equal to one clock hour of training. Two hours of CPR and one hour of First Aid will be counted toward the annual training requirement in the year each is taken.
4-006.09D2 Each clock hour spent participating in any of the following types of activities counts toward the annual training requirement:
1. Center-sponsored training;
2. Workshops and conferences;
3. College courses;
4. Non-credit course work; and
5. Adult education courses.
4-006.09E CPR and First Aid Training
1. CPR training must be obtained from an entity that has been approved by the Nebraska Board of Emergency Medical Services. The Department will provide the program with information about approved CPR courses.
2. At least one staff member with current CPR and First Aid training must be on the premises at all times during the hours/days of operation.
3. The CPR card and documentation of First Aid training must be available upon request.
4-006.10 Employee Records Requirements: The licensee must ensure the following employee records are maintained, updated as needed, and made available to the Department upon request. Records must be maintained for at least one year after an employee leaves the center.
4-006.10A Staff: Records for all staff, except substitutes and volunteers, must include:
1. Name;
2. Address and telephone number;
3. Social Security Number;
4. Date of hire/termination;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. A completed Health Information Report;
8. Documentation of Nebraska registry checks with no adverse findings;
9. Documentation that the individual has met the qualifications for the position;
10. Documentation of orientation training and required ongoing training; and
11. Documentation that the individual has read and understands these regulations.
4-006.10B Substitutes: Records for each substitute must include:
1. Name;
2. Address and telephone number;
3. Social Security number;
4. A completed Report of Law Enforcement Contact;
5. Documentation of a criminal history record check;
6. Documentation of Nebraska registry checks with no adverse findings;
7. Documentation that the individual has met the qualifications for the position; and
8. Documentation that the individual has read and understands these regulations.
4-006.10C Volunteers: Records for each volunteer must include:
1. Name;
2. Address and telephone number;
3. Start date;
4. A completed Report of Law Enforcement Contact;
5. Documentation of Nebraska registry checks with no adverse findings; and
6. A written schedule that includes the hours and days of the week the individual serves as a volunteer.
4-006.11 Child’s Record: A Child’s Record must be completed before the child’s enrollment. The record must be kept current and available for review upon request by the Department. A Child’s Record form may be used or a form may be created and must contain the following information for each child:
1. Name of child;
2. Birthdate of child;
3. Enrollment date;
4. Date care ceased, if applicable;
5. Parent or guardian’s home address and telephone number;
6. Parent or guardian’s employment address and telephone number;
7. Individual to whom the child may be released by the caregiver;
8. Individual who will take responsibility for the child in an emergency when the parent or guardian cannot be reached;
9. Consent to contact a physician in an emergency;
10. Current health status of the child; and
11. List of child’s allergies and intolerance to food, insect bites, or stings, or other factors that result in a medical reaction, and clear instructions in the event of an exposure to the factor.
4-006.12 Parent Information Brochure: At the time of enrollment, the licensee must give the parent(s) of each enrolled child a Parent Information Brochure provided by the Department. The licensee must maintain receipts signed and dated by the parent and make the receipts available for review by the Department.
4-006.13 Description of Center Services and Policies: The licensee must ensure that the school-age-only center has a written description of center services and written policies, and that they are available to the Department. Copies of both must be given to all staff and the parents of all enrolled children, except that the center is not required to give parents the center’s personnel policies. The licensee must maintain receipts signed and dated by the staff and parent and make the receipts available for review by the Department.
4-006.13A Description of Services: The center must have a written description of the range of services available. The written description must include:
1. Ages of children served;
2. Days and hours of operation;
3. A description of the center’s child development program;
4. Special services provided;
5. What is expected of parents;
6. Name, address, and phone number of the center’s owner or authorized representative; and
7. Information provided by the Department that describes how regulations can be accessed, how child care licensing staff can be contacted, and how complaints can be made.
4-006.13B Center Policies: The center must have written policies on:
1. Exclusion of ill children;
2. Conditions for suspending and terminating care;
3. Fees/contract information for parents;
4. Verifying the identification of individuals approved to remove children from the center;
5. Parent grievances, questions, or concerns; and
6. Personnel policies, including:
a. Staff qualifications;
b. Staff training requirements;
c. Staff discipline procedures; and
d. Staff immunization and exclusion of ill staff.
4-006.14 Licensed Capacity, Staffing Requirements, and Staff-to-Child Ratio
4-006.14A Licensed Capacity: The number of children in care at any one time must not exceed the center’s licensed capacity. Licensed capacity will be determined by the Department based on available space and the capacity authorized by the State Fire Marshal or delegated authority. Whichever number is smaller will be the licensed capacity of the center. In determining whether the licensed capacity has been exceeded, any children over age 13 receiving care for compensation and any adults receiving care and supervision are included in the count. All children are counted except:
1. Children who have left the center for an activity and will not be returning that day; and
2. Children who are enrolled in the center and in attendance at school.
4-006.14B Staffing Requirements
1. All staff must be awake and alert to the needs of the children at all times, including napping/sleeping times.
2. Each room where children are receiving care must have a teacher who is involved with the direct care of children.
3. During naptime, at least one teacher must be in the room where children are napping, as long as the staff-to-child ratio is maintained center-wide.
4. At least two staff members must be on the premises at all times, except when the number of children in care is 15 or fewer.
4-006.14C Staff-to-Child Ratio: The center must maintain accurate staff and daily attendance records to verify compliance with staff-to-child ratios. Compliance with staff-to-child ratios is determined on a center-wide basis. Only staff involved in the direct care of children are counted. The following staff-to-child ratio must be met at all times.
Age of Children | Number of Children in Care | Number of Staff Required |
School-age | 15 | 1 |
4-006.15 Communicable Diseases: The Department will provide the center with information about communicable diseases to assist the center in carrying out its responsibilities.
4-006.15A Notification to Parents: The licensee/director must notify parents of all enrolled children of any case of any reportable communicable disease on the same day the licensee is informed of or observes the illness, unless otherwise directed by the health authority. The health authority is the local health department for the area. Proper notification includes:
1. Notification to parents of children in attendance;
2. Notification to parents of enrolled children who are not in attendance on that day; and
3. Posting notice of the outbreak in a conspicuous place.
4-006.15B Confidentiality: Names of ill children must not be released to anyone except health authorities, unless parents have given their permission.
4-006.15C Health Authority: The center must follow all directives given to the licensee by the health authority in the event of a communicable disease outbreak.
4-006.16 Children Excluded Due to Illness: The center must have a written policy that identifies the circumstances under which children would be excluded from child care due to illness. To assist in writing the policy, the Department will provide the licensee with materials that will include recommendations on:
1. Exclusion based on specific conditions such as fever, diarrhea, vomiting, etc.; and
2. Exclusion based on specific contagious and infectious diseases such as chickenpox, measles, mumps, etc.
The center must enforce its own exclusion policy and make it available to the Department and to the parents of enrolled children.
4-006.17 Immunizations: If a school-age-only center is located on the premises of a school and the staff have access to the school’s child immunization records, copies of immunization records are not required. For all other centers, within 30 days of a child’s enrollment, the licensee/director must obtain a copy of the child’s immunization record. Immunization records must be available for review upon request by the Department and updated each time the child receives additional immunizations. Each child’s immunization record must include:
1. Documentation of age-appropriate immunization;
2. Certification by a physician, advanced practice registered nurse, or physician assistant that immunization is not appropriate for a stated medical reason; or
3. A written statement that the parent or guardian does not wish to have the child immunized and the reasons for that decision.
4-006.18 Supervision of Children: Adequate and appropriate supervision must be provided to children at all times children are in attendance, including during outdoor play. Ultimate responsibility for supervision rests with the licensee.
4-006.18A Permission for Off-Premises Supervision: The licensee must ensure that parents are informed and give written permission when children will be outside the premises of the center and supervised by center staff. Written permission must be available to the Department on request.
4-006.18B Permission for Child to Leave Premises: If children participate in activities that are not provided or supervised by center staff and are outside the premises of the center, the licensee must ensure written permission is obtained from the parent. The written permission must be available to the Department upon request and must indicate the following:
1. The parent gives permission for their child(ren) to leave the center premises; and
2. The parent understands the licensee is not responsible for supervision while children participate in activities outside the center premises or outside the supervision of center staff.
4-006.19 Discipline: When parents are not present, the responsibility for the discipline of children in care lies only with the licensee/director or the designated substitute.
4-006.19A Prohibited Forms of Discipline: The following actions are prohibited as a form of discipline:
1. Spanking;
2. Slapping;
3. Pinching;
4. Punching;
5. Shaking;
6. Striking with any object;
7. Use of soap, hot sauce, or other unpleasant food and non-food items;
8. Isolating a child in a locked or closed room or closet;
9. Handling roughly;
10. Biting;
11. Denial of food;
12. Forced napping;
13. Subjecting children to derogatory remarks about the child or the child’s family;
14. Abusive or profane language directed at children;
15. Yelling or screaming at children;
16. Threats of physical punishment; or
17. Mechanical restraints.
4-006.19B Child Behavior That Cannot Be Disciplined: Children must not be disciplined for:
1. Toileting accidents;
2. Refusal to take medication; or
3. Refusal to eat.
4-008.19C Use of Time Out: Separation from the group, if used, must be brief and appropriate for the child’s age. The time out period must:
1. Take place within a safe, lighted, and well-ventilated area;
2. Occur within direct vision of staff; and
3. Not exceed more than one minute for each year of the child’s age. If the time a child spends in time out is extended, it must be carried out as indicated by a behavioral management plan developed and monitored by a licensed or certified professional qualified to identify the special needs of a child, as having a physical, emotional, or social developmental delay or impairment.
4-006.19D Use of Physical Hold: Center staff may restrict a child’s movement by the use of a physical hold. A physical hold may be used only:
1. When the child is hurting him/herself, others, or property;
2. When the hold does not prevent the child from breathing or speaking; and
3. Until the child is calm and able to demonstrate reasonable control of his/her behavior.
4-006.19D1 Notification and Documentation: The licensee/director must notify the child’s parents within 24 hours of the physical hold when a physical hold is used on their child. Written documentation of each use of a physical hold must be available for review by the parents of the child involved in the physical hold and the Department. The documentation must include:
1. Child’s name;
2. Date of the incident;
3. Description of the incident; and
4. Names of the staff involved.
4-006.19E Use of Restraints: The use of restraints is prohibited except under the following conditions:
1. All staff who participate in restraining a child must have received prior training in de-escalation and the use of restraints;
2. The training curriculum must be accepted by the Department;
3. The training must be taught by a certified trainer; and
4. Written documentation of each use of restraint must be available for review by the parents of the child involved in the restraint and the Department. The documentation must include:
a. Child’s name;
b. Date of the incident;
c. Description of the incident; and
d. Names of the staff involved.
4-006.20 Prohibited Language, Materials, and Actions: Children of any age must not be exposed to:
1. Profanity used by staff;
2. Sexually explicit material;
3. Acts of violence toward a person or animal; or
4. Acts of racism.
4-006.21 Child Development Program: The licensee must provide an age-appropriate program designed to promote the cognitive, social, emotional, and physical development of children in care. Information about the program must be given to parents and the Department upon request. The program must include:
1. Indoor activities;
2. Outdoor activities;
3. Rest periods and other quiet times;
4. Opportunities for individual and group times;
5. Opportunities for children to read and explore books;
6. Opportunities for socialization; and
7. Fostering language and social development by talking and interacting with children and modeling appropriate language and behavior.
4-006.21A Children’s Equipment and Materials: The licensee must provide a sufficient number of age-appropriate equipment and reading materials so that, at any one time, each child can be individually involved.
1. Equipment/materials and reading material must be offered to children; and
2. Equipment/materials and reading material must be replaced as needed.
4-006.21B Sleeping Surfaces: When children nap or sleep at the center, the licensee must ensure that appropriate sleeping surfaces are available for each child in care. Acceptable sleeping surfaces for school-age children are:
1. Beds;
2. Cots;
3. Sofas;
4. Washable sleeping bags; and
5. Waterproof mats which must be at least one inch thick and at least 45 inches long.
4-006.22 Wading and Swimming Activities: Children must be accompanied, kept safe, and adequately supervised during wading and swimming activities while in care.
4-006.22A Prohibited Water Sources: Children must not be allowed to use the following water sources for swimming or wading activities:
1. Natural bodies of water;
2. Hot tubs, spas or saunas;
3. Livestock tanks; or
4. Decorative ponds.
4-006.22B Wading: If the licensee allows children to participate in wading or other water play activities:
1. Children must be accompanied and directly supervised; and
2. The licensee must ensure that the wading pool is drained and sanitized daily and is inaccessible to children when not in use.
4-006.22C Permission for Non-Center-Supervised Activities Off the Premises: If the licensee does not allow children to participate in swimming activities while in care, but a parent requests that their child leave the premises to go to a swimming pool, the licensee must obtain a written and signed statement from the parent that is kept on file on the premises and available to the Department upon request. The statement must indicate that the child is allowed to leave care and must acknowledge that the licensee is not responsible for supervision.
4-006.22D Permission for Center-Supervised Activities Off the Premises: If the licensee allows children in care to participate in swimming activities under the supervision of center staff but off the center’s premises, the licensee must obtain a written, signed, and dated statement from the parent that is updated annually. The statement must be available to the Department upon request, and must indicate the following:
1. The parent gives permission for their child(ren) to leave the center’s premises for swimming/wading;
2. The location of the pool where the child is allowed to swim; and
3. Whether the child is allowed to swim in water over his/her head.
4-006.22E Licensure of Swimming Pools: The licensee must ensure that swimming pools off the center’s premises where children are taken are licensed by the Department.
4-006.22F Water Safety
1. When a swimming or non-portable pool is in use (except in the case of organized swimming lessons), the staff-child ratio in 4-006.22H3 must be maintained:
2. When the depth of a pool’s water is over four feet, the licensee must ensure that someone who has satisfactorily completed a swimming water safety course is on duty at all times children in care are at the pool.
4-006.22G Pool on the Premises Not Used by Children in Care: The licensee must meet the following requirements if an above-ground or in-ground swimming pool is on the premises that children in care are not allowed to use:
1. The pool must be enclosed with a fence that is at least four feet high and flush with the ground;
2. Above-ground pools must have non-climbable side walls;
3. When a pool is covered, the cover used must be the manufacturer’s recommended cover;
4. Equipment needed to rescue a child or adult must be readily accessible; and
5. Children must be accompanied and directly supervised if the pool is located in the outdoor play area.
4-006.22H Pool on the Premises Used by Children in Care: If children in care are allowed to use a pool on the premises, the licensee must meet the requirements in 4-006.22G and:
1. Have a permit issued by the Department;
2. If the depth of the water is over four feet, an individual who has satisfactorily completed a swimming water safety course must be on duty at all times children are at the pool; and
3. Maintain the following staff-to-child ratios:
| Number of Children | Number of Staff Required |
School-age | 6 | 1 |
4-006.23 Transportation: When transportation is provided for children in care, the licensee must ensure the following conditions are met:
1. No child must ever be left alone in the vehicle;
2. Smoking is prohibited in the vehicle used to transport children;
3. All doors on the vehicle must be locked when the vehicle is in motion;
4. Any individual who transports children must be at least 18 years of age, and must possess a current and valid driver’s license for the type of vehicle used to transport children, as verified by the Department of Motor Vehicles;
5. The vehicle used to transport children must be properly registered and insured, and must contain a first aid kit and parent contact information for each child being transported;
6. The number of children transported must not exceed the seating capacity of the vehicle as indicated by the manufacturer;
7. All children transported must be properly secured in the appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268;
8. All car/booster seats must be federally approved and must be the correct type for the child’s age and developmental level;
9. Written permission from parents for the center to transport children must be obtained, kept on file, and made available to the Department;
10. Children must not be transported to any location without the prior knowledge of the parents, except in a medical or other emergency;
11. Children must not be transported to avoid violations of capacity or staff-to-child ratio;
12. School-age children only may be transported with no staff in addition to the driver;
13. School-age children only may be transported in buses over 10,000 pounds, unless the bus is equipped with and the children are properly secured in the appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268; and
14. The center must have a written transportation policy that is given to all staff who transport children and is available to parents and the Department upon request. The transportation policy must describe:
a. Restraints and safety equipment;
b. Procedures to ensure children are never left alone in a vehicle at any time; and
c. Emergency procedures in the event a child becomes ill, the vehicle breaks down or is involved in an accident, or other emergencies.
4-006.24 Medications: The licensee must ensure the following conditions are met when center staff give or apply medication.
4-006.24A Giving or Applying Medication: Any staff who gives or applies medication must do so in accordance with the “Five Rights” as set out in the Medication Aide Act. The Five Rights are:
1. The right drug;
2. The right recipient;
3. In the right dose;
4. By the right route; and
5, At the right time.
4-006.24B Competence to Give or Apply Medication: Parents or any licensed health care professional are responsible for determining if center staff are competent to give or apply medication. Any licensed health care professional, as directed by the prescribing health professional, is competent to give or apply medication under any circumstances as long as it is within the scope of practice of that health care professional. The center director has the responsibility to assess the ability of staff to give or apply medication.
4-006.24C Confidentiality: Any staff who gives or applies medication must not disclose information about a child’s medication or physical or mental health condition unless such information is needed to protect the health of other children or staff.
The use of a posted medication sign-in sheet does not violate confidentiality if the parent has been advised in writing that the parent has the option of using a private method of informing center staff of the child’s medication needs.
4-006.24D Written Permission and Instructions: Any staff who gives or applies prescription or non-prescription medication may do so only with prior written permission and written instructions from a parent. Staff must comply with the instructions provided by the parent or inform the parent the medications will not be given or applied.
1. Any error in the giving or applying of medication must be reported to the parent.
2. The dosage must not exceed that which is printed on the label.
3. Expired medication must not be given or applied to a child and must be returned to the parent or destroyed.
4-006.24E Unusual Circumstances: The licensee must obtain a written statement from the licensed health care professional who prescribed the medication allowing center staff to give the medication when:
1. Any prescription medication is given or applied as needed (PRN); or
2. By a route other than oral, topical, inhalant, or instillation.
The written statement must describe the route and what symptoms need to exist in order for the medication to be given or applied.
4-006.24F Hand Washing: All individuals must properly wash their hands before giving or applying any medication. If handling any bodily fluids is involved, individuals must properly wash their hands after giving or applying medication.
4-006.24G Storage: All medications must be kept in proper storage. This includes:
1. All prescription and non-prescription medications must be kept in locked storage at all times children are in care;
2. Separate locked storage must be provided for medications requiring refrigeration;
3. All medications must be kept in the original container and stored according to instructions, clearly labeled for a named child, and returned to the parent when no longer needed; and
4. Over-the-counter, non-toxic topical ointment such as lip balm, petroleum jelly, sun block and diaper ointment must be kept out of the reach of children.
4-006.24H Record-Keeping: The licensee/director must maintain a record as to the time and amount of medication given or applied.
4-006.24I Children Taking/Applying Medication: With written permission of the parent, a school-age child may take or apply his/her own medications at the direction of the parent who is responsible for direction and monitoring.
4-006.25 Food Service: The licensee must ensure that meals and snacks that are appropriate to the needs of the children in care are served to all children in attendance. Weekly menus must be given to parents upon request. Meals and snacks must:
1. Be appropriate to the age and development of the child;
2. Address children’s allergies and food intolerance; and
3. Meet established USDA requirements regarding food groups and serving sizes.
Meals and snacks provided by parents must be supplemented if USDA requirements are not met. If the child’s meals are not to be supplemented due to dietary concerns, a statement from a physician must be obtained and available indicating it is acceptable for the child to be served a meal that does not meet USDA requirements.
4-006.25A The center must offer at least the following number of meals and snacks, based on how long children are present:
2 ½ to 4 hours | One snack |
4 to 8 hours | One snack and one meal |
8 to 10 hours | Two snacks and one meal |
10 or more hours | Two snacks and two meals |
4-006.26 Food Safety: The licensee must ensure that the center complies with the Food Code whenever food is prepared and/or served on the premises of the center. If the center serves food prepared at another location, the licensee must ensure that the individual or organization preparing the food is in compliance with the Food Code.
4-006.27 Emergency Preparedness
4-006.27A Telephone: A working, non-coin operated telephone must be available on the premises at all times. Emergency telephone numbers, including fire, rescue, police (or 911) and Poison Control, must be prominently posted.
4-006.27B Fire and Tornado Drills: Fire and tornado drills must be practiced with the children and staff. Written documentation of drills, including dates conducted, must be kept and available for review by the Department.
1. Fire drills must be completed a minimum of once each month the school-age-only center is operating.
2. Tornado drills must be completed a minimum of four times per year during the months of March through September.
4-006.27C Fire and Tornado Safety Diagrams: Fire and tornado safety diagrams must:
1. Show the layout of the licensed school-age-only center area(s);
2. Be prominently posted and visible in each room where care is provided;
3. Include how the evacuation of children with special needs will be conducted;
4. Include fire evacuation routes; and
5. Include tornado safety locations.
4-006.27D Disaster Preparedness: The licensee must have a written plan that addresses:
1. Evacuating and moving children to a safe location in the event of a fire, tornado, flood or other natural or man-made disaster;
2. Notification of parents of children in care of an emergency;
3. Reunification of parents with their children in the event of an emergency that requires evacuation; and
4. How children with special needs will be safe in the event of a disaster including evacuation and reunification with the parent.
4-006.27E Notification to the Department of Emergencies: The licensee/director must notify the Department within 24 hours or next business day of the following occurrences at the center:
1. The death of a child;
2. Any accident or injury to a child which requires hospitalization or treatment at a medical facility;
3. When a child has been missing, lost, or left unsupervised on or off the premises; and/or
4. An emergency or disaster that results in damage to the School-Age-Only Center or the inability of the licensee/director to comply with regulations.
4-006.27F First Aid Kit: A first aid kit must be available on the premises. It must be inaccessible to children. If any poisons or medications are stored in the kit, it must be kept in locked storage. The kit must contain:
1. Fever thermometer;
2. Soap;
3. Bandages;
4. Sterile gauze pads;
5. First aid tape;
6. Scissors; and
7. Disposable gloves.
4-006.28 Environmental Services: The licensee must ensure that child care is provided in a safe, clean, comfortable environment. Every area and building on the same premises used for child care must comply with these regulations.
4-006.28A Housekeeping and Maintenance: The licensee must ensure that the necessary housekeeping and maintenance are provided to protect the health and safety of children in care. The center and grounds must be kept clean, safe, and in good repair.
1. The center and any building on the premises in or around areas where children are present must be kept free of exposed lead-based paint surfaces that are flaking, peeling, or chipped.
2. Rooms, walls, floors, and ceilings must be kept clean, dry, in good repair, and free of odor resulting from sewage, mold, mildew, or other environmental or biological hazards or unsanitary conditions.
3. Heating, ventilation, and lighting in all rooms used for child care must be adequate to protect the health of children.
4. The licensee must equip and maintain the premises to prevent the entrance, harborage, or breeding of rodents, flies and all other insects and vermin. All doors opening to the outside must be self-closing (except sliding doors) and all windows used for ventilation must be screened. The center must have effective screening of all openings to the outside when flies or other flying insects are present.
5. All garbage and rubbish must be disposed of in a manner that minimizes odor and the transmission of infectious diseases, and prevents the attraction of rodents, flies, and all other insects and vermin. This includes:
a. Using containers, both indoor and outdoor, for garbage and rubbish that are watertight, have tight fitting covers, and are fly and rodent proof;
b. Keeping all garbage and rubbish containers clean; and
c. Not burning garbage on the premises.
6. If carpeting is used in a bathroom, it must be removable, washable, and non-shag.
7. Carpeting is prohibited in the food preparation area.
8. In rooms where food is stored or prepared:
a. Walls and ceilings must be smooth, of easily cleanable construction, and finished in a light color; and
b. Walls subject to splash must have a smooth, washable surface.
4-006.28B Maintenance of Materials, Equipment, Fixtures, and Furnishings: The licensee must ensure that materials, equipment, fixtures, and furnishings used in the center are kept clean, safe, and in good repair.
1. The licensee/director must create and follow a process for routine and preventative maintenance of materials, equipment, fixtures, and furnishings so they are kept safe, in good repair, and available to meet the intended use. This includes ensuring no sharp edges, rust, or loose parts.
2. Furniture and equipment must be arranged so as not to interfere with exits.
4-006.29 Environmental Safety: The licensee is responsible for maintaining a safe and hazard-free environment to protect the health and safety of children in care.
4-006.29A Smoking: Smoking anywhere indoors in a school-age-only center is prohibited at all times, unless the center is located in a private residence. If the center is located in a private residence, the licensee must ensure that:
1. No one smokes indoors during the hours of operation when one or more children who are not occupants of the residence are present; and
2. Parents are informed before enrollment if the licensee or any household member smokes.
4-006.29B Alcohol and Controlled Substances
1. If the center is located in a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be consumed in any area used for child care whenever any child in care is present.
2. If the center is not located in a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be present in any area used for child care during the hours of operation.
3. The unlawful use or possession of controlled substances, as defined by Neb. Rev. Stat. §§ 28-401 to 28-403 and 28-439, is prohibited. Controlled substances that have not been legally prescribed must not be on the premises.
4-006.29C Animals/Pets: The licensee must ensure that any animal at the center does not negatively affect the children. The licensee must:
1. Have all pets examined annually by a licensed veterinarian and have documentation available;
2. Complete all vaccinations recommended by the licensed veterinarian that include, at a minimum, current rabies vaccinations for dogs, household cats, and ferrets, and have documentation available;
3. Have provisions for pet care necessary to prevent the acquisition and spread of fleas, ticks and other parasites;
4. Ensure that no animals are allowed in the food preparation, food storage, or serving areas during food preparation and serving times; and
5. Comply with any state or local law or ordinance relating to the care and ownership responsibilities of pets or specific breeds identified by those laws or ordinances.
4-006.29D Prohibited Animals: Exotic or unusual animals, or any animal that has bitten or attacked anyone without provocation or has been determined by the local health authority to be dangerous, must not be allowed on the premises during the hours of operation.
4-006.29E Other Environmental Safety Requirements
1. Surfaces must be smooth and free of sharp edges, mold, or dirt, and the environment must be kept free of other conditions which may pose a potential risk.
2. All cleaning agents, medications (both prescription and nonprescription), and poisonous materials must be kept in locked storage at all times children are in care. Separate locked storage must be provided for medications requiring refrigeration.
3. All firearms, other potentially hazardous weapons, weapon accessories, and ammunition must not be on the premises of the center, unless the center is located in a private residence.
a. If the center is located in a private residence, all firearms, other potentially hazardous weapons, weapon accessories, and ammunition must be kept in locked storage. Firearms must be unloaded and ammunition must be stored separately from firearms.
4. Electrical outlets within reach of children under age six must be covered with safety caps, ground fault interrupters, or have safety outlets installed.
5. Shared use of the following items is prohibited:
a. Disposable towelettes;
b. Drinking containers, cups, or glasses;
c. Personal care items such as toothbrushes and hair brushes; and
d. Towels and washcloths.
6. The licensee must ensure storage that is:
a. Clean and adequate for all personal items of staff;
b. Clean and adequate for all personal items of children;
c. Covered and waterproof for soiled or wet clothing; and
d. For staff and children’s storage, areas separate from where food and medication are kept.
7. Deep freezers that cannot be opened from the inside must be locked or stored in a locked room.
4-007 PHYSICAL PLANT STANDARDS: The center must be designed, constructed and maintained in a manner that is safe, clean, and functional for child care. The following regulations apply to all areas of the center.
4-007.01 Activity Space: The center must have space for children’s activities, napping, and free play. The activity space must:
1. Have furnishings to accommodate all activities and age-appropriate needs of all children in care;
2. Be available for all children; and
3. Have at least 35 square feet of activity space per child. Bathrooms, kitchen, isolation room, office, passageways, storage, or space occupied by cots or built-in cabinets must not be considered when computing activity space.
4-007.02 Plumbing, Water Supply, and Sewer Requirements
4-007.02A Plumbing: The licensee must ensure that:
1. No plumbing fixture or other device that provides a connection between a drinking water supply and a drainage, soil, waste, or other sewer pipe so as to make possible the backflow of sewage or waste water into the potable water supply system. Water that has been used for cooling or for any other purpose must not be returned to the system; and
2. All plumbing conforms to the local plumbing code. Where no plumbing code is in effect, plumbing must conform to national standards as provided in Neb. Rev. Stat. § 18-1915.
4-007.02B Water Supply: The licensee must ensure the center has and maintains an accessible, adequate, safe, and potable supply of water for drinking, food preparation, and hand washing.
1. If water is obtained from a source other than a public water supply system, the water must not contain contaminants that exceed the maximum contaminant levels set for nitrate, or total coliform for public water supply systems in 179 NAC 2-002, and 179 NAC 3 or the lead action level set in 179 NAC 12. The licensee must report to the Department the results of all tests that show the water contains contaminants that exceed a maximum contaminant or action level.
a. The water supply must be tested annually and the tests results must be available for review upon request.
b. If the water supply does not meet nitrate, total coliform bacteria and lead standards, the licensee must, until the contaminants are lowered to acceptable levels:
(1) Obtain water from a source approved by the Department; or
(2) Purchase water from a commercial source.
2. Drinking water must be provided by sanitary drinking fountains or individual or disposable cups.
a. Drinking fountains must have mouth guards with water issuing under sufficient pressure.
b. Sanitary dispensing and disposal units must be provided for paper cups.
3. The licensee must ensure that:
a. Running water under pressure is provided;
b. Each hot water storage tank is provided with a pressure and temperature relief valve;
c. Adequate water heating facilities are provided so that a sufficient amount of hot water for general cleaning as well as washing and sanitizing utensils is available at proper temperatures;
d. Water supply to all hand washing and bathing locations is maintained between a minimum of 100 degrees Fahrenheit and a maximum of 120 degrees Fahrenheit; and
e. Soap is available for hand washing.
4-007.02C Sewer Requirements: When a municipal sewage system is not available, the licensee must:
1. Collect, treat, and dispose of sewage and all liquid waste with a sewage system that conforms to local ordinances; or
2. Where local ordinances do not exist, sewage disposal systems must comply with the regulations of the Nebraska Department of Environmental Quality.
4-007.03 Outdoor Play Area: An outdoor play area must be available. The area must:
1. Accommodate at least 25 percent of the licensed capacity at one time;
2. When in use, have at least 50 square feet per child of age-appropriate outdoor play space;
3. Have grounds sloped or drained to prevent stagnant water collection;
4. Be kept clean and safe and contain no accident hazards, debris, or stagnant water;
5. Contain no barnyard animals and/or fowl; and
6. Be free of animal waste.
4-007.03A All equipment within the outdoor play area must be free of rust and free of sharp and hazardous edges.
4-007.03B Outdoor Play Equipment: The licensee must ensure that:
1. Stationary outdoor equipment such as climbing apparatus, swings, or slides must be located away from traffic areas in the outdoor play area;
2. Stationary outdoor equipment must be securely anchored, unless designed to be portable; and
3. Swing seats must be made of a pliable material. Seats must not be made of hard plastic, wood, or metal.
4-007.03C Playground Surfaces: The area under climbing equipment, swings, slides, and other equipment from which children might fall must be of resilient material such as sand, dirt, grass, rubber matting, rubber mulch, wood chips, or small-to-medium size gravel.
4-007.04 Toilets and Sinks: The center must have sufficient toilets and sinks available for children’s use. A minimum of one operable toilet and one operable sink must be available per 15 children. Toilet rooms must be fully enclosed. A sink must be readily available to each toilet. Sanitary dispensing and disposal units must be provided for paper towels and are installed at heights convenient for the children’s use. Toilets and sinks must be:
1. Conveniently located;
2. Clean, operable, and in good repair;
3. Designed to accommodate children with special needs, when applicable; and
4. Of suitable height for children or have a safe stepstool.
4-007.04A If a door to the toilet room opens directly from a food service area, the door must be self-closing and tight-fitting.
4-007.04B The licensee must ensure that no adult or child resumes work or play after using the bathroom without first washing his/her hands.
4-007.05 Fire Safety: The licensee must maintain fire safety approval at all times.
4-007.06 Sanitation: The licensee must maintain sanitation approval at all times.
4-008 DENIAL AND DISCIPLINARY ACTIONS
4-008.01 Grounds for Denial or Disciplinary Action: The Department may deny the issuance of or take disciplinary action against a license on any of the following grounds:
1. Failure to meet or violation of any of the requirements of the Child Care Licensing Act or the rules and regulations adopted and promulgated under the Act;
2. Violation of an order of the Department under the Act;
3. Conviction of, or substantial evidence of committing or permitting, aiding or abetting another to commit, any unlawful act, including, but not limited to, unlawful acts committed by an applicant or licensee under the act, household members who reside at the place where the program is provided, or employees of the applicant or licensee that involve:
a. Physical abuse of children or vulnerable adults as defined in Neb. Rev. Stat. § 28-371;
b. Endangerment or neglect of children or vulnerable adults;
c. Sexual abuse, sexual assault, or sexual misconduct;
d. Homicide;
e. Use, possession, manufacturing or distribution of a controlled substance listed in Neb. Rev. Stat. § 28-405;
f. Property crimes, including, but not limited to, fraud, embezzlement, and theft by deception; and
g. Use of a weapon in the commission of an unlawful act;
4. Conduct or practices detrimental to the health or safety of an individual served by or employed at the program;
5. Failure to allow an agent or employee of the Department access to the program for the purposes of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
6. Failure to allow state or local inspectors, investigators, or law enforcement offices access to the program for the purposes of investigation necessary to carry out their duties;
7. Failure to meet requirements relating to sanitation, fire safety and building codes;
8. Failure to comply with or violation of the Medication Aide Act;
9. Failure to file a report of suspected abuse or neglect as required by Neb. Rev. Stat. § 28-372 and 28-711;
10. Violation of any city, village, or county rules, regulations, or ordinances regulating licensees; or
11. Failure to pay fees required under the Child Care Licensing Act.
4-008.02 Types of Disciplinary Action: The Department may impose any one or a combination of the following types of disciplinary action against a license issued under the Child Care Licensing Act:
1. Issue a probationary license;
2. Suspend or revoke a provisional, probationary, or operating license;
3. Impose a civil penalty of up to $5 per child, based upon the number of children for which the program is authorized to provide child care on the effective date of the finding of violation, for each day the program is in violation;
4. Establish restrictions on new enrollment in the program;
5. Establish restrictions or other limitations on the number of children or the age of the children served in the program; or
6. Establish other restrictions or limitations on the type of service provided by the program.
4-008.02A Considerations: In determining the type of disciplinary action to impose, the Department will consider:
1. The gravity of the violation, including the probability that death or serious physical or mental harm will result, the severity of the actual or potential harm, and the extent to which the provisions of applicable statutes, rules, and regulations were violated;
2. The diligence exercised by the program in identifying or correcting the violation;
3. The degree of cooperation exhibited by the licensee in the identification, disclosure, and correction of the violation;
4. Any previous violations committed by the program; and
5. The financial benefit to the program of committing or continuing the violation.
4-008.02B Additional Action: If the licensee fails to correct a violation or to comply with a particular type of disciplinary action, the Department may take additional disciplinary action.
4-008.03 Unpaid Fines: Any fine imposed and unpaid under the Child Care Licensing Act will constitute a debt to the State of Nebraska which may be collected in the manner of a lien foreclosure or sued for and recovered in any proper form of action in the name of the State of Nebraska is the district court of the county in which the program is located. The Department will, within 30 days after receipt, remit fines to the State Treasurer for credit to the permanent school fund.
4-008.04 Department’s Emergency Power: Whenever the Department finds that an emergency exists requiring immediate action to protect the physical well-being and safety of a child in the program, the Department may, without notice or hearing, issue an order declaring the existence of such an emergency and requiring that such action be taken as it deems necessary to meet the emergency. The order may include an immediate prohibition on the care of children by the licensee other than children of the licensee. An order under this subsection will be effective immediately. Any person to whom the order is directed must comply immediately, and upon application to the Department, the person will be afforded a hearing as soon as possible and not later than ten days after his or her application for the hearing. On the basis of such hearing, the Department will continue to enforce the order or rescind or modify it.
4-008.05 Re-Application After Revocation: A former licensee whose child care license has been revoked for any cause other than nonpayment of fees is not eligible to reapply for a license for two years. The former licensee must:
1. Apply for a provisional license;
2. Meet the requirements for provisional licensure in 4-003.01; and
3. Demonstrate to the Department’s satisfaction the ability and willingness to comply with all licensing regulations.
TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 5 - PRESCHOOLS
5-001 SCOPE AND AUTHORITY: These regulations will become operative three months after their effective date. These regulations govern the licensing of preschools by the Department of Health and Human Services. Statutory authority for these regulations is in the:
1. Child Care Licensing Act (Neb. Rev. Stat. §§ 71-1908 to 1923);
2. Child Protection Act (Neb. Rev. Stat. §§ 28-710 to 28-727);
3. Clean Indoor Air Act (Neb. Rev. Stat. §§ 71-5716 to 71-5734);
4. Quality Child Care Act (Neb. Rev. Stat. §§ 43-2601 to 43-2625);
5. Sex Offender Registration Act (Neb. Rev. Stat. §§ 29-4001 to 29-4014); and
6. Neb. Rev. Stat. §§ 4-108 to 4-114.
The Child Care Licensing Act requires the Department to develop regulations establishing standards for the physical well-being, safety, and protection of children in programs licensed under the Act. The purposes of the Act are to provide statewide licensure standards for persons providing child care programs and to provide the Department with authority to coordinate the enforcement of standards on licensees. The standards ensure that programs are providing proper care for and treatment of the children served, and that the care and treatment are consistent with the children’s physical well-being, safety, and protection.
The Child Protection Act authorizes the Department to use information in the state child abuse/neglect central register for purposes of licensing providers of child care programs, and the Clean Indoor Air Act addresses smoking in licensed child care programs.
The Quality Child Care Act requires the Department to develop regulations for mandatory training requirements for child care providers designed to meet the health, safety, and developmental needs of children and tailored to the needs of licensed providers. The Act states that the Legislature’s intent is to encourage high-quality, affordable, and accessible child care services that are educationally and developmentally appropriate.
The Sex Offender Registration Act authorizes the disclosure of information to providers who serve children for the purpose of conducting confidential background checks for employment.
Neb. Rev. Stat. §§ 4-108 to 4-114 provide that no state agency or political subdivision of the State of Nebraska may provide public benefits to a person who is not lawfully present in the United States. A child care license is considered a public benefit.
5-001.01 These regulations apply to Preschools, which provide a partial-day early child care program of primarily education services to any number of children age three or older, and where children do not nap and are not served a meal. A preschool may be located in the licensee’s residence or another location.
5-001.02 The following are exempt from mandatory licensure, but may be voluntarily licensed:
1. Any person who provides child care:
a. On an irregular, informal basis and with no established pattern of occurrence;
b. Without cost to the parents and who receives no form of compensation;
c. To three or fewer children at any one time, except by a person whose license has been suspended or revoked;
2. Recreation camps as defined in Neb. Rev. Stat. § 71-3101, a recreation facility, center, or program operated by a political or governmental subdivision pursuant to the authority provided in Neb. Rev. Stat. § 13-304;
3. Classes or services provided by a religious organization other than child care or a preschool or nursery school;
4. A preschool program conducted in a school approved under Neb. Rev. Stat. § 79-318;
5. Programs operated or contracted by a public school district and subject to the rules and regulations of the State Department of Education under Neb. Rev. Stat. § 79-1104;
6. Services provided only to school-age children during the summer and other extended breaks in the school year;
7. Care provided only to children 13 years of age or older;
8. Care provided for less than two hours per week on average;
9. Foster care as defined in Neb. Rev. Stat. § 71-1901;
10. Care provided by grandparents to only their grandchildren;
11. Care provided on federal military installations;
12. Care provided on Indian reservations by Native Americans; or
13. Care provided by non-Native Americans on Indian reservations when tribal authorities have assumed jurisdiction for regulating the care.
5-002 DEFINITIONS
Accredited school means a public school district or a nonpublic school or group of nonpublic schools under a governing body organized to provide education in elementary, middle, secondary, and/or high school grades accredited pursuant to 92 NAC 10. Adequate and appropriate supervision includes:
1. Knowing the whereabouts and being within sight or sound of all children at all times;
2. Being awake, alert, attentive, and responsive to the needs of all children, and
3. Protecting or removing children from harm.
Agency representative means an individual employed by or under contract with the Nebraska Department of Health and Human Services, the State Fire Marshal, or their designated agents. Ages of Children:
1. Infant means a child age 6 weeks to 18 months;
2. Toddler means a child age 18 months to 3 years;
3. Preschooler means a child age 3 or older who has not attended kindergarten; and
4. School-ager means a child who attends kindergarten or above.
Approved school means a nonpublic school or group of nonpublic schools under a governing body organized to provide education in elementary and/or secondary grades approved pursuant to Title 92 NAC 14.
Certificated teacher means an individual who holds a valid Teaching Certificate issued by the Nebraska Department of Education.
Child care means the care and supervision of children in lieu of parental care and supervision and includes programs. (See definition of program.)
Department means the Nebraska Department of Health and Human Services.
Designee means an individual given responsibility to act on another’s behalf.
Director means the individual who is responsible for the daily operation of the preschool, including compliance with all regulations, when that individual is not the licensee, as provided in 391 NAC 5-006.01(4) and 391 NAC 5-006.02.
Early Childhood Training Center means the entity authorized in Neb. Rev. Stat. § 79-1102 and established within the Nebraska Department of Education. Its purpose is to train individuals who provide education and development activities for infants and young children and their parents.
Family means individuals who are not household members and have one or more children enrolled in the child care program.
GED means a General Educational Development credential, also sometimes known as a General Education Diploma or General Equivalency Diploma.
Health authority means the local health department, which by law has the authority and duty for communicable disease control in the counties under its jurisdiction.
Household member means any individual residing in or regularly present in the preschool, including children and youth for whom 24-hour care is provided.
Licensed health care professional means an individual for whom administration of medication is included in the scope of practice.
Licensee means the owner of the preschool program and the individual, partnership, limited liability company, corporation, or governmental unit to whom the license is issued and who is responsible for compliance with all regulations.
Locked storage means a container or closet used to store poisonous materials, medications, and weapons that is secured by lock and key, combination lock, or magnetic lock approved by the Department.
NAC means the Nebraska Administrative Code, the compiled regulations of all state agencies maintained by the Secretary of State. Properly adopted regulations have the force and effect of law. These regulations are 391 NAC 5. Within this chapter, references to other parts of the same chapter do not show “391 NAC”; they are shown simply as 5-003.01, for example. References to different regulations show the full citation; for example, 179 NAC 2-002.
Parent means the natural parent, adoptive parent, step parent, guardian, or other legally responsible custodian.
Physical hold means applying minimal physical force by placing the arms around a child to restrict the child’s movement.
Premises means the home or facility, including areas of the home or facility not used for child care/preschool, all attached and all outbuildings, and all areas included within the lot boundaries.
Preschool means a partial-day early childhood program for children age three and older that provides primarily education services and where children do not nap and are not served a meal.
Program means the provision of services in lieu of parental supervision:
1. For children under 13 years of age;
2. For compensation, either directly or indirectly; and
3. On the average of less than 12 hours per day, but more than two hours per week.
Program includes any employer-sponsored child care, family child care home, child care center, school-age child care program, school-age services under Neb. Rev. Stat. § 79-1104, or preschool or nursery school.
Proper hand washing means washing and scrubbing the hands for at least 20 seconds with soap and warm running water, rinsing well under running water, and drying with a paper towel, air dryer, or clean towel.
Restraint means the use of manual restraints (direct application of physical force) or mechanical restraints (straps, belts, towels, blankets, tape) or other means to subdue a child or otherwise limit a child’s freedom of movement. Restraint does not refer to physical holds or braces or other devices used to assist, obtain, and maintain normal body function.
Room means an area with four walls flush from the floor to the ceiling and at least one passageway or doorway. A partition is considered a wall if the partition is at least four feet high, is flush to the floor and to the other walls.
Special needs means a child has a requirement for extra care because of an acute or chronic physical or mental condition. Acute special needs include temporary conditions that require special medical attention and isolation from other children, e.g., recovery from surgery, etc. Chronic special needs include long-standing medical or behavioral problems that require medical, behavioral or other services at all times, e.g., medically fragile, attention deficit, etc. To be considered a child with a special need, the child must have one or more of the following conditions which are not related to chronological age:
1. Emotional impairment: including behavioral impairment, requiring special equipment or assistance;
2. Developmental age level lower than chronological age and requires assistance via special supervision;
3. Movement impairment: requires assistance or is unable to move;
4. Sensory impairment: requires special environmental modifications or assistance;
5. Speech impairment: requires special equipment or assistance;
6. Hygiene: requires assistance or special equipment;
7. Feeding: requires special equipment or assistance;
8. Toileting: requires assistance or special equipment;
9. Medical conditions: requires respiratory aids or special procedures;
10. Therapy required: physical, occupational, speech, or respiratory;
11. Medications: requires assistance or special procedures.
Diseases such as measles, chicken pox, flu, etc., are not considered special needs.
Staff means an individual who provides direct care to the children attending the preschool, including the licensee, director, teacher, aide, and any other individual who counts in the staff-to-child ratio.
Support staff means an individual employed by the preschool as a food service, clerical, custodial, or transportation staff.
Swimming pool means any artificial basin of water modified, improved, constructed, or installed for the purpose of swimming, wading, diving, recreation, or instruction. Swimming pool includes, but is not limited to, a pool on the preschool premises, a pool serving a community, a subdivision, an apartment complex, a condominium, a club, a camp, a school, an institution, a park, a manufactured home park, a hotel, a motel, a recreational area, or a water park. Swimming pool includes a spa, hot tub or whirlpool or similar device which is designed for recreational use and not to be drained, cleaned and refilled after each individual use.
Teacher means an individual who is responsible for the direct care of the children.
Uncompensated parent helper means the parent of a child enrolled in the preschool who without compensation, assists in the care of children, who does not count in the staff-to-child ratio, and who is not left alone with children other than his/her own at the preschool.
USCIS means United States Citizenship and Immigration Services.
Volunteer means an individual who assists in the care of children, who does not count in the staff-to-child ratio, and is not left alone with children other than his/her own at the preschool.
Wading pool means a portable, above-ground basin filled with 12 or fewer inches of water, and designed for the purpose of wading.
5-003 LICENSING REQUIREMENTS AND PROCEDURES: Any person intending to establish, operate, or maintain a preschool, unless exempt and not seeking voluntary licensure as provided in 391 NAC 5-001 and 391 NAC 5-002, must first obtain a license from the Department. An applicant must show that the preschool program meets all license requirements contained in these regulations, 391 NAC 5.
5-003.01 Provisional License: Provisional licenses are issued to all newly licensed preschool programs. Provisional licenses are effective for one year.
5-003.01A Application Requirements: An applicant for a provisional preschool license must submit:
1. A complete, accurate, written, and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, if an individual or an individual in a partnership, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. Consent for central registry checks and authorization for release of information for the applicant, all staff and volunteers age 13 or older, and all household members age 13 or older if the preschool is to be located in a private residence;
4. Documentation of criminal history record checks for the applicant, if an individual or an individual in a partnership, all staff and volunteers age 19 or older, for all household members age 19 and older if the preschool is to be located in a private residence, and for the individual who will be the director of the preschool if the applicant is a limited liability company, a corporation, or a governmental unit (see 5-006.03A);
5. A Report of Law Enforcement Contact for the applicant, or for the individual who will be the director of the preschool if the applicant is a limited liability company, a corporation, or a governmental unit, and for household members age 19 or older if the preschool is to be located in a private residence (see 5-006.03C);
6. A Health Information Report for the director on a form provided by the Department (see 5-006.03F);
7. Documentation of director qualifications (see 5-006.04);
8. A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of rooms to be used by the children, and outdoor play area;
9. Copies of zoning approval from the relevant jurisdiction;
10. A Fire Inspection Approval issued by the appropriate fire marshal’s office;
11. A written description of services;
12. A sample daily schedule;
13. The planned occupancy date; and
14. The required licensing fee (see 5-004.07).
5-003.01B Denial of Provisional License: See 5-008 for grounds under which the Department may deny a provisional license.
5-003.01C Extension of Provisional License: The Department may extend a provisional license once for a period no longer than six months. The Department’s decision regarding extension of a provisional license may not be appealed. A provisional license may be extended if the Department determines:
1. The provisional licensee is unable to comply with all licensure requirements and standards, is making a good faith effort to comply, and is capable of compliance within the next six months;
2. The effect of the current inability to comply with a rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department which is to be completed within the extension period.
5-003.01D Expiration of Provisional License: The Department will send a notice of expiration to the licensee no later than 90 days before the date of expiration.
1. If a provisional licensee does not submit a complete application for an operating license on or before the expiration date, the provisional license expires.
2. If the former licensee submits a complete application and is in compliance with all regulations within 90 days after expiration, the Department will issue an operating license effective when issued.
3. If the former licensee submits an application more than 90 days after expiration, the Department will process the application as a provisional license application.
5-003.02 Operating License: Operating licenses are standard, non-expiring licenses issued to preschool programs that have been licensed for more than one year and are in full compliance with all regulations. Licensees must have completed one full year with a provisional license with satisfactory compliance with all regulations before qualifying for an operating license.
5-003.02A Application Requirements: An applicant for an operating preschool license must submit:
1. A complete, accurate, written and signed application and disclosure of ownership on a form provided by the Department, which contains all information required and authorized by the Child Care Licensing Act;
2. For the purpose of complying with Neb. Rev. Stat. §§ 4-108 to 4-114, if an individual or an individual in a partnership, an attestation that s/he is a U.S. citizen or a qualified alien lawfully present in the U.S. The applicant must provide his/her immigration status and alien number, and agree to provide a copy of his/her USCIS documentation upon request;
3. A Report of Law Enforcement Contact for the applicant, all staff and volunteers age 19 or older, and all household members age 19 or older if the preschool is located in a private residence (see 5-006.03B);
4. Verification of director qualifications (see 5-006.04); and
5. The required licensure fee (see 5-004.08).
5-003.02B Denial of an Operating License: See 5-008 for grounds under which the Department may deny an operating license.
5-003.03 Change of Ownership: Preschool licenses are not transferable or assignable. A change of ownership terminates the license. The new owner must apply for a license.
5-003.03A Change of ownership includes the sale or transfer of the ownership or control of a preschool to a person other than the current licensee. Change of ownership does not include a change of name or location of the preschool.
5-003.03B Requirements of New Owner: If there is a change of ownership and the preschool remains on the same premises, the new owner must apply for a provisional license as required in 5-003.01A, except that:
1. Criminal history record checks, Reports of Law Enforcement Contact, and Health Information Reports are required only for new employees who have not already submitted or completed these documents; and
2. A sketch, diagram, or blueprint of the facility, a written description of services, and a sample daily schedule are required only when the new owner changes the use of the facility and/or changes the description of services or daily schedule.
5-003.03C Mergers: If there is a change of ownership based on the merger of a parent and subsidiary company, affiliated businesses, or governmental units, and the preschool remains on the same premises, the new owner must submit:
1. A Full Disclosure of Ownership Statement on a form provided by the Department; and
2. An application for a preschool license.
5-003.03D Denial of License: See 5-008 for grounds on which the Department may deny a license.
5-003.04 Temporary and Voluntary Cease of Operation: A licensee may request to voluntarily cease operation of the child care program for a period of up to one year. The licensee must:
1. Have attained an operating license;
2. Intend to re-open the child care program at the same location;
3. Not serve any children during the period of ceased operation;
4. Not be the subject of any disciplinary action, investigation of alleged non-compliance with regulations, or outstanding non-compliance; and
5. Pay license fees during the period as specified in 5-004.08.
5-003.04A If the licensee is the subject of any negative or disciplinary action, the period of ceased operation does not count toward the period of negative or disciplinary action.
5-003.04B No routine fire safety, sanitation, or Department inspections will be conducted during the period of ceased operation.
5-003.04C The period of ceased operation may be extended beyond the one-year limit if the licensee shows a reasonable cause.
5-003.04D Reinstatement: A preschool licensee may request reinstatement after a period of ceased operation by submitting an application at least 30 days before the scheduled re-opening date. The Department will review the application and decide if additional information, an on-site inspection, or a fire safety or sanitation inspection is needed to determine compliance with regulations.
5-003.05 Negative Actions: The Department may initiate a negative action when a licensee is not in compliance with regulation but the violation does not rise to the level of a disciplinary action. (Disciplinary actions are described in 5-008.) Negative actions are voluntary and not appealable. The Department may conduct unannounced monitoring inspections of licensees under negative action. If a licensee does not agree to the terms of the negative action, the Department may initiate a disciplinary action. The two types of negative action are a Licensing Agreement and Corrective Action Status, described as follows.
5-003.05A Licensing Agreement
5-003.05A1 Determining Need for a Licensing Agreement: The Department may request a written licensing agreement if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance; and
2. The effect of noncompliance with any rule or regulations does not present an unreasonable risk to the health, safety, or well-being of children or staff.
5-003.05A2 The Licensing Agreement must:
1. Identify the length of time the Department has determined the agreement will be in effect;
2. Identify regulation violation(s);
3. Identify conditions agreed to by the licensee or director to correct any identified issue and to maintain compliance with licensing regulations;
4. Be signed by the licensee or designee, with permission of the licensee; and
5. Be witnessed by a notary public, Department staff, or non-relative of the licensee.
5-003.05B Corrective Action Status: The Department may place a provisional or operating license on corrective action status for up to six months if:
1. The licensee is unable to comply with all licensure requirements and standards or has a history of noncompliance;
2. The effect of noncompliance with any rule or regulation does not present an unreasonable risk to the health, safety, or well-being of children or staff; and
3. The licensee has a written plan of correction that has been approved by the Department. The Department may discipline the license if the written plan of correction is not approved.
5-003.05B1 The written plan of correction must:
1. Identify the issue(s) of concern;
2. Identify who is responsible for corrections and maintenance of compliance;
3. Include timelines; and
4. Specify the documentation to be provided to the Department.
5-003.06 Voluntary Surrender of a License: A licensee may voluntarily surrender a license issued under the Child Care Licensing Act at any time, except that the Department may refuse to accept a voluntary surrender of the license if the licensee is under investigation or if the Department has initiated disciplinary action against the license. If the Department accepts the surrender, the licensee must return the license to the Department within one week of surrender.
5-003.06A Reapplication for an Operating License Less Than One Year After Voluntary Surrender: A licensee who voluntarily surrendered a preschool operating license less than one year before the date of reapplication may reapply for an operating license. The licensee must meet the requirements of 5-003.02A.
5-003.06B Reapplication One Year or More After Voluntary Surrender: A licensee who voluntarily surrendered a preschool provisional or operating license one year or more before the date of reapplication must reapply for a provisional license. The applicant must meet the requirements of 5-003.01A.
5-003.07 Permanent Closure: When a preschool is to be permanently closed, the licensee must return the license to the Department within one week of closing.
5-004 GENERAL REQUIREMENTS
5-004.01 License Not Transferable: A preschool license is not transferable or assignable and is only valid at the address printed on the license.
5-004.02 Separate License: An applicant for a preschool license must obtain a separate license for each program that the applicant seeks to operate.
1. A single license may be issued for a preschool operating in separate buildings or structures on the same premises under one licensee.
2. Multiple licenses may be issued for child care centers, preschools, and school-age-only centers operating on the same premises under multiple licensees.
5-004.03 Posting of License and Availability of License Record Information: The licensee must ensure the current license, including any applicable status or amendment, is prominently posted and clearly visible in the child care area. License record information and inspection reports must be available for public inspection upon request.
5-004.04 Change in Premises: When there is a change in premises:
1. Ninety days before the scheduled date of occupancy of the new premises, the licensee must submit an application for the same type of license (provisional or operating) currently held, except that:
a. The following items must be submitted before the license will be issued:
(1) A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of room to be used by children, and outdoor play area;
(2) A fire inspection approval issued by the State Fire Marshal or delegated authority;
(3) Copies of zoning approval from the relevant jurisdiction;
(4) Planned occupancy date;
(5) Any additional information required by the Department to provide affirmative evidence of the applicant’s ability to comply with these regulations; and
b. Remaining items must be submitted only if there are changes since the previous application process;
2. The Department will conduct an inspection(s) of the proposed location to determine compliance with these regulations before use or occupancy by the applicant; and
3. The new premises cannot be used for a child care program until a license has been issued by the Department. The license for the initial premises will become null and void when a license for the new premises is issued.
5-004.05 Alternative Compliance: The Department may grant alternative compliance with a regulation under the following conditions:
5-004.05A Written Request: A request for alternative compliance must be submitted to the Department in writing and must include:
1. The regulation for which alternative compliance is being requested;.
2. The reason for the alternative compliance request
3. A description of how the alternative will meet the intent of the regulation; and
4. How the alternative will offer equal protection for all children.
5-004.05B Review and Approval: The Department may request additional information from the applicant or licensee in order to reach a decision to approve or deny the alternative compliance request. To be considered for approval, the proposed alternative must:
1. Be consistent with the overall intent and purposes of the regulation; and
2. Protect the health, rights, safety, and well-being of all children in care.
5-004.05C Terms of Alternative Compliance: An alternative compliance may be granted:
1. For a period of time that ends when the conditions of the approval no longer exist; and
2. To permit the applicant or licensee time to come into compliance.
5-004.05D Requirements Not Qualifying for Alternative Compliance: Alternative compliance will not be granted for the following requirements:
1. Capacity/Ratio;
2. Transportation;
3. Supervision;
4. Fire Safety;
5. Criminal history/background checks;
6. Licensee and staff;
7. Any regulation for which a discipline has been initiated or completed.
5-004.05E Notification of Department Decision: When the Department receives an alternative compliance request and has obtained all information needed to process the request, the Department will notify the applicant or licensee in writing of its decision to approve or deny the request. The notification will be made within 30 days of the Department’s receipt of all appropriate information.
5-004.06 Notification of Changes: An applicant or licensee must notify the Department:
5-004.06A An Amendment to Application must be submitted at least 90 working days before the planned effective date for a change:
1. In location (see 5-004.04); or
2. In building or building usage.
5-004.06B An Amendment to Application must be submitted at least five working days before the planned effective date for a change:
1. In the days of the week care is provided;
2. In the hours of the day care is provided;
3. In the age of children for whom the preschool provides care; and
4. In household members age 13 or older, if the preschool is located in a private residence.
5-004.06C An Amendment to Application must be submitted within two working days after the following changes are effective:
1. In director; and
2. In household members age 12 or younger, if the preschool is located in a private residence.
5-004.07 Information Available to Public: The Department will release the following information to the public upon request:
1. Application;
2. Name of licensee;
3. Name of facility;
4. Facility address;
5. Facility telephone number;
6. Alternative compliances;
7. Type of license;
8. Relevant license information (for example, licensed capacity, hours and days of operation, ages of children served, license effective dates)
9. Copies of inspection reports;
10. Fire safety inspection reports and correspondence;
11. Licensing agreements;
12. Provisional license extension notices;
13. Corrective action status notices;
14 Discipline notices;
15. Corrective action plans;
16. Written transcripts of administrative hearings;
17. Emergency orders; and
18. All final orders.
5-004.07A The Department will not release the following information to the public:
1. Names, addresses, and telephone numbers of complainants;
2. Names, addresses, and telephone numbers of enrolled children and their parents/guardians;
3. Social Security or Federal Tax Identification numbers;
4. Health Information Reports and any physical or behavioral health information on the licensee and staff;
5. Reports of Law Enforcement Contact by the licensee, staff, and household members;
6. Law enforcement reports;
7. Child welfare reports or records, including the state child abuse/neglect central register under Neb. Rev. Stat. § 28-718;
8. Adult protective services (APS) reports or records, including the APS central registry under Neb. Rev. Stat. § 28-376;
9. Nebraska State Patrol Sex Offender Registry information not available to the public under the Sex Offender Registration Act;
10. Internal Department correspondence, notes, and investigation reports.
5-004.08 Fees
1. Initial and annual licensure fees for preschools are:
a. Programs with licensed capacity of 1-29 $25
b. Programs with licensed capacity of 30 and up $50
2. Initial and annual licensure fees are nonrefundable, except:
a. If the Department denies an application for a license and has not completed an inspection before the denial, the Department will return the license fee to the applicant; and
b. If an applicant withdraws an application for a license and the Department has not completed an inspection before the withdrawal, the Department will return the license fee to the applicant.
3. Fees will be accepted in the form of a check or money order. Cash will not be accepted.
5-005 INSPECTIONS AND COMPLAINT INVESTIGATIONS: To determine compliance with licensing regulations, the Department will inspect preschool programs as provided under the Nebraska Child Care Licensing Act.
5-005.01 Initial Licensure Inspection: The Department will:
1. Schedule the date and time for the inspection visit with the applicant and/or the applicant’s designee;
2. Conduct an initial on-site inspection to determine compliance with these regulations within 30 days of receipt of a complete application for a provisional license; and
3. Provide a preliminary copy of the inspection report to the applicant and/or the applicant’s designee at the conclusion of the inspection.
5-005.02 Provisional-to-Operating License Inspection: The Department will:
1. Conduct an unannounced on-site inspection to determine compliance with these regulations;
2. Conduct the inspection within 30 days of receipt of a complete application for an operating license;
3. Provide a preliminary copy of the compliance report to the applicant and/or designee at the conclusion of the inspection; and
4. Document any violations of these regulations determined at the inspection.
5-005.03 Annual and Semi-Annual License Inspections: To determine compliance with licensing regulations, the Department will conduct unannounced inspections:
1. A minimum of once each year of preschools licensed for 29 or fewer children; and
2. A minimum of twice each year of preschools licensed for 30 or more children.
5-005.04 Follow-Up Inspection: The Department may conduct a follow-up inspection to determine if the licensee has corrected all violations and to determine full compliance with regulations following any type of inspection. If conducted, the follow-up inspection will:
1. Occur no later than 60 days after the original inspection, or sooner if the licensee requests or the violation needs to be corrected immediately; and
2. Be unannounced unless the preschool is closed.
5-005.05 Monitoring Inspections:
The Department may conduct unannounced monitoring inspections to determine compliance with regulations and the conditions of any negative action or discipline.
5-005.06 Inspection Results
1. The Department will provide a copy of the compliance report to the child care program within ten working days after completion of an inspection.
2. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations, the applicant or licensee may request an alternative compliance (see 5-004.05).
3. When the Department finds that the applicant or licensee has complied substantially, but has failed to comply fully with all regulations and the failure(s) would not pose an imminent danger of death or serious harm, the Department may:
a. Allow the applicant or licensee a period of time to correct all the violations; or
b. Initiate negative action or discipline if the applicant or licensee fails to correct all violations within the time frame given by the Department or has a history of violating the same or similar regulations at previous inspections.
4. When the Department finds that the applicant or licensee has failed to meet the regulations, the Department may initiate negative action or discipline or require the applicant or licensee to make all corrections at the time of inspection. If compliance cannot be achieved immediately, the Department may allow a reasonable period of time after the inspection was conducted to make corrections.
5-005.07 Complaint Investigations: The Department will investigate any licensed child care center after receiving an allegation of violation of licensing regulations.
1. The Department will accept complaints from anyone who witnessed a violation or a parent/guardian of a child who witnessed a violation.
2. The Department will accept complaints via telephone, letter, fax, electronically, or in person.
3. The identity of a complainant is not public information.
4. Only if found to be credible by the Department can such an allegation or complaint result in any negative action or discipline.
5-005.08 Complaints of Allegedly Improper Unlicensed Care: The Department will investigate any complaint of a person allegedly providing a preschool program without an appropriate license. The Department will accept complaints from anyone via telephone, letter, fax, or electronically. The identity of a complainant is not public information. The Department may request enforcement by the Attorney General or the appropriate County Attorney if a person continues to provide a child care program without a license.
5-005.09 Inspections by Other Entities
5-005.09A Fire Inspection: The Department will make a fire inspection referral when:
1. An application is received for an initial preschool license;
2. When the preschool is licensed for 13 or more children, every two years following the initial fire inspection unless the preschool is located in a health care facility or school that receives more frequent fire inspections;
3. Whenever the preschool requests to use space that was not previously approved for use;
4. There is a change in address;
5. There is a complaint specific to fire safety issues; or
6. Department staff observe conditions that may endanger the health or safety of children in care.
5-006 STANDARDS OF OPERATION AND CARE: To provide adequate protection to children in care and to comply with state law, a preschool must meet the following standards.
5-006.01 Licensee Requirements: The licensee must:
1. Ensure that the preschool is administered and managed appropriately;
2. Maintain compliance with all applicable state statutes and preschool regulations;
3. Permit announced and unannounced inspections by agency representatives during the hours of operation;
4. Either manage the day-to-day operations of the preschool or designate a director who is responsible for the day-to-day management of the preschool and define the duties and responsibilities of the director in writing; and
5. Ensure that the preschool has sufficient resources to provide a safe, healthy, and nurturing environment to all children enrolled in the preschool.
5-006.02 Director Requirements: The director is responsible for managing the day-to-day operations of the preschool. The director must report to the licensee all matters related to the maintenance, operation, and management of the preschool and be directly responsible to the licensee or to a person delegated governing authority by the licensee. The director must:
1. Be responsible for the preschool’s compliance with rules and regulations;
2. Be within the preschool area a sufficient number of hours to permit adequate attention to the management of the preschool;
3. When not in the preschool area, designate another staff to act in his or her absence who will be responsible and accountable for management of the preschool;
4. Provide written personnel policies and policies and procedures specific to:
a. Job descriptions and responsibilities; and
b. Position qualifications, skills, knowledge, abilities and physical demands of the job,
5. Assess his/her own ability and the ability of all staff to provide care for children with special needs while meeting the needs of other children enrolled;
6. Provide orientation for new staff, including training on preschool regulations;
7. Schedule training and continuing education for all staff and ensure that records are maintained including the date, topic, and length of time for each training entry;
8. Ensure that preschool staff identify and review incidents, accidents, complaints, and concerns, and monitor patterns and trends in overall operation and take action to alleviate problems;
9. Develop and implement written procedures that require the reporting of any evidence of physical abuse, neglect, or sexual abuse of any child in care at the preschool;
10. Immediately file a report with the Child Abuse-Neglect Hotline (1-800-652-1999) and/or appropriate local law enforcement agency when s/he has reason to believe child abuse, neglect or sexual abuse may be occurring in the preschool, in the child’s home, or elsewhere, or ensure that a report is filed;
11. Not knowingly allow any individual who is a registered sex offender on the premises, except that a parent who is a registered sex offender may be allowed on the premises only to pick up and drop off his/her child;
12. Ensure that the maximum capacity of the preschool is not exceeded at any time;
13. Ensure that staff-to-child ratios are met at all times;
14. Ensure that parents have access to their children at all times that children are in care; and
15. Develop and use written criteria to assess the ability of staff to give or apply medication safely.
5-006.03 Background Checks, Health Information, and Employment Limitations
5-006.03A Criminal History Record Check: The applicant/licensee, if an individual or an individual in a partnership, must complete a pre-employment criminal history record check on him/herself, on each staff member and volunteer age 19 or older, and on each household member age 19 or older if the preschool is located in a private residence. Documentation must be kept and available for review by the Department.
The check must be conducted through the Nebraska State Patrol or through one or more local law enforcement agencies, as appropriate to the individual’s residence(s). If an individual has lived in Nebraska less than 12 months, the applicant/licensee must obtain documentation of a criminal history record check from the previous state(s) of residence.
5-006.03A1 Permanent Child Care Disqualification:
An individual is permanently disqualified from holding a child care license or working as a staff member or volunteer in a preschool if s/he has a criminal history that includes conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes against a child or vulnerable adult, crimes involving intentional bodily harm, crimes involving the sale, distribution or procurement of a controlled substance, or crimes involving moral turpitude on the part of the individual. These crimes include but are not limited to:
1. Aggravated or armed robbery;
2. Assault, first or second degree;
3. Child abandonment;
4. Child abuse;
5. Child molestation or debauching a minor;
6. Child neglect;
7. Commercial sexual exploitation of a minor;
8. Domestic violence;
9. Exploitation of a minor involving drug offenses or conviction of drug offenses that involved a minor;
10. Felony controlled substances offenses, other than possession;
11. Felony violation of custody;
12. Incest;
13. Kidnapping;
14. Murder, first or second degree;
15. Sexual abuse of a minor;
16. Sexual assault;
17. Sexual exploitation of a minor, including child pornography; or
18. Voluntary manslaughter.
5-006.03A2 Twenty-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a preschool if s/he has a criminal history that includes conviction in the last 20 years of:
1. Arson;
2. Criminal non-support;
3. Felony possession of controlled substance offences;
4. Felony theft; or
5. Robbery.
The 20-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the 20-year period of disqualification. If the individual has more than one conviction, the 20-year disqualification begins the date the most recent conviction became final.
5-006.03A3 Five-Year Disqualification: An individual is disqualified from holding a child care license or working as a staff member or a volunteer in a preschool if s/he has a criminal history that includes conviction in the last five years of:
1. Burglary;
2. Driving under the influence: two or more convictions;
3. Felony bad check writing;
4. Misdemeanor controlled substances offenses;
5. Misdemeanor contributing to the delinquency of a child; or
6. Misdemeanor theft.
The five-year disqualification begins the date the conviction became final. Any time the individual is incarcerated, either in jail or a state or federal correctional facility, is not included in the calculation of the five-year period of disqualification. If the individual has more than one conviction, the five-year disqualification begins the date the conviction became final.
5-006.03A4 An applicant, licensee, staff member, volunteer, or household member, must not have had his/her rights as a parent terminated by a Court because of a finding of abuse or neglect of a child or inability to care for a child.
5-006.03A5 Department Determination: An individual may hold a child care license or work as a staff member or a volunteer in a preschool with a pending complaint or indictment or conviction of other crimes if the Department determines the individual has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
1. The age of the individual at the time of the conduct;
2. The recency of the conduct;
3. The seriousness of the conduct;
4. The factors underlying the conduct;
5. The cumulative effect of the conduct;
6. The evidence of rehabilitation;
7. The individual’s positive social contributions since the conduct;
8. The individual’s honesty in providing information; and
9. The materiality of any omissions or misrepresentations.
The Department may deny or take action against a license if an individual is found to have a criminal history that includes conviction or substantial evidence of committing or permitting, or aiding or abetting another to commit, any unlawful act endangering the health or safety of another individual or a history of convictions or behavior that shows an inability or unwillingness to comply with laws or regulations. This applies to the applicant/licensee, household members who reside at the place where the child care program will be/is provided, volunteers, and employees of the applicant/licensee.
5-006.03B Registry Checks: The applicant/licensee, if an individual or an individual in a partnership, staff, volunteers, and household members if the preschool is located in a private residence, must not be listed as a perpetrator of abuse or neglect on the Nebraska:
1. Child abuse/neglect central register under Neb. Rev. Stat. § 28-718 if the individual is age 13 or older;
2. Adult protective services central registry under Neb. Rev. Stat. § 28-376 if the individual is age 18 or older; or
3. State Patrol sex offender registry.
The individual must provide enough information for an accurate check of the registries and must authorize the release of registry information. The Department will conduct the child and adult registry checks and provide the results to the applicant/licensee. The licensee must conduct the State Patrol sex offender registry check. All registry checks must be completed before the individual assumes responsibility for the care and supervision of children. Any individual who is listed on any of the registries must not be on the premises during the hours of operation, except that a parent listed as a perpetrator may be allowed on the premises only to pick up and drop off his/her child.
5-006.03C Reports of Law Enforcement Contact: The applicant/licensee, if an individual or an individual in a partnership, must complete a Report of Law Enforcement Contact for him/herself and must obtain a completed report for each staff member and volunteer age 19 or older and each household member age 19 or older if the preschool is located in a private residence. The statement must:
1. Be updated, signed, and dated annually;
2. Be updated any time one of these individuals is arrested, issued a citation other than a minor traffic violation, or charged with or convicted of any felony, misdemeanor, or infraction;
3. List all previous and pending criminal charges and arrests, both felony and misdemeanor, regardless of prosecution;
4. List any record of felony and/or misdemeanor charges and arrests related to crimes against children;
5. List any record of felony and/or misdemeanor convictions;
6. List any current or past parole or probation status, including diversion or court supervision; and
7. List details, dates, county and state of the contact, arrest, charge, conviction, and disposition, if any.
5-006.03D Notification of Law Enforcement Contact:
As soon as the licensee/director becomes aware of the occurrence, s/he must notify the Department of any arrest, misdemeanor ticket other than a traffic violation, pending criminal charges, and any felony or misdemeanor convictions of him/herself, staff, volunteers, or household members if the preschool is located in a private residence. The licensee/director must request a criminal history record check on the individual within five working days. Failure to notify the Department of law enforcement contacts as described may result in disciplinary action.
5-006.03E Investigations and Repeat Registry Checks
1. Any time the licensee or director has reason to believe that a staff member is being or has been investigated for abuse, neglect, or sexual abuse of a child or vulnerable adult, the licensee or director must submit the name of that individual to the Department for a check with the child abuse/neglect or adult protective services registry.
2. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
5-006.03F Health Information Report: The applicant, if an individual or an individual in a partnership, must submit a completed Health Information Report on a form provided by the Department for him/herself as part of the initial application. All staff who are responsible for the care and supervision of children for more than 20 hours per week must complete the report within 30 days of hiring. The Health Information Report must be completed annually.
The Health Information Report must include an assessment by a health professional of the individual and any health conditions that could negatively affect his/her ability to care for children. If the information indicates that the individual has, or has had, a health condition that could negatively affect his/her ability to care for children, the Department may request additional information.
5-006.04 Director Qualifications: The director must be at least 19 years of age and of good moral character, and must meet one of the following requirements:
1. Hold a bachelor’s degree from an accredited college or university in early childhood education, education or child/youth development;
2. Hold a bachelor’s degree from an accredited college or university and at least six credit hours in early childhood education, education or child/youth development;
3. Have an associate degree from an accredited college or university in early childhood education, education or child/youth development;
4. Have a Child Development Associate Credential;
5. Have successfully completed six credit hours or 36 clock hours of Department-approved training in administration, early childhood education, education, or child/youth development. Business courses may be included, not to exceed one-half of the credit or clock hour requirements; or
6. Have a high school diploma or GED and 3000 clock hours of verifiable experience in organized group activities for children age birth to 13 as indicated by a positive reference from a former employer or supervisor.
5-006.05 Teacher Qualifications
5-006.05A Certificated Teachers: An individual who holds a valid Nebraska Teaching Certificate and who is employed as a staff member or used as a volunteer at a licensed preschool that is on the premises of an accredited or approved school will be considered to have met the qualifications, background checks, health information, and training requirements in these regulations.
5-006.05B Non-Certificated Teachers: To be employed as a teacher at a licensed preschool, an individual who is not a certificated teacher must be at least 18 years of age and of good moral character, and must meet one of the following requirements:
1. Hold a bachelor’s degree from an accredited college or university in early childhood education, education or child/youth development;
2. Hold an associate’s degree from an accredited college or university in early childhood education, education or child/youth development;
3. Have a Child Development Associate Credential; or
4. Have a high school diploma or GED; and
(1) 1500 verified clock hours of experience in organized group activities for young children as indicated by a positive reference from a former employer or supervisor; or
(2) Submit a written plan for Department approval to acquire at least three credit hours or 45 clock hours of training in administration, early childhood education, education, or child/youth development, in a period not to exceed six months. The licensee must maintain a copy of the written plan and Department approval for Department review.
5-006.06 Substitute, Uncompensated Parent Helper, and Volunteer Qualifications
1. The director may hire substitute staff. The substitute must meet the age requirement for the position s/he is assuming and be of good moral character. If the substitute works over 20 hours per week and is counted in the staff-to-child ratio, the substitute must meet the staff requirements for the position s/he is assuming.
2. The director may use uncompensated parent helpers. Uncompensated parent helpers may be counted in the staff-to-child ratio. Uncompensated parent helpers must be supervised by the director or a teacher and must not be left alone with any children other than their own.
3. The director may use volunteers. Volunteers do not count in the staff-to-child ratio. Volunteers must be supervised by the director or a teacher and must not be left alone with any children other than their own.
5-006.07 Director Orientation and Training: When a new preschool director is employed, that individual must complete Department-approved director orientation within 30 days of starting employment. The director must also complete:
5-006.07A Safety Training: The director must complete training developed by the Early Childhood Training Center (ECTC) on child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. In preschools licensed on or after the operative date of these regulations, the director must complete the training within three years of the date of provisional licensure and every five years thereafter.
2. In preschools licensed before the operative date of these regulations, the director must complete the training within three years of that operative date and every five years thereafter.
3. This training counts toward the annual training requirement.
5-006.07B Nebraska’s Early Learning Guidelines Training: The director must complete training in the seven domains of Nebraska’s Early Childhood Learning Guidelines developed by the ECTC. Any proposed equivalent training must be approved by the Department. The domains are: Approaches to Learning, Creative Arts, Health and Physical Development, Language and Literacy Development, Mathematics, Science, and Social and Emotional Development.
1. In preschools licensed on or after the operative date of these regulations, the director must complete training in one domain within four years of the date of provisional licensure and one domain annually thereafter.
2. In preschools licensed before the operative date of these regulations, the director must complete training in one domain within four years of that operative date and one domain annually thereafter.
3. This training counts toward the annual training requirement.
5-006.08 Teacher Training: The licensee must ensure that teachers employed at the preschool complete the following training:
5-006.08A Safety Training: Teachers must complete training developed by the Early Childhood Training Center (ECTC) on Sudden Infant Death Syndrome (SIDS), safe sleep, shaken baby syndrome, and child abuse/neglect and reporting. Any proposed equivalent training must be approved by the Department.
1. Beginning three years after the operative date of these regulations, 50% of all teachers employed by the preschool must have completed this training.
2. This training counts toward the annual training requirement.
5-006.08B Nebraska’s Early Learning Guidelines Training: Teachers must receive training in the domains of Nebraska’s Early Childhood Learning Guidelines developed by the ECTC. Any proposed equivalent training must be approved by the Department.
1. Beginning four years after the operative date of these regulations, 25% of all teachers employed by the preschool must have completed training in at least one domain.
2. Beginning five years after the operative date of these regulations, 50% of all teachers employed by the preschool must have completed training in at least one domain.
3. Beginning six years after the operative date of these regulations, 75% of all teachers employed by the preschool must have completed training in at least one domain.
4. This training counts toward the annual training requirement.
5-006.08C Evidence of Teacher Training: The director must maintain a list of all teachers for each calendar year that identifies which individuals have completed:
1. Orientation training;
2. Safety training;
3. Nebraska Early Learning Guidelines Training;
4. Clock hours of annual training; and
5. CPR and First Aid training.
5-006.09 Staff and Volunteer Orientation and Training
5-006.09A Orientation: When new staff or volunteers are employed, those individuals must be provided with orientation prior to their having direct responsibility for the care of children. The orientation must include:
1. Job duties and responsibilities;
2. Infection control practices including proper hand washing techniques, personal hygiene, and disposal of infectious material;
3. Information on abuse, neglect and sexual abuse of children and the state’s reporting requirements;
4. Preschool regulations;
5. Evacuation plans in the event of fire;
6. Safety plans in the event of a tornado;
7. Emergency preparedness in the event of a natural or man-made disaster; and
8. The preschool’s method of interacting with children and discipline policies.
5-006.09B Transportation Training: Individuals who transport children on behalf of a preschool must:
1. Receive and maintain a valid certificate of completion of the ”Safe Kids Buckle Up” program within 90 days of employment and every five years thereafter. Individuals who transport children who were employed before the operative date of these regulations must receive and maintain a valid certificate of completion for “Safe Kids Buckle Up” within one year and every five years thereafter.
2. Maintain valid certificates for Cardiopulmonary Resuscitation (CPR) and First Aid Training.
Individuals who transport children who were employed before the operative date of these regulations must complete CPR and First Aid Training within one year and maintain valid certificates thereafter.
5-006.09C Annual Training: Each staff member, not including substitutes or volunteers, who provides direct care to children must obtain a minimum of 12 clock hours of training annually. Staff who work 20 hours or less must obtain six clock hours of training annually.
5-006.09C1 Training must include but is not limited to the following topics:
1. Safe Environments;
2. Healthy Environments;
3. Learning Environments;
4. Physical Development;
5. Cognitive Learning;
6. Communication;
7. Creative Learning;
8. Self-Esteem;
9. Social Development;
10. Guidance;
11. Family Relationships;
12. Program Management; and
13. Professionalism.
Audio, video, and reading material specific to one or more of these training topics will count toward the annual training requirement only if an Independent Learning Summary is completed on a form provided by the Department. The actual length of audio and video material will be counted, and 50 pages of text will be considered equal to one clock hour of training. Two hours of CPR and one hour of First Aid will be counted toward the annual training requirement in the year each is taken.
5-006.09C2 Each clock hour spent participating in any of the following types of activities counts toward the annual training requirement:
1. Preschool-sponsored training;
2. Workshops and conferences;
3. College courses;
4. Non-credit course work; and
5. Adult education courses.
5-006.09D CPR and First Aid Training
1. CPR training must be obtained from an entity that has been approved by the Nebraska Board of Emergency Medical Services. The Department will provide the program with information about approved CPR courses.
2. At least one staff member with current CPR and First Aid training must be on the premises at all times during the hours/days of operation.
3. The CPR card and documentation of First Aid training must be available upon request.
5-006.10 Employee Records Requirements: The licensee must ensure the following employee records are maintained, updated as needed, and made available to the Department upon request. Records must be maintained for at least one year after an employee leaves the preschool.
5-006.10A Records for all staff, except substitutes and volunteers, must include:
1. Name;
2. Address and telephone number;
3. Social Security number;
4. Date of employment/termination;
5. A completed Report of Law Enforcement Contact;
6. Documentation of a criminal history record check;
7. A completed Health Information Report;
8. Documentation of Nebraska registry checks with no adverse findings;
9. Documentation that the individual has met the qualifications for the position;
10. Documentation of orientation training and required ongoing training; and
11. Documentation that the individual has read and understands these regulations.
5-006.10B Substitutes: Records for each substitute must include:
1. Name;
2. Address and telephone number;
3. Social Security number;
4. Documentation that the individual has met the qualifications for the position;
5. Documentation of a criminal history record check;
6. A completed Report of Law Enforcement Contact;
7. Documentation of Nebraska registry checks with no adverse findings; and
8. Documentation that the individual has read and understands these regulations.
5-006.10C Uncompensated Parent Helpers and Volunteers: Records for each uncompensated parent helper and volunteer must include:
1. Name;
2. Address and telephone number;
3. Start date;
4. A completed Report of Law Enforcement Contact; and
5. Documentation of Nebraska registry checks with no adverse findings; and
6. A written schedule that includes the hours and days of the week the individual serves as a volunteer.
5-006.11 Child’s Record: A Child’s Record must be completed before the child’s enrollment. The record must be kept current and available for review upon request by the Department. A Child’s Record form may be used or a form may be created and must contain the following information for each child:
1. Name of child;
2. Birth date of child;
3. Enrollment date;
4. Date care ceased, if applicable;
5. Parent or guardian’s home address and telephone number;
6. Parent or guardian’s employment address and telephone number;
7. Individual to whom the child may be released by the staff;
8. Individual who will take responsibility for the child in an emergency when the parent or guardian cannot be reached;
9. Consent to contact a physician in an emergency;
10. Current health status of the child; and
11. List of child’s allergies and intolerance to food, insect bites, or stings, or other factors that result in a medical reaction, and clear instructions in the event of an exposure to the factor.
5-006.12 Parent Information Brochure: At the time of enrollment, the licensee must give the parent(s) of each enrolled child a Parent Information Brochure provided by the Department. The licensee must maintain receipts signed and dated by the parent and make the receipts available for review by the Department.
5-006.13 Description of Preschool Services and Policies: The licensee must ensure that the preschool has a written description of preschool services and written policies, and that they are available to the Department. Copies of both must be given to all staff and the parents of all enrolled children, except that the preschool is not required to give parents the preschool’s personnel policies. The licensee must maintain receipts signed and dated by the staff and parent and make the receipts available for review by the Department.
5-006.13A Description of Services: The preschool must have a written description of the range of services available. The written description must include:
1. Ages of children served;
2. Days and hours of operation;
3. A description of the preschool’s child development program;
4. Special services provided;
5. What is expected of parents;
6. Name, address, and phone number of the preschool’s owner or authorized representative; and
7. Information provided by the Department that describes how regulations can be accessed, how child care licensing staff can be contacted, and how complaints can be made.
5-006.13B Preschool Policies: The preschool must have written policies on:
1. Exclusion of ill children;
2. Conditions for suspending and terminating care;
3. Fees/contract information for parents;
4. Verifying the identification of individuals approved to remove children from the preschool;
5. Parent grievances, questions, or concerns; and
6. Personnel policies, including:
a. Staff qualifications;
b. Staff training requirements;
c. Staff discipline procedures; and
d. Staff immunization and exclusion of ill staff.
5-006.14 Licensed Capacity, Staff–to-Child Ratio, and Staffing Requirements
5-006.14A Licensed Capacity: The number of children in care at any one time must not exceed the preschool’s licensed capacity. Licensed capacity will be determined by the Department based on available space and the capacity authorized by the State Fire Marshal or delegated authority. Whichever number is smaller will be the licensed capacity of the preschool. In determining whether the licensed capacity of the preschool has been exceeded, all children are counted except children who have left the preschool for an activity and will not be returning that day.
5-006.14B Staffing Requirements
1. Each room where children are receiving care must have a teacher who is involved with the direct care of children.
2. At least 50 percent of the preschool staff must meet teacher qualifications.
5-006.14C Staff-to-Child Ratio: The preschool must maintain accurate staff and daily attendance records to verify compliance with staff-to-child ratios. Compliance with staff-to-child ratios is determined on a preschool-wide basis. Only staff involved in the direct care of children are counted. The appropriate staff-to-child ratios must be met at all times, as follows.
Age of Children | Number of Children in Care | Number of Staff Required |
3 years | 10 | 1 |
4, 5, and 6 years | 12 | 1 |
5-006.15 Communicable Diseases: The Department will provide the preschool with information about communicable diseases to assist the program in carrying out its responsibilities.
5-006.15A Notification to Parents: The licensee/director must notify parents of all enrolled children of any case of any reportable communicable disease on the same day the licensee is informed of or observes the illness, unless otherwise directed by the health authority. The health authority is the local health department for the area. Proper notification includes:
1. Notification to parents of children in attendance;
2. Notification to parents of enrolled children who are not in attendance on that day; and
3. Posting notice of the outbreak in a conspicuous place.
5-006.15B Confidentiality: Names of ill children must not be released to anyone except health authorities, unless parents have given their permission.
5-006.15C Health Authority: The preschool must follow all directives given to the licensee by the health authority in the event of a communicable disease outbreak.
5-006.16 Children Excluded Due to Illness: The preschool must have a written policy that identifies the circumstances under which children would be excluded from preschool due to illness. To assist in writing the policy, the Department will provide the licensee with materials that include recommendations on:
1. Exclusion based on specific conditions such as fever, diarrhea, vomiting, etc.; and
2. Exclusion based on specific contagious and infectious diseases such as chickenpox, measles, mumps, etc. The licensee must enforce the preschool’s exclusion policy and make it available to the Department and to the parents of enrolled children.
5-006.17 Immunizations: Within 30 days of a child’s enrollment, the licensee/director must obtain documentation of the child’s immunization record. Immunization records must be available for review upon request by the Department and updated each time the child receives additional immunizations. Each child’s immunization record must include:
1. Documentation of age-appropriate immunization;
2. Certification by a physician, advanced practice registered nurse, or physician assistant that immunization is not appropriate for a stated medical reason; or
3. A written statement that the parent or guardian does not wish to have the child immunized and the reasons for that decision.
5-006.17A Immunization Report: The licensee must comply with all state statutes and regulations (Neb. Rev. Stat. §§ 71-1913.01 to 71-1913.03 and 173 NAC 4) regarding immunization status of all enrolled children. This includes annual reporting to the Department as specified in 173 NAC 4. The Department will provide the program with materials to assist the program in carrying out its responsibilities.
5-006.18 Supervision: Adequate and appropriate supervision must be provided to children at all times children are in attendance, including during outdoor play. Ultimate responsibility for supervision rests with the licensee.
5-006.18A Permission for Off-Premises Supervision: The licensee must ensure that parents are informed and give written permission when children will be outside the premises of the preschool and supervised by preschool staff. Written permission must be available to the Department on request.
5-006.19 Discipline: When parents are not present, the responsibility for the discipline of children in care lies only with the licensee/director or the designated substitute.
5-006.19A Unacceptable Forms of Discipline: The following actions are prohibited as a form of discipline:
1. Spanking;
2. Slapping;
3. Pinching;
4. Punching;
5. Shaking;
6. Striking with any object;
7. Use of soap, hot sauce, or other unpleasant food and non-food items;
8. Isolating a child in a locked or closed room or closet;
9. Handling roughly;
10. Biting;
11. Denial of food;
12. Forced napping;
13. Subjecting children to derogatory remarks about the child or the child’s family;
14. Abusive or profane language directed at children;
15. Yelling or screaming at children;
16. Threats of physical punishment; or
17. Mechanical restraints.
5-006.19B Child Behavior That Cannot be Disciplined: Children must not be disciplined for:
1. Toileting accidents;
2. Refusal to take medication; or
3. Refusal to eat.
5-006.19C Use of Time Out: Separation from the group, if used, must be brief and appropriate for the child’s age. The time out period must:
1. Take place within a safe, lighted, and well ventilated area;
2. Occur within direct vision of staff; and
3. Not exceed more than one minute for each year of the child’s age. If the time a child spends in time out is extended, it must be carried out as indicated by a behavioral management plan developed and monitored by a licensed or certified professional qualified to identify the special needs of a child, as having a physical, emotional, or social developmental delay or impairment.
5-006.19D Use of Physical Hold: Preschool staff may restrict a child’s movement by the use of a physical hold. A physical hold may be used only:
1. When the child is hurting him/herself, others, or property;
2. When the hold does not prevent the child from breathing or speaking; and
3. Until the child is calm and able to demonstrate reasonable control of his/her behavior.
5-006.19D1 Notification and Documentation: The licensee/director must notify the child’s parents within 24 hours of the physical hold when a physical hold is used on their child. Written documentation of each use of a physical hold must be available for review by the parents and the Department. The documentation must include:
1. Child’s name;
2. Date of the incident;
3. Description of the incident; and
4. Names of the staff involved.
5-006.19E Use of Restraints: The use of restraints is prohibited except under the following conditions:
1. All staff who participate in restraining a child must have received prior training in de-escalation and the use of restraints;
2. The training curriculum must be accepted by the Department;
3. The training must be taught by a certified trainer; and
4. Written documentation of each use of restraint must be available for review by the parents of the child involved in the restraint and the Department. The documentation must include:
a. Child’s name;
b. Date of the incident;
c. Description of the incident; and
d. Names of the staff involved.
5-006.20 Prohibited Language, Materials, and Actions: Children of any age must not be exposed to:
1. Profanity used by staff;
2. Sexually explicit material;
3. Acts of violence toward a person or animal; or
4. Acts of racism.
5-006.21 Child Development Program: The licensee must provide an age-appropriate program that addresses these developmental domains:
1. Approaches to Learning;
2. Creative Arts;
3. Health and Physical Development;
4. Language and Literacy Development; and
5. Social and Emotional Development.
Information about the program must be given to parents and the Department upon request.
5-006.21A Toys, Equipment, and Reading Material: The licensee must ensure that the preschool has a sufficient number of age-appropriate toys, equipment, and children’s books so at any one time, each child enrolled at the preschool can be individually involved. Toys and reading material must be offered to children and must be replaced as needed.
5-006.22 Wading and Swimming Activities: Children must be accompanied, kept safe, and adequately supervised during swimming and wading activities while in care.
5-006.22A Prohibited Water Sources: Children must not be allowed to use the following water sources for wading or swimming activities:
1. Natural bodies of water;
2. Hot tubs, spas or saunas;
3. Livestock tanks; or
4. Decorative ponds.
5-006.22B Wading: If the licensee allows children to participate in wading or other water play activities:
1. Children must be accompanied and directly supervised; and
2. The licensee must ensure that the wading pool is drained and sanitized daily and is inaccessible to children when not in use.
5-006.22C Permission for Non-Preschool-Supervised Activities Off the Premises: If the licensee does not allow children to participate in swimming activities while in care, but a parent requests that their child leave the premises to go to a swimming pool, the licensee must obtain a written and signed statement from the parent that is kept on file on the premises and available to the Department upon request. The statement must indicate that the child is allowed to leave care and must acknowledge that the licensee is not responsible for supervision.
5-006.22D Permission for Preschool-Supervised Activities Off the Premises: If the licensee allows children in care to participate in swimming activities under the supervision of preschool staff but off the preschool’s premises, the licensee must obtain a written, signed, and dated statement from the parent that is updated annually. The statement must be available to the Department upon request, and must indicate the following:
1. The parent gives permission for their child(ren) to leave the preschool’s premises for swimming/wading;
2. The location of the pool where the child is allowed to swim; and
3. Whether the child is allowed to swim in water over his/her head.
5-006.22E Licensure of Swimming Pools: The licensee must ensure that swimming pools off the preschool’s premises where children are taken are licensed by the Department.
5-006.22F Water Safety
1. When a swimming or non-portable pool is in use (except in the case of organized swimming lessons), the staff-to-child ratio in 5-006.22H3 must be maintained.
2. When the depth of a pool’s water is over four feet, the licensee must ensure that someone who has satisfactorily completed a swimming water safety course is on duty at all times children in care are at the pool.
5-006.22G Pool on the Premises Not Used by Children in Care: The licensee must meet the following requirements if an above-ground or in-ground swimming pool is on the premises that children in care are not allowed to use:
1. The pool must be enclosed with a fence that is at least four feet high and flush with the ground;
2. Above-ground pools must have non-climbable side walls;
3. When a pool is covered, the cover used must be the manufacturer’s recommended cover;
4. Equipment needed to rescue a child or adult must be readily accessible; and
5. Children must be accompanied and directly supervised if the pool is located in the outdoor play area.
5-006.22H Pool on the Premises Used by Children in Care: If children in care are allowed to use a pool on the premises, the licensee must meet the requirements in 5-006.22G and:
1. Have a permit issued by the Department;
2. If the depth of the water is over four feet, an individual who has satisfactorily completed a swimming water safety course must be on duty at all times children are at the pool; and
3. Maintain the following staff-to-child ratios:
| Number of Children | Number of Staff Required |
Preschoolers | 4 | 1 |
5-006.23 Transportation: When transportation is provided for children in care, the licensee must ensure the following conditions are met:
1. No child must ever be left alone in the vehicle;
2. Smoking is prohibited in the vehicle used to transport children;
3. All doors on the vehicle must be locked when the vehicle is in motion;
4. Any individual who transports children must be at least 19 years of age, and must possess a current and valid driver’s license for the type of vehicle used to transport children, as verified by the Department of Motor Vehicles;
5. The vehicle used to transport children must be properly registered and insured, and must contain a first aid kit and parent contact information for each child being transported;
6. The number of children transported must not exceed the seating capacity of the vehicle as indicated by the manufacturer;
7. All children transported must be properly secured in the appropriate restraint system as required by Neb. Rev. Stat. §§ 60-6,267 and 60-6,268;
8. All car seats must be federally approved and must be the correct type for the child’s age and developmental level;
9. Written permission from parents for the preschool to transport children must be obtained, kept on file, and made available to the Department;
10. Children must not be transported to any location without the prior knowledge of the parent(s), except in a medical or other emergency;
11. Children must not be transported to avoid violations of capacity or staff-to-child ratio; and
12. Staff-to-child ratio must be maintained whenever children are in care;
13. The preschool must have a written transportation policy that is given to all staff who transport children and is available to parents and the Department upon request. The transportation policy must describe:
a. Restraints and safety equipment;
b. Procedures to ensure children are never left alone in a vehicle at any time; and
c. Emergency procedures in the event a child becomes ill, the vehicle breaks down or is involved in an accident, or other emergencies.
5-006.24 Medications: The licensee must ensure the following conditions are met when preschool staff give or apply medication.
5-006.24A Giving or Applying Medication: Any staff who gives or applies medication must do so in accordance with the “Five Rights” as set out in the Medication Aide Act. The Five Rights are:
1. The right drug;
2. The right recipient;
3. In the right dose;
4. By the right route; and
5. At the right time.
5-006.24B Competence to Give or Apply Medication: Parents or any licensed health care professional are responsible for determining if preschool staff are competent to give or apply medication. Any licensed health care professional, as directed by the prescribing health professional, is competent to give or apply medication under any circumstances as long as it is within the scope of practice of that health care professional. The preschool director has the responsibility to assess the ability of staff to give or apply medication.
5-006.24C Confidentiality: Any staff who gives or applies medication must not disclose information about a child’s medication or physical or mental health condition unless such information is needed to protect the health of other children or staff.
The use of a posted medication sign-in sheet does not violate confidentiality if the parent has been advised in writing that the parent has the option of using a private method of informing preschool staff of the child’s medication needs.
5-006.24D Written Permission and Instructions: Any staff who gives or applies prescription or non-prescription medication may do so only with prior written permission and written instructions from a parent. Staff must comply with the instructions provided by the parent or inform the parent the medications will not be given or applied.
1. Any error in the giving or applying of medication must be reported to the parent.
2. The dosage must not exceed that which is printed on the label.
3. Expired medication must not be given or applied to a child and must be returned to the parent or destroyed.
5-006.24E Unusual Circumstances: The licensee must obtain a written statement from the licensed health care professional who prescribed the medication allowing preschool staff to give the medication when:
1. Any prescription medication is given or applied as needed (PRN); or
2. By a route other than oral, topical, inhalant, or instillation.
The written statement must describe the route and what symptoms need to exist in order for the medication to be given or applied.
5-006.24F Hand Washing: All individuals must properly wash their hands before giving or applying any medication. If handling any bodily fluids is involved, individuals must properly wash their hands after giving or applying medication.
5-006.24G Storage: All medications must be kept in proper storage. This includes:
1. All prescription and non-prescription medications must be kept in locked storage at all times children are in care;
2. Separate locked storage must be provided for medications requiring refrigeration;
3. All medications must be kept in the original container and stored according to instructions, clearly labeled for a named child, and returned to the parent when no longer needed; and
4. Over-the-counter, non-toxic topical ointment such as lip balm, petroleum jelly, sun block and diaper ointment must be kept out of the reach of children.
5-006.24H Record-Keeping: The licensee/director must maintain a record as to the time and amount of medication given or applied.
5-006.25 Emergency Preparedness
5-006.25A Telephone: A working, non-coin operated telephone must be available on the premises at all times. Emergency telephone numbers, including fire, rescue, police (or 911) and Poison Control, must be prominently posted.
5-006.25B Fire and Tornado Drills: Fire and tornado drills must be practiced with the children and staff. Written documentation of drills must be kept and available for review by the Department, and must include the date and time of the drill and the number of children and staff present.
1. Fire drills must be completed a minimum of once each month the preschool is operating.
2. Tornado drills must be completed a minimum of two times per year during the months of March through September.
5-006.25C Fire and Tornado Safety Diagrams: Fire and tornado safety diagrams must:
1. Show the layout of the licensed preschool area(s);
2. Be prominently posted and visible in each room where care is provided;
3. Include how the evacuation of children with special needs will be conducted;
4. Include fire evacuation routes; and
5. Include tornado safety locations.
5-006.25D Disaster Preparedness: The licensee must have a written plan that addresses:
1. Evacuating and moving children to a safe location in the event of a fire, tornado, flood or other natural or man-made disaster;
2. Notification of parents of children in care of an emergency;
3. Reunification of parents with their children in the event of an emergency that requires evacuation; and
4. How children with special needs will be safe in the event of a disaster including evacuation and reunification with the parent.
5-006.25E Notification to the Department Regarding Emergencies:
The licensee/director must notify the Department within 24 hours or next business day of the following occurrences at the preschool:
1. The death of a child;
2. Any accident or injury to a child which requires hospitalization or treatment at a medical facility;
3. When a child has been missing, lost, or left unsupervised on or off the premises; and/or
4. An emergency or disaster that results in damage to the preschool or the inability of the licensee/director to comply with regulations.
5-006.25F First Aid Kit: A first aid kit must be available on the premises. It must be inaccessible to children. If any poisons or medications are stored in the kit, it must be kept in locked storage as required in 5-006.23G. The first aid kit must include the following supplies:
1. Fever thermometer;
2. Soap;
3. Bandages;
4. Sterile gauze pads;
5. First aid tape;
6. Scissors; and
7. Disposable gloves.
5-006.26 Environmental Services: The licensee must ensure that the preschool program is provided in a safe, clean, comfortable environment. Every area and building on the same premises used for preschool must comply with these regulations.
5-006.26A Housekeeping and Maintenance: The licensee must ensure that the necessary housekeeping and maintenance are provided to protect the health and safety of children in care. The preschool and grounds must be kept clean, safe, and in good repair.
1. The preschool and any building on the premises in or around areas where children are present must be kept free of exposed lead-based paint surfaces that are flaking, peeling, or chipped.
2. Rooms, walls, floors, and ceilings must be kept clean, dry, in good repair, and free of odor resulting from sewage, mold, mildew, or other environmental or biological hazards or unsanitary conditions.
3. Heating, ventilation, and lighting in all rooms used for preschool must be adequate to protect the health of children.
4. The licensee must equip and maintain the premises to prevent the entrance, harborage, or breeding of rodents, flies, and all other insects and vermin. All doors opening to the outside must be self-closing (except sliding doors) and all windows used for ventilation must be screened. The preschool must have effective screening of all openings to the outside when flies or other flying insects are present.
5. All garbage and rubbish must be disposed of in a manner that minimizes odor and the transmission of infectious diseases, and prevents the attraction of rodents, flies, and all other insects and vermin. This includes:
a. Using rubbish containers, both indoor and outdoor, for garbage and rubbish that are watertight, have tight fitting covers, and are fly and rodent proof;
b. Keeping all garbage and rubbish containers clean; and
c. Not burning garbage on the premises.
6. If carpeting is used in a bathroom, it must be removable, washable, and non-shag.
5-006.26B Maintenance of Equipment, Fixtures, Furnishings, and Toys: The licensee must ensure that equipment, fixtures, furnishings, and toys used in the preschool are kept clean, safe, and in good repair.
1. The licensee/director must create and follow a process for routine and preventative maintenance of equipment, fixtures, furnishings, and toys so they are kept safe, in good repair, and available to meet the intended use. This includes ensuring no sharp edges, rust, or loose parts.
2. Furniture and equipment must be arranged so as not to interfere with exits.
5-006.27 Environmental Safety: The licensee is responsible for maintaining a safe and hazard-free environment to protect the health and safety of children in preschool.
5-006.27A Smoking: Smoking anywhere indoors in a preschool is prohibited at all times, unless the preschool is located in a private residence. If the preschool is located in a private residence, the licensee must ensure that:
1. No one smokes indoors during the hours of operation when one or more children who are not occupants of the residence are present; and
2. Parents are informed before enrollment if the licensee or any household member smokes.
5-006.27B Alcohol and Controlled Substances
1. If the preschool is located in a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be consumed in any area used for child care whenever any child in care is present.
2. If the preschool is not located in a private residence, alcohol as defined by Neb. Rev. Stat. § 53-103 must not be present in any area used for child care during the hours of operation.
3. The unlawful use or possession of controlled substances, as defined by Neb. Rev. Stat. §§ 28-401 to 28-403 and 28-439, is prohibited.
Controlled substances that have not been legally prescribed must not be on the premises.
5-006.27C Animals/Pets: The licensee must ensure that any animal at the preschool does not negatively affect the children. The licensee must:
1. Have all pets examined annually by a licensed veterinarian and have documentation available;
2. Complete all vaccinations recommended by the licensed veterinarian that include, at a minimum, current rabies vaccinations for dogs, household cats, and ferrets, and have documentation available;
3. Have provisions for pet care necessary to prevent the acquisition and spread of fleas, ticks and other parasites; and
4. Comply with any state or local law or ordinance relating to the care and ownership responsibilities of pets or specific breeds identified by those laws or ordinances.
5-006.27D Prohibited Animals: Exotic or unusual animals, or any animal that has bitten or attacked anyone without provocation or has been determined by the local health authority to be dangerous, must not be allowed on the premises during the hours of operation.
5-006.27E Other Environmental Safety Requirements
1. Surfaces must be smooth and free of sharp edges, mold, or dirt, and the environment must be kept free of other conditions which may pose a potential risk.
2. All cleaning agents, medications (both prescription and nonprescription), and poisonous materials must be kept in locked storage at all times children are in preschool. Separate locked storage must be provided for medications requiring refrigeration.
3. All firearms, other potentially hazardous weapons, weapon accessories, and ammunition must not be on the premises of the preschool, unless the preschool is located in a private residence.
a. If the preschool is located in a private residence, all firearms, other potentially hazardous weapons, weapon accessories, and ammunition must be kept in locked storage. Firearms must be unloaded and ammunition must be stored separately from firearms.
4. Electrical outlets within reach of children under age six must be covered with safety caps, ground fault interrupters, or have safety outlets installed.
5. Shared use of the following items is prohibited:
a. Disposable towelettes;
b. Drinking containers, cups, or glasses;
c. Personal care items such as toothbrushes and hair brushes; and
d. Towels and washcloths.
6. The licensee must ensure storage that is:
a. Clean and adequate for all personal items of staff;
b. Clean and adequate for all personal items of children;
c. Covered and waterproof for soiled or wet clothing; and
d. For staff and children’s storage, areas separate from where food and medication are kept.
7. Deep freezers that cannot be opened from the inside must be locked or stored in a locked room.
5-007 PHYSICAL PLANT STANDARDS: The preschool must be designed, constructed and maintained in a manner that is safe, clean, and functional for a preschool program. The following regulations apply to all areas of the preschool.
5-007.01 Activity Space: The preschool must have space for children’s activities, free play, and quiet time. The activity space must:
1. Have furnishings to accommodate all activities and age-appropriate needs of all children in preschool;
2. Be available for all children; and
3. Have at least 35 square feet of activity space per child. Bathrooms, kitchen, isolation room, office, passageways, storage, or space occupied by built-in cabinets must not be considered when computing activity space.
5-007.02 Plumbing, Water Supply, and Sewer Requirements
5-007.02A Plumbing: The licensee must ensure that:
1. No plumbing fixture or other device that provides a connection between a drinking water supply and a drainage, soil, waste, or other sewer pipe so as to make possible the backflow of sewage or waste water into the potable water supply system. Water that has been used for cooling or for any other purpose must not be returned to the system; and
2. All plumbing conforms to the local plumbing code. Where no plumbing code is in effect, plumbing must conform to national standards as provided in Neb. Rev. Stat. § 18-1915.
5-007.02B Water Supply: The licensee must ensure the preschool has and maintains an accessible, adequate, safe, and potable supply of water for drinking, food preparation, and hand washing.
1. If water is obtained from a source other than a public water supply system, the water must not contain contaminants that exceed the maximum contaminant levels set for nitrate, or total coliform for public water supply systems in 179 NAC 2-002, and 179 NAC 3 or the lead action level set in 179 NAC 12. The licensee must report to the Department the results of all tests that show the water contains contaminants that exceed a maximum contaminant or action level.
a. The water supply must be tested annually and the tests results must be available for review upon request.
b. If the water supply does not meet nitrate, total coliform bacteria and lead standards, the licensee must, until the contaminants are lowered to acceptable levels:
(1) Obtain water from a source approved by the Department; or
(2) Purchase water from a commercial source.
2. Drinking water must be provided by sanitary drinking fountains or individual or disposable cups.
a. The use of common drinking containers is prohibited.
b. Sanitary dispensing and disposal units must be provided for paper cups.
c. Drinking fountains must have mouth guards with water issuing under sufficient pressure.
3. The licensee must ensure that:
a. Running water under pressure is provided;
b. Each hot water storage tank is provided with a pressure and temperature relief valve;
c. Adequate water heating facilities are provided so that a sufficient amount of hot water for general cleaning as well as washing and sanitizing utensils is available at proper temperatures;
d. Water supply to all hand washing and bathing locations is maintained between a minimum of 100 degrees Fahrenheit and a maximum of 120 degrees Fahrenheit; and
e. Soap is available for hand washing.
5-007.02C Sewer Requirements: When a municipal sewage system is not available, the licensee must:
1. Collect, treat, and dispose of sewage and all liquid waste with a sewage system that conforms to local ordinances; or
2. Where local ordinances do not exist, sewage disposal systems must comply with the regulations of the Nebraska Department of Environmental Quality.
5-007.03 Outdoor Play Area: The licensee must ensure that an outdoor play area is available. The area must be kept clean and safe and contain no accident hazards or debris.
5-007.03A Outdoor Play Equipment: The licensee must ensure that:
1. Stationary outdoor equipment such as climbing apparatus, swings, or slides are located away from traffic areas in the outdoor play area;
2. Stationary outdoor equipment is securely anchored, unless designed to be portable;
3. Equipment is free of rust and free of sharp and hazardous edges; and
4. Swing seats are made of a pliable material. Seats must not be made of hard plastic, wood, or metal.
5-007.03B Playground Surfaces: The area under climbing equipment, swings, slides, and other equipment from which children might fall must be of resilient material such as sand, dirt, grass, rubber matting, rubber mulch, wood chips, or small-to-medium size gravel.
5-007.04 Toilets and Sinks: The preschool must have sufficient toilets and sinks available for children’s use. A minimum of one operable toilet and one operable sink must be available per 15 children. Toilet rooms must be fully enclosed. A sink must be readily available to each toilet. Sanitary dispensing and disposal units must be provided for paper towels and must be installed at heights convenient for the children’s use. Toilets and sinks must be:
1. Conveniently located;
2. Clean, operable, and in good repair;
3. Designed to accommodate children with special needs, when applicable; and
4. Of suitable height for children or have a safe stepstool.
5-007.04A If a door to the toilet room opens directly from a food service area, the door must be self-closing and tight-fitting.
5-007.04B The licensee must ensure that no adult or child resumes work or play after using the bathroom without first washing his/her hands.
5-007.05 Fire Safety: The licensee must maintain fire safety approval at all times.
5-008 DENIAL AND DISCIPLINARY ACTIONS
5-008.01 Grounds for Denial or Disciplinary Action: The Department may deny the issuance of or take disciplinary action against a license on any of the following grounds:
1. Failure to meet or violation of any of the requirements of the Child Care Licensing Act or the rules and regulations adopted and promulgated under the Act;
2. Violation of an order of the Department under the Act;
3. Conviction of, or substantial evidence of committing or permitting, aiding or abetting another to commit, any unlawful act, including, but not limited to, unlawful acts committed by an applicant or licensee under the act, household members who reside at the place where the program is provided, or employees of the applicant or licensee that involve:
a. Physical abuse of children or vulnerable adults as defined in Neb. Rev. Stat. § 28-371;
b. Endangerment or neglect of children or vulnerable adults;
c. Sexual abuse, sexual assault, or sexual misconduct;
d. Homicide;
e. Use, possession, manufacturing or distribution of a controlled substance listed in Neb. Rev. Stat. § 28-405;
f. Property crimes, including, but not limited to, fraud, embezzlement, and theft by deception; and
g, Use of a weapon in the commission of an unlawful act;
4. Conduct or practices detrimental to the health or safety of an individual served by or employed at the preschool;
5. Failure to allow an agent or employee of the Department access to the program for the purposes of inspection, investigation, or other information collection activities necessary to carry out the duties of the Department;
6. Failure to allow state or local inspectors, investigators, or law enforcement offices access to the program for the purposes of investigation necessary to carry out their duties;
7. Failure to meet requirements relating to sanitation, fire safety and building codes;
8. Failure to comply with or violation of the Medication Aide Act;
9. Failure to file a report of suspected abuse or neglect as required by Neb. Rev. Stat. § 28-372 and 28-711;
10. Violation of any city, village, or county rules, regulations, or ordinances regulating licensees; or
11. Failure to pay fees required under the Child Care Licensing Act.
5-008.02 Types of Disciplinary Action: The Department may impose any one or a combination of the following types of disciplinary action against a license issued under the Child Care Licensing Act:
1. Issue a probationary license;
2. Suspend or revoke a provisional, probationary, or operating license;
3. Impose a civil penalty of up to $5 per child, based upon the number of children for which the program is authorized to provide child care on the effective date of the finding of violation, for each day the program is in violation;
4. Establish restrictions on new enrollment in the program;
5. Establish restrictions or other limitations on the number of children or the age of the children served in the program; or
6. Establish other restrictions or limitations on the type of service provided by the program.
5-008.02A Considerations: In determining the type of disciplinary action to impose, the Department will consider:
1. The gravity of the violation, including the probability that death or serious physical or mental harm will result, the severity of the actual or potential harm, and the extent to which the provisions of applicable statutes, rules, and regulations were violated;
2. The diligence exercised by the program in identifying or correcting the violation;
3. The degree of cooperation exhibited by the licensee in the identification, disclosure, and correction of the violation;
4. Any previous violations committed by the program; and
5. The financial benefit to the program of committing or continuing the violation.
5-008.02B Additional Action: If the licensee fails to correct a violation or to comply with a particular type of disciplinary action, the Department may take additional disciplinary action.
5-008.03 Unpaid Fines: Any fine imposed and unpaid under the Child Care Licensing Act will constitute a debt to the State of Nebraska which may be collected in the manner of a lien foreclosure or sued for and recovered in any proper form of action in the name of the State of Nebraska in the district court of the county in which the program is located. The Department will, within 30 days after receipt, remit fines to the State Treasurer for credit to the permanent school fund.
5-008.04 Department’s Emergency Power: Whenever the Department finds that an emergency exists requiring immediate action to protect the physical well-being and safety of a child in the program, the Department may, without notice or hearing, issue an order declaring the existence of such an emergency and requiring that such action be taken as it deems necessary to meet the emergency. The order may include an immediate prohibition on the care of children by the licensee other than children of the licensee. An order under this subsection will be effective immediately. Any person to whom the order is directed must comply immediately, and upon application to the Department, the person will be afforded a hearing as soon as possible and not later than ten days after his or her application for the hearing. On the basis of such hearing, the Department will continue to enforce the order or rescind or modify it.
5-008.05 Re-Application After Revocation: A former licensee whose child care license has been revoked for any cause other than nonpayment of fees is not eligible to reapply for a license for two years. The former licensee must:
1. Apply for a provisional license;
2. Meet the requirements for provisional licensure in 5-003.01; and
3. Demonstrate to the Department’s satisfaction the ability and willingness to comply with all licensing regulations.
TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 7 - RESIDENTIAL CHILD-CARING AGENCIES
001. SCOPE AND AUTHORITY. These regulations govern licensure of residential child-caring agencies. The regulations are authorized by Nebraska Revised Statute (Neb. Rev. Stat.) §§ 71-1924 to 71-1951.
002. DEFINITIONS. The definitions in the Children’s Residential Facilities and Placing Licensure Act, the Medication Aide Act, and the following apply to this chapter.
002.01 ABUSE. Any knowing, intentional, or negligent act or omission on the part of any person which results in physical, sexual, verbal or mental abuse, unreasonable confinement, cruel punishment, exploitation, or denial of essential care, treatment, or services to a child.
002.02 ADMISSION. The point of entry into a program or service; during admission processing the child receives an orientation to the facility, staff, and policies and procedures.
002.03 ASSESSMENT. A face-to-face evaluation of the child’s current and past (if available) physical, mental, emotional, and behavioral health.
002.04 BODY CAVITY SEARCH. The examination and possible intrusion into the rectal or vaginal cavities to detect contraband.
002.05 CHEMICAL RESTRAINT. A medication that is used for discipline or convenience and is not required to treat medical symptoms.
002.06 CLASSROOM. An area specifically designed and equipped for conducting educational and vocational programming.
002.07 COMPLETE APPLICATION. An application that contains all of the information requested on the Department approved application form, with attestation to its truth and completeness, and that is submitted with all required fees and documentation.
002.08 CONTRABAND. Any item possessed by children or found at the facility of the licensee that is prohibited by law or that is expressly prohibited by those legally charged with the responsibility for administration and operation of the program.
002.09 CORPORAL PUNISHMENT. Any act of inflicting punishment directly on the body causing pain or injury.
002.10 CRISIS INTERVENTION MODEL. A model that identifies specialized interventions to guide, redirect, modify, or manage behavior of children. The intervention model includes an entire spectrum of activities from preventive and planned use of routines and environment, to less restrictive interventions such as positive reinforcement, verbal interventions and de-escalation techniques, to more restrictive interventions such as room confinement, physical escorts, and physical restraint.
002.11 DESIGNEE. An individual given the responsibility to act on another’s behalf.
002.12 DIRECT CARE STAFF. A person who has been hired or approved by the licensee and is responsible for the day to day supervision of children in the care of the licensee.
002.13 DISCIPLINE. To establish self-control through training or instruction.
002.14 EDUCATIONAL PROGRAM. An educational plan designed to meet a child’s educational needs.
002.15 EXECUTIVE DIRECTOR. The executive director, director, superintendent, president, chief executive officer, and similarly classified positions who is responsible for the daily operation of the facility.
002.16 FACILITY. A place, building (or part thereof), set of buildings, or area (whether or not enclosing a building or set of buildings) that is used for the care of children. It includes the staff, programs and services as well as the buildings and grounds.
002.17 FOOD CODE. The Nebraska Food Code as defined in Neb. Rev. Stat. § 81-2,244.01 and as published by the Nebraska Department of Agriculture, except for compliance and enforcement provisions.
002.18 HOUSEHOLD MEMBER. Any individual residing in or regularly present in the residential child-caring agency.
002.19 MECHANICAL RESTRAINT. Any device, such as, a material or piece of equipment attached or adjacent to an individual’s body that the individual cannot remove easily and that restricts freedom of movement or normal access to their own body.
002.20 MULTI-DISCIPLINARY TEAM. A group of individuals, including the child and the child’s parent(s) or legal guardian(s), and at least one licensed health care practitioner or licensed mental health practitioner who share their knowledge and expertise to assist and support the child and are involved in all phases of the child’s care and discharge planning.
002.21 PAIN COMPLIANCE TECHNIQUE. Any intervention that intentionally causes pain to gain control of a child, such as the use of Tasers, pressure point control, and chemical sprays.
002.22 PHYSICAL RESTRAINT. Any manual method or physical or mechanical device, material, or equipment attached or adjacent to the child’s body that the child cannot remove easily and that restricts freedom of movement or normal access to their own body.
002.23 PREGNANT AND PARENTING CHILD PROGRAM. A program that provides care and supervision to a pregnant child or a child who has physical custody of her own infant or toddler.
002.24 ROOM. An area with walls flush from the ceiling and at least one passageway or doorway.
002.25 ROOM CONFINEMENT. The involuntary seclusion or restriction of a child to a room or other area alone, including a child’s own room, except during normal sleeping hours.
002.26 SEXUAL ABUSE. Sexual harassment, sexual coercion, or sexual assault.
003. LICENSING REQUIREMENTS AND PROCEDURES. To receive a license, an applicant must submit a complete application and meet the requirements for a license set out in statute and in this chapter.
003.01 INITIAL APPLICATION REQUIREMENTS. An applicant must submit the following documentation:
(1) Residential child-caring agency policies and procedures;
(2) Consent and Release of Information Form for the applicant if an individual or partnership, or for an executive director if a limited liability company or corporation, or governmental unit;
(3) Copies of criminal history record checks current within six months for the applicant if an individual or partnership, or for an executive director if a limited liability company or corporation, or governmental unit;
(4) Proof of adequate liability insurance or if self-insured sufficient funds to pay liability claims;
(5) A sketch, diagram, or blueprint of the facility showing the dimensions, arrangement of rooms, and how each room will be utilized;
(6) A copy of zoning approval from the relevant jurisdiction; and
(7) Proof of fire safety approval.
003.01(A) PHYSICAL PLANT AND ENVIRONMENTAL REQUIREMENTS. Before a license is issued sanitation and environmental requirements in this chapter must be met.
003.02 RENEWAL APPLICATION REQUIREMENTS. An applicant must submit a complete application and meet the requirements for a license set out in statute and in this chapter. An applicant must submit the following documentation:
(A) Proof of adequate liability insurance or if self-insured sufficient funds to pay liability claims; and
(B) A certificate of occupancy issued by the state fire marshal or delegated authority within the previous 18 months.
003.03 CHANGE OF OWNERSHIP. The new owner must apply for a license as required in this chapter except that a sketch, diagram, or blueprint of the facility is not required, unless the new owner changes building usage.
004. GENERAL REQUIREMENTS. The following requirements are applicable to all licenses.
004.01 EFFECTIVE DATE AND TERM OF LICENSE. A residential child-caring agency license will expire on March 31 of each calendar year.
004.02 LICENSE NOT TRANSFERABLE. A license is issued only for the facility and person(s) named in the application and is not transferable or assignable.
004.03 OCCUPANCY. A licensee must not serve more children at any time than the maximum occupancy for which the facility is permitted. Buildings must not exceed the maximum occupancy issued by the Fire Marshal or the Department’s determination, whichever is less.
004.04 ALTERNATIVE COMPLIANCE. To be considered for approval of a time limited alternative compliance with a regulation, the proposed alternative must be consistent with the overall intent and purposes of the regulation and protect the health, rights, safety, and well-being of all children in care.
004.04(A) TERMS OF ALTERNATIVE COMPLIANCE. An alternative compliance may be granted:
(i) To permit the applicant or licensee time to come into compliance; and
(ii) For a period of time as determined by the Department.
004.04(B) WRITTEN REQUEST. A written request for an alternative compliance must be submitted to the Department and include the following information:
(i) The regulation for which alternative compliance is being requested;
(ii) The reason for the alternative compliance request;
(iii) A description of how the alternative will meet the intent of the regulation; and
(iv) How the alternative will offer equivalent protection for all children.
004.04(C) REQUIREMENTS NOT QUALIFYING FOR ALTERNATIVE COMPLIANCE. Alternative compliance will not be granted for the following requirements:
(i) Capacity and Ratio, except as described at 391 Nebraska Administrative Code (NAC) 7-005.05(B);
(ii) Transportation;
(iii) Supervision;
(iv) Fire safety;
(v) Criminal history and background checks;
(vi) Staff qualifications; and
(vii) Any regulation for which a discipline has been initiated or completed.
004.05 NOTIFICATION OF CHANGES. An amendment to the application must be submitted, in writing, to the Department:
(A) At least 90 working days before the planned effective date for a change in:
(i) Location;
(ii) Building or building usage; or
(iii) Capacity.
(B) At least five working days before a planned effective date for a change in:
(i) The age or gender of the children for whom care is provided; or
(ii) Executive director.
005. STANDARDS OF OPERATION AND CARE. The following requirements are applicable to all licenses.
005.01 RESPONSIBILITIES OF THE LICENSEE. Each license holder is responsible for the total operation of his or her or its agency or agencies. The responsibilities under the license include:
(A) Monitoring and implementing policies to assure the appropriate administration and management of the residential child-caring agency including a written policy mandating zero tolerance toward all forms of physical abuse, sexual abuse and sexual harassment and outlining the residential child-caring agency’s approach to preventing, detecting, and responding to such conduct;
(B) Ensuring the residential child-caring agency’s compliance with all applicable state statutes and regulations;
(C) Notifying the Department immediately of any issue of financial instability;
(D) Designating an executive director who is responsible for the day to day management and defining the responsibilities of the executive director;
(E) Ensuring the physical, mental, and psychosocial needs of all children cared for by the residential child-caring agency are met in accordance with each child’s individualized needs; and
(F) Ensuring the reporting of suspected abuse or neglect as required by Neb. Rev. Stat. §§ 28-372 and 28-711.
005.02 EMPLOYEE AND VOLUNTEER REQUIREMENTS. The licensee must maintain a sufficient number of staff with the required training and skills necessary to supervise and meet the needs of children in the care of the licensee. The licensee must verify the credentials, education, experience, and training of staff prior to staff assuming job responsibilities and caring for children and must have procedures for verifying that such requirements are met on an ongoing basis.
005.02(A) EMPLOYEE QUALIFICATIONS. All staff and volunteers must be of good moral character and not engage in or have a history of behaviors injurious to or which may endanger the health or morals of children and meet the required qualifications. Staff employed as an executive director, program director, direct care staff supervisor, or direct care staff prior to the effective date of this chapter are deemed to be in compliance with education and experience requirements for initial qualifications.
005.02(B) EXECUTIVE DIRECTOR. The executive director must meet one of the following education and experience requirements:
(i) Have a master’s degree in social work, counseling, business, public administration, education, or a related human service; or
(ii) Have a bachelor’s degree and five years of experience in social work, counseling, business, public administration, education, or a related human service.
005.02(C) PROGRAM DIRECTOR. If the executive director is not on site or is on site but not providing direct oversight of the day to day operations of the program then the licensee must employ a program director who:
(i) Has a master’s degree in social work, counseling, business, public administration, education, or a related human service; or
(ii) Has a bachelor’s degree and three years of experience in social work, counseling, business, public administration, education, or a related human service.
005.02(D) DIRECT CARE STAFF SUPERVISOR. A direct care staff supervisor, if other than the executive director or program director, must:
(i) Have a master’s degree in social work, counseling, or a related human service; or
(ii) Have a bachelor’s degree in social work, counseling, or a related human service with two years of experience in a human service related field;
005.02(E) DIRECT CARE STAFF. Each direct care staff must:
(i) Be at least 21 years of age; and
(ii) Have a high school diploma or a high school equivalency diploma.
005.02(F) CRIMINAL HISTORY RECORD CHECKS. Prior to having any contact with children or families, and not less than once during each five year period, the applicant must complete a fingerprint based national criminal history record check for each staff member and volunteer age 18 or older. If the residential child-caring agency is located in a private home a fingerprint based national criminal history record check must also be completed for each household member age 18 and older. The criminal history record check must be conducted through the Nebraska State Patrol. If an individual has lived outside the state of Nebraska during the preceding five years, the must also obtain documentation of a criminal history record check from the United States jurisdictions of residence. Except for minor traffic violations, the applicant or licensee must notify the Department and request a criminal history record check within five working days any time applicant or licensee becomes aware of convictions, regarding applicant or licensee, staff, or volunteers. If the residential child-caring agency is located in a private home such notification must also be made for household members. Licensees and individuals employed prior to the effective date of this chapter will not be disqualified based upon previous criminal history. Such persons can be disqualified based on criminal history occurring after the effective date of this chapter. Applicants and licensees may not have owners that have convictions that would disqualify them to be a licensee, staff member or household member.
005.02(F)(i) PERMANENT DISQUALIFICATION. An individual or entity is permanently disqualified from holding a license, residing in, or working as a staff member or volunteer if the individual or entity has a criminal history including conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes: against a child or vulnerable adult, involving intentional bodily harm, or involving moral turpitude on the part of the individual or entity. These crimes include but are not limited to:
(1) Aggravated or armed robbery;
(2) Assault, first or second degree;
(3) Child abandonment;
(4) Child abuse or neglect;
(5) Child molestation or debauching a minor;
(6) Commercial sexual exploitation of a minor;
(7) Felony domestic violence or violation of custody;
(8) Felony exploitation of a minor involving drug offenses or conviction of drug offenses that involved a minor;
(9) Felony controlled substances offenses, other than possession;
(10) Human trafficking;
(11) Incest;
(12) Kidnapping;
(13) Murder, first or second degree;
(14) Sexual abuse of a minor;
(15) Sexual assault;
(16) Sexual exploitation of a minor, including child pornography; or
(17) Voluntary manslaughter.
005.02(F)(ii) TWENTY-YEAR DISQUALIFICATION. An individual or entity is disqualified for 20 years from holding a license, residing in a residential child-caring agency, or working as a staff member or volunteer if the individual or entity has a criminal history that includes, but is not limited to, conviction of:
(a) Arson;
(b) Assault, third degree, two or more convictions;
(c) Burglary, two or more convictions;
(d) Criminal non-support;
(e) Driving under the influence, four or more convictions;
(f) Felony fraud, forgery, or theft;
(g) Felony possession of controlled substance offenses;
(h) Felony vehicular homicide;
(i) Felony terrorist threats;
(j) Misdemeanor domestic violence or violation of custody; or
(k) Robbery.
005.02(F)(ii)(1) DISQUALIFICATION TIMEFRAME. The disqualification period begins the date the conviction became final. Any time an individual or entity is completing the sentence is not included in the calculation of the disqualification period. An individual or entity is disqualified during the time the individual or entity is completing the sentence.
005.02(F)(iii) FIVE-YEAR DISQUALIFICATION. An individual or entity is disqualified for 5 years from holding a license, residing in a residential child-caring agency, or working as a staff member or a volunteer if the individual or entity has a criminal history that includes, but is not limited to, conviction of:
(a) Assault, third degree;
(b) Burglary;
(c) Contributing to the delinquency of a minor;
(d) Driving under the influence: two convictions;
(e) Felony insufficient fund or no account check writing;
(f) Felony criminal possession or unauthorized use of a financial transaction device;
(g) Felony identity fraud or theft;
(h) Misdemeanor controlled substances offenses;
(i) Misdemeanor failure to report child abuse;
(j) Misdemeanor fraud, forgery or theft;
(k) Misdemeanor terroristic threats;
(l) Misdemeanor vehicular homicide; or
(m) Public indecency.
005.02(F)(iii)(1) DISQUALIFICATION TIMEFRAME. The disqualification period begins the date the conviction became final. Any time an individual or entity is completing the sentence is not included in the calculation of the disqualification period. An individual or entity is disqualified during the time an individual or entity is completing the sentence.
005.02(F)(iv) OTHER COMPLAINTS, INDICTMENTS AND CONVICTIONS. The Department may determine that an individual or entity may hold a license or work as a staff member or a volunteer with a pending complaint, indictment, or conviction of other crimes if the Department determines the individual or entity has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
(1) The age of the individual at the time of the conduct;
(2) The recency of the conduct;
(3) The seriousness of the conduct;
(4) The factors underlying the conduct;
(5) The cumulative effect of the conduct;
(6) The evidence of rehabilitation;
(7) The individual’s positive social contributions since the conduct;
(8) The individual’s honesty in providing information; and
(9) The materiality of any omissions or misrepresentations.
005.02(F)(v) PARENTAL RIGHTS TERMINATED. An individual is permanently disqualified from holding a license, residing in a residential child-caring agency, or working as a staff member or volunteer if the individual has had his or her rights as a parent terminated by a court because of a finding of abuse or neglect of a child or inability to care for a child.
005.02(G) REGISTRY CHECKS. The applicant or licensee must complete a pre-employment registry check, and not less than once during each five year period, on each staff member, volunteer, and each household member who resides at a location where the licensee will provide services, appropriate to the age of the individual. If an individual has lived outside the state of Nebraska as an adult then the applicant or licensee must obtain pre-employment registry check from the United States jurisdictions where the individual resided in the preceding five years. Any individual who is listed as a perpetrator on any of the registries must not be a staff, volunteer, or household member. The following registries must be checked:
(i) Nebraska Child Abuse and Neglect Central Registry, if the individual is age 13 or older;
(ii) Nebraska Adult Protective Services (APS) Central Registry if the individual is age 18 or older; and
(iii) State Patrol Sex Offender Registry, if the individual is age 18 or older.
(iv) Equivalent registries in (i) through (iii) in other states and United States jurisdictions must be checked for individuals who have lived outside of the state of Nebraska as an adult.
005.02(H) INDIVIDUAL UNDER INVESTIGATION FOR CHILD ABUSE OR NEGLECT OF A CHILD OR VULNERABLE ADULT. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
005.03 RECORDS. Records of all employees, volunteers, and household members must be kept during the period an individual is employed, used, or by the residential child-caring agency or resides at the residential child-caring agency and for a minimum of two years after the separation of the employee or volunteer or the household member leaves the residential child-caring agency. A current record for each staff person, volunteer, or household member must be maintained at the facility where the employee or volunteer is assigned or resides or be made available upon request by the Department.
005.03(A) EMPLOYEE RECORDS. Each record for an employee must include documentation of all of the following:
(i) Name;
(ii) Address and telephone number;
(iii) Results of registry checks;
(iv) Results of criminal history record check;
(v) Date of assuming job responsibilities;
(vi) Pre-service training;
(vii) Statement that the employee has read and understands this chapter;
(viii) Education;
(ix) Social security number;
(x) Date of hire and termination;
(xi) Job title and job description;
(xii) In-service training;
(xiii) Annual performance evaluation;
(xiv) Any disciplinary action taken or work improvement plans;
(xv) Current driver’s license if employee transports children; and
(xvi) Vehicle insurance if employee transports children in own vehicle.
005.03(B) VOLUNTEER RECORDS. Each record for a volunteer must include the documentation required in 391 NAC 7-005.03(A)(i) through (iv) and of the following:
(i) Start date;
(ii) A written schedule that includes the hours and days of the week the individual serves as a volunteer; and
(iii) Training completed on the residential child-caring agency’s policies and procedures.
005.03(C) HOUSEHOLD MEMBER RECORDS. Each record for a household member must the documentation required in 391 NAC 7-005.03(A)(i) through (iv).
005.04 EMPLOYEE TRAINING. Written documentation of the completion of all training must be available at the facility where the staff is working for the Department to review and must include:
(1) Name of the employee;
(2) Name of the training;
(3) Date the training was completed; and
(4) Number of hours each training took to complete.
005.04(A) PRE-SERVICE TRAINING. Staff must have completed 30 hours of pre-service training prior to having direct responsibility for care and services to children which must include:
(i) Job duties and responsibilities;
(ii) Policies and procedures specific to job duties;
(iii) Residential child-caring agency policies and procedures;
(iv) Child rights;
(v) The residential child-caring agency’s policy mandating zero tolerance toward all forms of abuse including sexual abuse and sexual harassment;
(vi) How to establish appropriate boundaries and avoid inappropriate relationships with children;
(vii) Confidentiality of children’s records and children’s medical information;
(viii) Child service plans;
(ix) Universal precautions for infection control practices including hand washing techniques, personal hygiene, and disposal of infectious material;
(x) Information on any physical and mental special care needs of the children;
(xi) Information on statutes regarding abuse and neglect reporting procedures;
(xii) Disaster preparedness plans including fire evacuation and tornado shelter plans;
(xiii) Crisis management; and
(xiv) Trauma informed care.
005.04(B) ONGOING TRAINING. Each direct care staff must obtain 20 clock hours of training annually directly related to the skills necessary to care for children in out-of-home placement.
005.04(C) ACTIVITIES COUNTED AS TRAINING. Training activities must be directly related to the skills necessary to care for children and may be counted on an hour-for-hour basis. Study of written material may be counted as one training hour per 50 pages of written material.
005.04(D) CARDIOPULMONARY RESUSCITATION AND FIRST AID TRAINING. To qualify as acceptable cardiopulmonary resuscitation and first aid training the training must be obtained from an entity that has been approved by the Nebraska Board of Emergency Services. The cardiopulmonary resuscitation card and documentation of first aid training must be available upon request.
005.04(E) TRAINING OF VOLUNTEERS. Prior to assuming their duties, all volunteers must be trained on the policies and procedures of the residential child-caring agency.
005.05 STAFF-TO-CHILD RATIO. The Department will only consider staff who are in the same room or within reasonable hearing distance of children when determining if staff-to-child ratio is met. At least one direct care staff person must be on duty for every six children in care at all times. At least one staff member with current cardiopulmonary resuscitation certification and first aid training must be on duty at all times.
005.05(A) VOLUNTEER. A volunteer must be directly supervised by staff when working with children and cannot be counted in ratio.
005.05(B) ALTERNATIVE COMPLIANCE. The Department, may in its discretion, approve such request for an alternative compliance to allow one direct care staff person on duty for every 10 children in care between the hours of 12:00 a.m. until 6:00 a.m. for a period not to exceed one year. A licensee may request renewal of an approved request by submitting updated information. A licensee wanting to have such alternative compliance must submit a request for this alternative compliance to the Department which must include:
(i) A detailed description of the licensee’s plan to meet the physical, behavioral, and emotional needs of all children and to ensure the safety of all children and staff; and
(ii) A detailed plan to provide additional staff in the event of escalated behavior on the part of a child(ren) in placement or any emergency situation.
005.05(C) SUPERVISION. Adequate supervision must be provided to children at all times. The licensee must have and implement written policies and procedures to ensure adequate supervision is provided. Such policies and procedures must include:
(i) Anticipating and planning for behaviors and conflicts among the child population;
(ii) Knowing the whereabouts of all children at all times when children are in care, on or off the premises;
(iii) Being alert, attentive, and responsive to the needs of all children;
(iv) Protecting and ensuring the safety of all children in care; and
(v) Reporting all incidents to of violence toward staff or children in placement to the Department within one working day.
005.06 THE CHILD’S RIGHTS. The licensee must establish and implement a Bill of Rights that will be equally applicable to all children. The licensee must protect and promote these rights and afford children the opportunity to exercise their rights. The child and parent or legal guardian must be given a copy of the Bill of Rights before the licensee provides services to the child. The Bill of Rights must address that each child has the right to:
(A) Receive services provided by the licensee;
(B) Participate in the planning of the child’s care and receive instruction and education regarding the plan;
(C) Request information regarding the child’s care;
(D) Receive services without discrimination as to race, color, creed, age, or national origin;
(E) Have contact with family, friends, and other persons significant to the child;
(F) Exercise religious beliefs or cultural traditions;
(G) Access educational services;
(H) Be accepted for services only if the licensee has the ability to provide safe and professional care;
(I) Personal privacy and confidentiality of all records, communications, personal information, grievances and complaints, except as otherwise provided by law;
(J) Receive policies and procedures for admission, discharge, and termination of services at the time of admission;
(K) Voice complaints or grievances, including to outside agencies, and suggest changes in services or staff without fear of reprisal or discrimination and be informed of the resolution;
(L) Be free from verbal, physical, psychological, sexual abuse or harassment and to be treated with dignity;
(M) Expect all efforts will be made to ensure continuity and quality of care;
(N) Have the child’s person and property treated with respect;
(O) Be informed, in advance, about the care to be furnished, and any changes in the care to be furnished;
(P) Be free from chemical and mechanical restraints except as part of the child’s individual treatment plan; and
(Q) Have the opportunity to participate in community activities appropriate to age and cultural heritage, and interests.
005.07 COMPLAINT PROCESS. The licensee must allow staff, children, parents, guardians, and others to submit complaints or grievances to the licensee. Written policies and procedures must be established and implemented by licensee to address and document complaints or grievances received and include:
(A) A procedure for submission of complaints that is made available to staff, children, parents, guardians, and others;
(B) Time frames and procedures for review, investigation of complaints and provision of responses to address complaints. Children must be provided multiple internal ways to privately report sexual abuse, retaliation by other children or staff, and staff neglect which may have contributed to such incidents;
(C) A description of how information from complaints and responses is used to improve the quality of care and services for children; and
(D) A method to ensure that the telephone number of the Nebraska Child Abuse and Neglect Hotline and the child’s parent, guardian, or other legal custodian is readily available to children, employees and others who wish to lodge complaints.
005.08 PROGRAM DESCRIPTION. The licensee must ensure that a written description of the facility and type of services provided is available to staff, children, parents, guardians or their designees, and members of the public and includes:
(A) Ownership;
(B) The goals and objectives of the licensee;
(C) The description of the children to be served, including age, gender, care needs, and any other relevant characteristics;
(D) The composition of staff and their qualifications;
(E) The job responsibilities of staff;
(F) The discipline model for children in care; and
(G) How the program will address:
(i) Academic and vocational education;
(ii) Use of a library;
(iii) Money management training;
(iv) Religious instruction, according to the child’s own faith or that of the child’s parents;
(v) Nutrition and dietary education;
(vi) Recreation; and
(vii) Community contacts.
005.09 QUALITY ASSURANCE AND IMPROVEMENT. The licensee must develop and implement a written quality assurance and improvement plan with input from staff, children, parents, guardians and other community partners. The plan must be reviewed and updated annually and describe:
(A) How feedback will be utilized to improve services; and
(B) Methodology for monitoring, evaluating, and improving services.
005.10 ADMISSION POLICY AND PROCEDURE REQUIREMENTS. Acceptance of a child must be based on the licensee’s assessment of the licensee’s ability to meet the identified needs of the child. The licensee must establish and implement written policies and procedures for admission of a child to the facility. The policies must address how the licensee will:
(A) Assess and address the immediate needs of a child including the severity of the needs and the need for supervision of the child;
(B) Review admission information and makes admission decisions, including which staff are responsible;
(C) Assess its ability to meet the needs of the child based upon staff, facility, service, program structure, and available community services;
(D) Identify special health care needs which the licensee is not able to meet;
(E) Obtain written information for a child’s record to include:
(i) Full name;
(ii) Date of birth;
(iii) Date of admission;
(iv) A referral from the licensed child-placing agency, when applicable;
(v) Legal custodian;
(vi) Consent of the legal custodian for placement or a copy of the approved Interstate Compact on the Placement of Children (ICPC) agreement;
(vii) Written documentation of complete medical and dental examinations current within the past year;
(viii) Consent from the legal custodian for medical, dental, vision and emergency treatment;
(ix) Medical needs, medications, and allergies, including food allergies and dietary restrictions;
(x) A list of persons with whom the child may have contact; and
(xi) An inventory of personal items to be updated as the inventory changes; and
(F) Orient the child to the facility which includes:
(i) A tour;
(ii) Introduction to staff;
(iii) Description of rules and discipline policies;
(iv) Discussion of tasks and behaviors the child is expected to perform;
(v) Discussion regarding personal possessions the child is permitted to have; and
(vi) Providing information which describes the licensee’s zero tolerance policy of sexual abuse and sexual harassment and how to report incidents or suspicions.
005.11 CHILD RECORD. The licensee must maintain a record for each child in care. Each record must contain the information required by 391 NAC 7-005.10(E) and the following:
(A) Current educational information including: grade reports, scholastic achievement, and social adjustment;
(B) Medical, dental, and vision records including: examinations, immunizations, illnesses, and follow-up treatments;
(C) Psychological or psychiatric testing, examination, and follow-up treatment, if obtained;
(D) Visits to the child and contacts with child's own family and services provided or arranged; and
(E) Written service delivery or case plan for the child which must include documentation that meets the requirements in 391 NAC 7-005.12(F).
005.12 CHILD’S CARE. All children receiving care must have:
(A) Complete medical and dental examinations annually;
(B) Complete vision exam every other year;
(C) Immediate medical, dental, and vision care when an emergency arises;
(D) All required immunizations;
(E) Necessary treatment for any physical or mental health care needs; and
(F) A written service delivery or case plan for each child which must:
(i) Be completed within thirty (30) days of admission; and
(ii) Be updated quarterly while the child is in care and address:
(1) Health care;
(2) Education or vocational planning;
(3) Permanency objective;
(4) Discharge planning; and
(5) Have written reports of the child’s progress toward achieving the goals sent at least monthly to the child’s parent or guardian.
005.13 TOILETRIES. Each child in care must be provided individual:
(A) Body soap;
(B) Shampoo;
(C) Towels; and
(D) Washcloths.
005.14 DISCIPLINE. The licensee must have written policies and procedure that establish how and when the licensee will discipline children. The licensee must:
(A) Use discipline only as a learning process in which certain specified consequences are the result of unacceptable behavior;
(B) Use discipline models which encourage children to achieve service plan goals;
(C) Incorporate discipline in the child’s daily programming model;
(D) Apply discipline in a consistent manner;
(E) Provide positive reinforcement and reward; and
(F) Allow natural consequences to occur.
005.15 CHILD BEHAVIOR THAT CANNOT BE DISCIPLINED. Children must not be disciplined for:
(A) Toileting accidents, including bed wetting;
(B) Refusal to take medication; or
(C) Refusal to eat.
005.16 PROHIBITED ACTIONS. Children must not be subjected to:
(A) Spanking;
(B) Slapping;
(C) Pinching;
(D) Punching;
(E) Shaking;
(F) Striking with any object;
(G) Placing soap, hot sauce, or other unpleasant food or non-food items in a child’s mouth;
(H) Handling roughly;
(I) Biting;
(J) Denial of food;
(K) Extensive time-out;
(L) Derogatory remarks about the child or the child’s family;
(M) Abusive or profane language;
(N) Yelling or screaming;
(O) Threats of physical punishment;
(P) Mechanical or chemical restraints except as a physician ordered part of the child’s individual treatment plan;
(Q) Denial or reduction of family contact or visitation; or
(R) Imposition of discipline by one child upon another.
005.17 PROHIBITED LANGUAGE, MATERIALS, AND ACTIONS. Children must not be exposed to:
(A) Profanity;
(B) Sexually explicit material;
(C) Acts of violence toward a person or animal; or
(D) Acts of discrimination.
005.18 TRANSPORTATION. When transportation is provided by the licensee the following requirements must be met:
(A) Any individual who transports children must possess a current and valid driver’s license;
(B) Smoking is not permitted in any vehicle used to transport children;
(C) No vehicle may be used to transport more passengers than the seating capacity of the vehicle, as indicated by the manufacturer, allows;
(D) Staff-to-child ratio must be maintained;
(E) Any vehicle used to transport children must:
(i) Be operable and properly maintained;
(ii) Be clean and free of hazards;
(iii) Be registered;
(iv) Be insured;
(v) Be equipped with a first aid kit; and
(vi) Have doors locked at all times when in motion;
(F) Children being transported must:
(i) Not be left alone in a vehicle at any time if under 14 years of age;
(ii) Be adequately supervised at all times;
(iii) Be properly secured in an appropriate restraint system;
(iv) When required by law, be in car seats that:
(1) Meet federal standards;
(2) Are the correct type for the child’s age and developmental level; and
(3) Are properly secured; and
(v) Be school age or older when transported in buses over 10,000 pounds that are not equipped with restraint systems.
005.19 TRANSPORTATION POLICIES AND PROCEDURES. The licensee must have written policies and procedures that establish and implement how children will be transported in compliance with this chapter and must include:
(A) Emergency procedures in the event a child becomes ill, the vehicle breaks down or is involved in an accident, or other emergencies; and
(B) How it will address the presence or absence of other passengers besides staff and children in the vehicle.
005.20 MEDICATION. When the licensee utilizes licensed health care professionals for whom medication administration is included in the scope of practice, the licensee must ensure the medications are properly administered in accordance with prevailing professional standards. When the licensee utilizes persons other than a licensed health care professional to provide medications the licensee must follow the requirements of the Medication Aide Act and 172 NAC 95 and 96. Only staff authorized by the executive director of the residential child-caring agency may have access to medications. Children must receive prescription medication only as legally prescribed by a healthcare practitioner and in accordance with the prescription.
005.20(A) MEDICATION RECORD KEEPING. A written record of medication administration must kept separately for each child and be available for review by the Department. For any prescription or non-prescription medication provided to a child the record must include the:
(i) Name of the child;
(ii) Name of the medication;
(iii) Name of prescriber;
(iv) Amount or dosage;
(v) Route the medication is provided;
(vi) Time medication is provided;
(vii) Name of staff person responsible for providing the medication;
(viii) Any drug allergies; and
(ix) If the medication is not administered, the reason for the lack of administration.
005.20(B) MEDICATION ERRORS. Medication errors must be clearly documented and reported to the child’s parent or legal guardian and any individual responsible for monitoring medication administration for the child.
005.20(C) STORAGE OF MEDICATION. Prescription and non-prescription medications must be stored in the following manner:
(i) All non-emergency prescription and non-prescription medications must be kept in locked storage at all times children are in care;
(ii) All emergency prescription and non-prescription medications must be inaccessible to children and supervision must be provided to ensure children do not have access;
(iii) Separate locked storage must be provided for medications requiring refrigeration;
(iv) All medications must be kept in the original container and all prescription medication must have a prescription label; and
(v) All prescription medications must be returned to the parent or guardian or a dispensing pharmacy when no longer needed. All non-prescription medication must be returned to the parent or guardian or disposed of when no longer needed.
005.20(D) EXPIRED AND UNUSED MEDICATION. Expired and unused medications must be handled in the following manner:
(i) Any expired medication must not be given to the child and must be disposed of properly and a written record kept of the date the medication was disposed, by what method, and by whom;
(ii) Any unused medication, provided directly by the parent or guardian, which has not expired must be returned to the parent or guardian or disposed of in an appropriate manner as directed by the parent or guardian. A record must be kept of the date the medication was disposed, by what method, and by whom; and
(iii) Any unused medication, not provided directly by the parent or guardian, must be disposed of properly and a record kept of the date the medication was disposed, by what method, and by whom.
005.21 FOOD SERVICE. Meals and snacks must be appropriate for the age and development of the child, address children’s food allergies and intolerance; and meet established United States Department of Agriculture requirements regarding food groups and serving sizes. If the meals and snacks do not meet United States Department of Agriculture requirements the licensee must obtain a statement from a physician, which must be made available for review by the Department, indicating it is acceptable for the child to be served meals and snacks that do not meet United States Department of Agriculture requirements. If the licensee contracts for the services of an outside food service management company, the licensee remains responsible for compliance with the applicable regulations.
005.21(A) MENUS. Menus must be approved by a registered dietician. Menus must be:
(i) Modified to accommodate special diets and texture adaptations as needed by the child; and
(ii) Available to child, parent or legal guardian, and the Department.
005.21(B) FOOD SAFETY. The licensee must meet and maintain sanitation and environmental requirements at all times and be in compliance with the Nebraska Food Code.
005.22 EMERGENCY PREPAREDNESS. The licensee must meet and maintain the following emergency preparedness requirements.
005.22(A) TELEPHONE. A working, non-coin operated telephone must be available at the facility at all times. Emergency telephone numbers, including fire, rescue, police (or 911) and Poison Control, must be prominently posted.
005.22(B) FIRE AND TORNADO DRILLS. Fire and tornado drills must be practiced with the children and staff. Written documentation of drills, including dates conducted, must be kept and available for review by the Department:
(i) Fire drills must be completed a minimum of once per month. At least one fire drill per year must be practiced during sleeping hours.
(ii) Tornado drills must be completed a minimum of four times per year during the months of March through September. At least one tornado drill per year must be practiced during sleeping hours.
005.22(C) FIRE AND TORNADO SAFETY DIAGRAMS. Fire and tornado safety diagrams must:
(i) Show the layout of the facility and the surrounding area;
(ii) Be prominently posted and visible in each room where care is provided;
(iii) Include how the evacuation of children with special needs will be conducted;
(iv) Include fire evacuation routes; and
(v) Include tornado safety locations.
005.22(D) DISASTER PREPAREDNESS. The licensee must have and implement written plans and procedures which must address and delineate how, during a disaster, the licensee will:
(i) Maintain the proper identification of each child to ensure that care coincides with the child’s needs;
(ii) Move children to points of safety or provide other means of protection when all or part of the building is damaged or uninhabitable due to natural or other disaster.
(iii) Protect children during the threat of exposure to the ingestion, absorption, or inhalation of hazardous substances or chemicals;
(iv) Provide food, water, medicine, medical supplies and other necessary items for care; and
(v) Provide comfort, safety, and well-being of children in the event of 24 or more consecutive hours of:
(1) Electrical or gas outage;
(2) Heating, cooling, or sewer system failure; or
(3) Loss or contamination of water supply.
005.22(E) NOTIFICATION TO THE DEPARTMENT OF EMERGENCIES. The licensee must document and notify the Department of Health and Human Services, Division of Public Health, Office of Children’s Services Licensing or its successor within 24 hours or next business day of the following occurrences:
(i) The death of a child;
(ii) Any incident that involves staff assaulting a child;
(iii) Any incident that involves children assaulting staff that requires medical treatment by a licensed health care facility;
(iv) Any allegation of sexual abuse involving a child; and
(v) An emergency or disaster that results in significant damage which impacts the ability to provide care for children at the licensed location.
005.22(F) FIRST AID KIT. A first aid kit must be available at the facility and inaccessible to children. If any poisons or medications are stored in the kit, the kit must be kept in locked storage.
005.23 ENVIRONMENTAL MAINTENANCE AND SAFETY. The licensee must provide a safe and hazard-free environment to protect the health and safety of children in care, including:
(1) Any building and area where children are present must be kept free of exposed lead-based paint surfaces that are flaking, peeling, or chipped;
(2) Rooms, walls, floors, and ceilings must be kept clean, dry, in good repair, and free of odor resulting from sewage, mold, mildew, or other environmental or biological hazards or unsanitary conditions;
(3) Heating, ventilation, and lighting in all rooms used for children must be operable and suitable;
(4) The entrance, harborage, or breeding of rodents, flies and all other insects and vermin must be prevented. All doors opening to the outside must be self-closing (except sliding doors) and all windows used for ventilation and all opening to the outside must be screened;
(5) All garbage and rubbish must be disposed of in a manner that minimizes odor and the transmission of infectious diseases, and prevents the attraction of rodents, flies, and all other insects and vermin. This includes:
(i) All outdoor and indoor containers used for disposal of food, bodily fluids, or other odorous materials must be watertight, have tight fitting covers, and be insect and vermin proof;
(ii) Keeping all garbage and rubbish containers clean; and
(iii) Not burning garbage at the facility;
(6) Carpeting is prohibited in a bathroom, except for removable, washable, and non shag throw rugs;
(7) Carpeting is prohibited in the food preparation or storage area;
(8) Walls must be smooth and made of easily cleanable construction;
(9) A process for routine and preventative maintenance of equipment, fixtures, furnishings, and toys so they are kept clean, safe, in good repair, and available to meet the intended use must be developed and followed. This includes ensuring no sharp edges, rust, or loose parts;
(10) Furniture and equipment must be arranged so as not to interfere with exits:
(11) All poisonous or toxic materials must be kept in locked storage at all times;
(12) Cleaning agents must be inaccessible to children under age ten;
(13) All firearms, other potentially hazardous weapons, weapon accessories, and ammunition must not be at the facility;
(14) Electrical outlets within reach of children under age six must be covered with safety caps, ground fault interrupters, or have safety outlets installed;
(15) Shared use of the following items is prohibited:
(a) Disposable towelettes;
(b) Drinking containers, cups, or glasses;
(c) Personal care items such as toothbrushes, shampoo, conditioner, deodorant, and razors;
(d) Hair brushes and combs; and
(e) Towels and washcloths; and
(16) Deep freezers that cannot be opened from the inside must be locked or stored in a locked room.
005.23(A) SMOKING AND USE OF ELECTRONIC CIGARETTES. Smoking anywhere indoors is prohibited at all times. Use of electronic cigarettes anywhere indoors is prohibited at all times.
005.23(B) ALCOHOL AND CONTROLLED SUBSTANCES. The unlawful use or possession of alcohol is prohibited. The unlawful use or possession of controlled substances, as defined by the Uniform Controlled Substance Act, is prohibited.
005.23(C) ANIMALS AND PETS. Any animal or pet at the facility must not negatively affect the children. The licensee must:
(i) Complete all vaccinations as recommended by the licensed veterinarian that include, at a minimum, current vaccination for rabies for dogs, cats and ferrets;
(ii) Have provision of pet care necessary to prevent the acquisition and spread of fleas, ticks and other parasites;
(iii) Ensure that no animals are allowed in the food preparation, food storage, or serving areas during food preparation and serving times; and
(iv) Comply with any state or local law or ordinance relating to the care and ownership responsibilities of pets or specific breeds identified by those laws or ordinances.
005.24 SPECIFIC SERVICE REQUIREMENTS AND PROVISIONS. In addition to the requirements in 391 NAC 7-005.01 to 005.23(S) the licensee must establish and implement written policies and procedures to meet the requirements listed for each service it provides as prescribed in 391 NAC 7-005.24.
005.24(A) PREGNANT AND PARENTING CHILD SERVICE. If services are provided to pregnant and parenting children the following requirements must be met:
005.24(A)(i) GENERAL REQUIREMENTS. The licensee must:
(1) Have a written plan for infant and toddler safety including a plan for an infant or toddler whose mother is unable or unwilling to provide care;
(2) Provide a complete written description of its program to the child, parent, guardian or legal custodian, and the Department;
(3) Develop a training plan to ensure that staff working with pregnant and parenting children develop skills and knowledge regarding pregnancy, infant and child care;
(4) Provide bedrooms separate from children in other programs; and
(5) Have at least two direct-care staff providing care to children at all times and count infants and toddlers in ratio and capacity as follows:
(a) An infant or toddler is not counted in the ratio when the licensee is not responsible for care of the infant or toddler;
(b) An infant or toddler must be counted in the ratio when the licensee is responsible for the care of the infant or toddler; and
(c) An infant or toddler must always be counted in the capacity number.
005.24(A)(ii) HEALTH CARE SERVICES. The licensee must have the following:
(1) There must be a written plan for all deliveries to take place in a licensed hospital;
(2) Medical care and services:
(a) Each child must receive the services of a healthcare practitioner on a regular and continuing basis throughout pregnancy, delivery, and post-delivery checkups; and
(b) The program must provide for consultation from a physician who must be available in an emergency; and
(3) Medical record for a pregnant or parenting child must include:
(a) A completed medical consent form;
(b) The name of the health care provider;
(c) A schedule of appointments;
(d) The expected date of delivery; and
(e) Documentation of any special needs or problems related to pregnancy.
005.24(A)(iii) CASE SERVICE PLAN. A written case service plan for each child in care must be developed within one month after the child's admission and involve the child, staff, and other individuals who must legally be involved in the planning for the child and include:
(1) Preparation for delivery of the infant;
(2) Plans regarding postnatal after discharge from the hospital;
(3) Decision making in relation to the day to day care of the infant;
(4) Counseling for the father when appropriate;
(5) Counseling for the families of the child;
(6) Employment or education planning;
(7) Counseling regarding legal rights and obligations in relation to parenthood;
(8) Preparation for parenthood and family life for mothers choosing to parent their infants;
(9) Adoption counseling provided by a licensed child-placing agency approved to provide adoption services for those mothers interested in or planning to relinquish parental rights to their infants;
(10) Socialization and support opportunities for single parents; and
(11) Discharge plans that include information regarding postnatal care.
005.24(A)(iv) RELINQUISHMENT OF AN INFANT. At the request of the child, staff must arrange for referral to a licensed child-placing agency which provides adoption services.
005.24(B) SERVING BOTH CHILDREN AND ADULTS. When a licensee provides care to both adults and children the children must be separated from adults by sight and sound at all times care is being provided. Licensee must have and implement written policies and procedures to ensure such separation is maintained at all times.
005.24(C) INDEPENDENT AND TRANSITIONAL LIVING SERVICE. A licensee providing independent and transitional living services to children must:
(i) Within 30 days of placement develop a written service delivery or case plan which meets the requirements in 391 NAC 7-005.10(E) and the following documentation:
(1) Money management and consumer awareness;
(2) Food management;
(3) Personal appearance;
(4) Health;
(5) Housekeeping;
(6) Job seeking skills;
(7) Job maintenance skills;
(8) Emergency and safety skills;
(9) Interpersonal skills;
(10) Legal resources;
(11) Leisure activities; and
(12) Housing;
(ii) Supervise the child. Supervision must include the following:
(1) Ensuring participation in an educational, vocational, or work program;
(2) Establishing a curfew based upon the individual needs of the child;
(3) Protecting the child from harm while at the facility; and
(4) Having daily face-to-face contact with the child; and
(iii) Maintain staffing to ensure the safety and supervision needs of all children are met at all times.
005.25 DRUG TESTING. Written permission from the child’s legal guardian must be obtained prior to testing a child. The licensee must have and implement written policies and procedures which must include:
(A) Circumstances under which drug testing will occur;
(B) The types of materials and “kits” to be used;
(C) Who will be authorized to perform any part of the testing process;
(D) How the process will be initiated with the child;
(E) How the child will be observed;
(F) How the sample will be obtained;
(G) When the sample will be obtained;
(H) How the sample will be tested;
(I) How the licensee will prevent tampering or manipulation through each of the following means:
(i) Substitution;
(ii) Use of additives; and
(iii) Cleansing or detoxification procedures;
(J) What will be the response to a positive test;
(K) The documentation that will be completed; and
(L) Who will be notified of the test and the results.
005.26 SEARCH OF A CHILD AND POSSESSIONS. Written permission from the child’s legal guardian must be obtained prior to staff performing a search. The licensee must have and implement written policies and procedures which must include:
(A) Circumstances under which a search of the child and their possessions will be conducted;
(B) Searches must never be done to punish or harass a child;
(C) Who will be conducting the search. At least one staff must observe the search conducted by another staff;
(D) How the search process will be initiated with the child. The child must be given the opportunity to hand over any contraband in their possession prior to a search being initiated;
(E) The response to finding a child in possession of contraband;
(F) Who will be notified of the search and the result;
(G) Arrangements for transfer or disposition of any contraband found on the child or the child’s possessions;
(H) The requirements for searches of children and possessions as found in 391 NAC 7-005.27 and 005.28; and
(I) Documentation that will be completed.
005.27 PERSON SEARCHES. Strip searches and body cavity searches are prohibited. A search of a child’s person must be conducted in the following manner:
(A) A child may be asked to remove their exterior garments such as sweaters, sweatshirts, jackets, belts, and shoes;
(B) The physical contact part of any search must be done through the child’s clothing and only by staff of the same gender as the child;
(C) The staff shall make no skin to skin contact with the child;
(D) The staff shall make no contact with the erogenous zones of the child’s body. Erogenous zones include the genital and buttocks areas of both genders and the chest area of females; and
(E) Only a reasonable amount of pressure may be applied to any area of the body.
005.28 SEARCH OF CHILD’S POSSESSIONS. A search of a child’s possessions must be done in the following manner:
(A) The possessions of a child must be handled with care and respect; and
(B) Upon the conclusion of a search the child’s items must be restored to their original place and order.
005.29 PHYSICAL RESTRAINT AND ROOM CONFINEMENT. If the licensee uses physical restraint or room confinement the licensee must:
(1) Use a Department approved crisis intervention model;
(2) Comply with all state and federal laws and regulations;
(3) Use physical restraint or room confinement only as part of the child’s individual treatment plan;
(4) Use physical restraint or room confinement only in emergency circumstances to ensure the immediate physical safety of the child, staff member, or others;
(5) Use physical restraint or room confinement only after less restrictive deceleration and de-escalation interventions have been determined to be ineffective;
(6) Be limited to the least amount of time necessary to address the situation and restore safety;
(7) Ensure the behavioral conditions for removal of disciplinary restrictions are specified each time that restraint or room confinement is imposed;
(8) Ensure that the child is notified, in terms the child can understand, of the criteria to be met before restraint or room confinement can end;
(9) Use only staff trained in the implementation of the crisis intervention model;
(10) Not allow children to restrain or impose room confinement on another child; and
(11) Have, maintain, and implement written policies and procedures to ensure compliance with.
005.29(A) USE PROHIBITED. The following restraint and room confinement practices are prohibited and include use:
(i) As a form of punishment or discipline;
(ii) For the convenience of staff;
(iii) As a substitute for care and treatment;
(iv) Of pain compliance techniques;
(v) Of chemical and mechanical restraints, except for a drug or medication ordered by a physician as part of the child’s individual treatment plan;
(vi) Of techniques which cause hyperextension of any part of the body (pushing or pulling of any part of the body beyond normal limits);
(vii) Of joint or skin torsion;
(viii) Of pressure or intensity of pressure on any part of the body not authorized by the physical restraint model;
(ix) Of any type of choke hold; and
(x) Of any maneuver that involves choking, punching, hitting, poking, pinching, scratching or shoving.
005.29(B) NOTIFICATION. The licensee must notify the Department whenever any staff engages in prohibited restraint or room confinement practices.
005.29(C) WRITTEN AUTHORIZATION REQUIRED. The licensee using restraint or room confinement must obtain prior written authorization from the child’s guardian giving informed consent related to its potential use.
005.29(D) CHILD’S MULTI-DISCIPLINARY TEAM CONVENED. The child’s multi-disciplinary team must be convened within 24 hours of the imposition of the restraint or room confinement to develop alternative effective deceleration and de-escalation techniques.
005.29(E) INCIDENT REPORT. A written incident report must be completed within 24 hours from the time the restraint or room confinement began and made available to all multi-disciplinary team members and the Department and include:
(i) The name of the child placed in restraint or room confinement;
(ii) Description of less restrictive intervention techniques used and why they were ineffective;
(iii) The reason for the restraint or room confinement;
(iv) Type of restraint used;
(v) The date and times the restraint or room confinement began and ended;
(vi) The name(s) of staff who restrained the child or assigned the child to room confinement;
(vii) The assessments and monitoring provided while the child was in restraint or room confinement and immediately after the child was released from restraint or removed from room confinement;
(viii) A statement of the behavioral conditions that the child was required to meet in order to be released from restraint or removed from room confinement;
(ix) A summary of the debriefing that was conducted;
(x) The frequency and types of restraints or room confinement used, over time, for the individual;
(xi) Any injuries sustained by the staff or child;
(xii) Any medical care needed by the child or staff as a result of the use of restraint or room confinement;
(xiii) Documentation of internal review; and
(xiv) Any other actual or planned follow-up actions.
005.29(F) STAFF TRAINING. Staff may not use restraints or room confinement until the staff has successfully completed training in the use of such. Training on the use of restraints and room confinement must:
(1) Be comprehensive and competency based meeting all requirements of the crisis intervention model being implemented by the licensee. Comprehensive based training in the use of physical restraint or room confinement must involve repeated and on-going skill development, conditioned learned responses, rehearsals and practices;
(2) Provide physical restraint or room confinement training only by certified trainers from the organization that developed the crisis intervention model selected by the licensee;
(3) Be provided regularly and include safe and appropriate use of restraints or room confinement as well as refresher courses in alternative non-intrusive behavior modification techniques; and
(4) Not combine components of various models for use as a licensee’s identified single model except required competency in cardiopulmonary resuscitation and first aid.
005.29(F)(i) TRAINING RECORD. Written documentation of certification and re-certification training for each staff which must be available to the multi-disciplinary team members and Department staff and include:
(1) The name of the person trained;
(2) Date(s) of training;
(3) Source;
(4) Content; and
(5) Length of each training.
005.29(G) INTERNAL REVIEW. Any licensee using room confinement or physical restraint must have a performance improvement program designed to continuously investigate, analyze, monitor, assess, and track the licensee’s use of room confinement and restraint practices and to specifically address injuries or death related to the use of room confinement and restraints and must include the review of:
(i) Training proficiency;
(ii) Environmental triggers;
(iii) Systems issues;
(iv) Each use of restraint or room confinement;
(v) Notification of family and need for medical care;
(vi) Administrative and program policy and procedure;
(vii) Incident debriefing and follow up; and
(viii) Aggregate data.
006. PHYSICAL PLANT STANDARDS. All buildings, including all detached buildings, for the purpose of providing care to children must meet the following physical plant standards.
006.01 WATER SUPPLY. Have an accessible, adequate, safe, and potable supply of water for drinking, food preparation, hand washing, bathing, and laundry which is maintained and meets the following requirements:
(A) If drinking water is obtained from a source other than a public water supply system, the water must not contain contaminants that exceed the maximum contaminant levels set for nitrate, or total coliform for public water supply systems in 179 NAC 2-002, and 179 NAC 3 or the lead action level set in 179 NAC 12. The licensee must report to the Department the results of all tests that show the water contains contaminants that exceed a maximum contaminant or action level. The water supply must be tested annually and the tests results must be available for review upon request. If the water supply does not meet nitrate, total coliform bacteria and lead standards until the contaminants are lowered to acceptable levels the licensee must:
(i) Obtain water from a source approved by the Department; or
(ii) Purchase water from a commercial source.
(B) Provide drinking water by sanitary drinking fountains or individual or disposable cups;
(C) Drinking fountains must have mouth guards with water issuing under sufficient pressure;
(D) Provide sanitary dispensing and disposal unit for paper cups;
(E) Provide running water under pressure;
(F) Each hot water storage tank must have a working pressure and temperature relief valve;
(G) Provide adequate cold water and adequate water heating facilities so that a sufficient amount of hot water, maintained between 100 and 120 degrees of Fahrenheit, is available for general cleaning bathing, bathing, as well as washing and sanitizing utensils; and
(H) Provide soap for hand washing.
006.02 SEWER REQUIREMENTS. A sanitary and functioning sewage system must be maintained and either connect to a municipal sewage system or comply with the requirements set by the Nebraska Department of Environmental Quality for the operation and maintenance of an onsite wastewater system.
006.03 VENTILATION. Kitchen, bathrooms, and services rooms must have ventilation by window or mechanical means through a vent leading directly to the outside.
006.04 HEATING AND COOLING SYSTEM. All occupied buildings must have a functioning heating and cooling system with clean filters which maintains building temperature at not less than 65 degrees Fahrenheit and not more than 85 degrees Fahrenheit.
006.05 LIGHTING. All occupied buildings must have adequate lighting in every room, hallway, interior and exterior stairway, interior and exterior doorway, porch, ramp, and fire escape.
006.06 LAUNDRY. There must be separate areas for storage of soiled linen and clean linen. Laundry services may be provided by contract or on-site. Areas dedicated to laundry must include:
(A) An operable non-coin washer and dryer at a ratio of one washer and one dryer per every six children; and
(B) Laundry detergent, including specific detergent for children with allergies.
006.07 CHILD LIVING AREAS. A garage, barn, shed, travel trailer, fifth wheel trailer, recreational vehicle, portable classrooms, or similar structure must not be used as a child living area. Living areas must be:
(1) Furnished with beds, chairs, sofas, tables, and storage items that are comfortable and reflective of individual needs and intended use of the area; and
(2) Have Fire Marshal approval for use.
006.07(A) PRIVACY ROOMS. Rooms must be available to allow privacy for interviewing a child or parents and for a child to visit relatives or guests.
006.07(B) ACTIVITY AREAS. There must be a minimum of 50 square feet of space for each child for individual or group activities.
006.07(C) LEISURE AND RECREATION. Space used for leisure and recreation must be separate from the child’s bedroom and dining, meeting, and studying areas.
006.07(D) BEDROOMS. Bedrooms must:
(i) Be designated to provide separation of males and females;
(ii) Allow for sleeping;
(iii) Afford privacy;
(iv) Provide access to belongings;
(v) Provide adequate storage for belongings;
(vi) Accommodate the care provided to the child;
(vii) Be approved by the Fire Marshal;
(viii) Not be shared by more than four children;
(ix) Contain:
(1) A minimum of 100 square feet of usable floor space for a private room; or
(2) A minimum of 70 square feet per child if the room is shared or 40 square feet per child of bedroom space for shared bedrooms in emergency shelter care; and
(3) A ceiling height of at least seven feet.
006.07(E) BED REQUIREMENTS. Each child must have his or her own separate bed frame that is at least two inches off the floor and which has a mattress and bedding. The licensee must ensure a complete change of bedding is provided at least once a week or more frequently when soiled. The bed must:
(i) Be adequate in width and length for the child’s height and weight;
(ii) Be in good condition; and
(iii) Be spaced no closer to another bed than 36 inches laterally or end-to-end.
006.07(F) BUNK BEDS. Bunk beds may be used, if age and developmentally appropriate to the child, and must be constructed of safe, stable materials and have a sturdy ladder for access to the top bunk.
006.07(G) BATHROOMS. One operable toilet, sink, tub, or shower for every six children in care must be available. Toilets must be on the same floor as children’s sleeping areas and sinks must be on a one to one ratio with toilets. Bathrooms must:
(i) Be able to be unlocked from the outside;
(ii) Not be accessed through another child’s or staff’s bedroom;
(iii) Not open directly into a room which food, drink, or utensils are handled or stored;
(iv) Be kept clean, in good repair, well lighted and well ventilated;
(v) Be located in an area that is enclosed and provides for privacy;
(vi) Be adequately supplied with toilet paper; and
(vii) Have slip-resistant surfaces in tubs and showers.
006.08 STAFF BEDROOM AND BATHROOM. When staff live in or sleep at the residential child-caring agency, there must be at least one room adequately furnished and a private bath area reserved for staff. Staff rooms must be located in the same building as the children’s sleeping rooms when counted in the staff-to-child ratio.
006.09 OUTDOOR AREAS. Any outdoor area used by children must be equipped and situated in such a manner as to encourage activity and assure the safety of children and must:
(A) Have 50 square feet of area per child;
(B) Be equipped with age and developmentally appropriate play equipment; and
(C) Have no standing or stagnant water or sewage present.
006.10 EDUCATIONAL SERVICES. If the licensee maintains a school at the residential child-caring agency, the buildings and equipment must meet the requirements of the Nebraska Department of Education for an approved or accredited school.
006.11 FIRE SAFETY. The licensee must maintain fire safety approval at all times.
006.12 SANITATION AND ENVIRONMENTAL SAFETY. The licensee must maintain sanitation and environmental requirements at all times.
","appendixNumber":null,"titleId":179,"recordStatusId":null,"dateFiled":null,"effectiveEndDate":null,"renewCount":0,"emergencyRegulationId":null,"isEmergency":false},{"id":1464,"chapterName":"CHILD-PLACING AGENCIES","chapterNumber":"8","effectiveDate":"2021-03-22T00:00:00","pdfContainerName":"chapter-pdfs","pdfBlobName":"391 NAC 8 (03-22-2021).pdf","officialPdfBlobName":null,"certificateOfAdoptionBlobName":null,"chapterHtml":"TITLE 391 - CHILDREN’S SERVICES LICENSING
CHAPTER 8 - CHILD-PLACING AGENCIES
001. SCOPE AND AUTHORITY. These regulations govern licensure of child-placing agencies. The regulations are authorized by Nebraska Revised Statutes (Neb. Rev. Stat.) §§ 71-1924 to 71-1951.
002. DEFINITIONS. Definitions set out in Neb. Rev. Stat. §§ 71-1924 to 71-1951 and the following apply to this chapter:
002.01 ADOPTION. A judicial act creating between two persons certain relations, purely civil, of paternity and filiation.
002.02 ADOPTION DISRUPTION. Termination of an adoptive placement prior to the finalization of the adoption.
002.03 ADOPTIVE PLACEMENT. A type of placement that has not been finalized by a Decree of Adoption issued by a court of competent jurisdiction.
002.04 AGENCY. A licensed child-placing agency.
002.05 CHILD PLACEMENT. To coordinate, arrange, and approve the process of a child entering an unrelated home or facility to be cared for on a temporary, long-term, or adoptive basis.
002.06 COMPLETE APPLICATION. An application that contains all of the information requested on the Department approved application form, with attestation to its truth and completeness, and that is submitted with all required fees and documentation.
002.07 CONCURRENT ADOPTION. More than one adoption being processed simultaneously either through the same agency or multiple agencies.
002.08 CONFLICT OF INTEREST. Circumstances where the licensee or its staff would benefit personally or professionally from its or its staff’s professional actions.
002.09 CURRENT REFERENCE. A reference dated within one year of the time of application.
002.10 EXECUTIVE DIRECTOR. The executive director, director, superintendent, president, chief executive officer, and similarly classified positions who is responsible for the daily operation of the agency.
002.11 FOREIGN COUNTRY ADOPTION. The placement of children emigrating from their country of origin for the purpose of adoption.
002.12 HOUSEHOLD. All persons who have significant in-home contact with the child, including those who have a familial or intimate relationship with any person in the home. A person is considered as a member of the household if the individual spends 50% or more of the individual’s time in the home or if the home is the individual’s only permanent residence.
002.13 INTERSTATE ADOPTION. Placement of a child into Nebraska from another state or United States jurisdiction or from Nebraska into another state or United States jurisdiction with a person(s) for the purpose of adoption
002.14 LICENSEE. Limited liability company, corporation, or nonprofit corporation to whom the license is issued.
002.15 MEDICALLY FRAGILE CHILD. A child whose chronic health or life threatening condition continually or unpredictably causes incidences that require monitoring.
002.16 PLACEMENT. The arrangement for the care of a child in a licensed or approved foster family or in a residential child-caring agency but does not include any institution caring for the mentally ill, developmentally disabled or any institution primarily educational in character, or any hospital or other healthcare facility.
002.17 PLACEMENT WORKER. A staff person employed by the agency who has the responsibility to effectuate the movement of a child into the home of a family who wishes to provide permanency for the child through adoption.
002.18 QUALITY IMPROVEMENT PROGRAM. A review of the services and outcomes of the services provided to applicants, families, and children and a procedure for tracking outcomes to determine if changes are needed to be made to the system to improve delivery of the services.
002.19 STAFF. A person employed by the licensee and who has direct contact or responsibility for children.
003. LICENSING REQUIREMENTS AND PROCEDURES. To receive a license, an applicant must submit a complete application and meet the requirements for a license set out in statute and in this chapter.
003.01 INITIAL APPLICATION REQUIREMENTS. An applicant must submit the following documentation:
(A) Results of Child and Adult Abuse and Neglect Central Registry check, current within six months, for executive director;
(B) Results of criminal history record checks current within six months for the executive director; and
(C) Proof of adequate liability insurance or if self-insured of sufficient funds to pay liability claims.
003.02 RENEWAL APPLICATION REQUIREMENTS. An applicant must submit a complete application for renewal and meet the requirements for a license set out in statute and in this chapter. An applicant must submit proof of adequate liability insurance or if self-insured of sufficient funds to pay liability claims.
003.03 CHANGE OF OWNERSHIP. The new owner must apply for a license as required in this chapter.
004. GENERAL REQUIREMENTS. The following requirements apply to all licensees.
004.01 EFFECTIVE DATE AND TERM OF LICENSE. A child-placing agency license will expire on September 30 of each calendar year.
004.02 LICENSE NOT TRANSFERABLE. A license is issued only for the premises and person(s) named in the application and is not transferable or assignable.
004.03 ALTERNATIVE COMPLIANCE. To be considered for approval of a time-limited alternative compliance with a regulation, the proposed alternative must be consistent with the overall intent and purpose of the regulation and protect the health, rights, safety, and well-being of all children in care.
004.03(A) TERMS OF ALTERNATIVE COMPLIANCE. An alternative compliance may be granted:
(i) To permit the applicant or licensee time to come into compliance; and
(ii) For a period of time as determined by the Department.
004.03(B) WRITTEN REQUEST. A written request for alternative compliance must be submitted to the Department and include the following information:
(i) The regulation for which alternative compliance is being requested;
(ii) The reason for the alternative compliance request;
(iii) A description of how the alternative will meet the intent of the regulation; and
(iv) How the alternative will offer equivalent protection for all children.
004.03(C) REQUIREMENTS NOT QUALIFYING FOR ALTERNATIVE COMPLIANCE. Alternative compliance will not be granted for the following requirements:
(i) Criminal history or background checks;
(ii) Staff qualifications; and
(iii) Any regulation for which a disciplinary action has been initiated or completed.
004.04 NOTIFICATION OF CHANGES. An amendment to the application must be submitted in writing to the Department:
(A) At least 60 working days before the planned effective date for a change in or addition of:
(i) Location; or
(ii) Services the agency provides.
(B) Within five working days of a change in executive director.
004.05 CONFLICT OF INTEREST. The licensee must ensure there is no conflict of interest when deciding whether or not to perform a home study, place a child, or supervise the placement of a child with its own staff member, board member, or family member of a staff member, or board member for either foster care or possible adoption.
005. STANDARDS OF OPERATION AND CARE. The following requirements are applicable to all licensees.
005.01 RESPONSIBILITIES OF THE LICENSEE. The licensee of each agency must assume the responsibility for the total operation of agency. The licensee responsibilities include:
(A) Monitoring and implementing policies to ensure the appropriate administration and management of the agency;
(B) Ensuring the agency’s compliance with all applicable state statutes and regulations;
(C) Notifying the Department immediately of any issues of financial instability;
(D) Designating an executive director who is responsible for the day to day management and defining the responsibilities of the executive director;
(E) Ensuring the physical, mental, and psychosocial needs of all children cared for by the agency are met in accordance with each child’s individualized needs; and
(F) Ensuring the reporting of suspected abuse or neglect as required by Neb. Rev. Stat. §§ 28-372 and 28-711.
005.02 EMPLOYEE AND VOLUNTEER REQUIREMENTS. The licensee must maintain a sufficient number of staff with the required training and skills necessary to meet the needs of families and to meet the needs of children in the care of the licensee. The licensee must verify the current credentials, education, experience, and training of staff prior to staff assuming job responsibilities and contacting families or caring for children and must have procedures for verifying that current status is maintained. A volunteer must be directly supervised by staff when working with children and cannot be counted in ratio.
005.02(A) CRIMINAL HISTORY RECORD CHECKS. Prior to having contact with children and families the applicant or licensee must complete a pre-employment criminal history record check for each staff member and volunteer age 19 or older. If the agency is located in a private home a criminal history record check must also be completed for each household member age 19 and older. The check must be conducted through the Nebraska State Patrol or through one or more local law enforcement agencies, as appropriate to the individual’s residence(s). If an individual has lived outside the state of Nebraska as an adult, the applicant or licensee must also obtain documentation of a criminal history record check from the previous state(s) of residence. Except for minor traffic violations, the licensee must notify the Department and request a criminal history record check within five working days any time the licensee becomes aware of any felony or misdemeanor citations, pending charges, or convictions, regarding licensee, staff, or volunteers. If the agency is located in a private home such notification must also be made for household members age 19 and older. Individuals employed prior to the effective date of these regulations will not be disqualified based upon previous criminal history. Any criminal history occurring after the effective date of these regulations will considered. Applicants and licensees may not have owners that have convictions that would disqualify them to be a licensee, staff member, or household member.
005.02(A)(i) PERMANENT DISQUALIFICATION. An individual or entity is permanently disqualified from holding a license, residing in an agency, or working as a staff member or volunteer if the individual or entity has a criminal history including conviction of any unlawful act endangering the health or safety of another individual. Such convictions include crimes: against a child or vulnerable adult, involving intentional bodily harm, or involving moral turpitude on the part of the individual or entity. These crimes include but are not limited to:
(1) Aggravated or armed robbery;
(2) Assault, first or second degree;
(3) Child abandonment;
(4) Child abuse or neglect;
(5) Child molestation or debauching a minor;
(6) Commercial sexual exploitation of a minor;
(7) Felony domestic violence or violation of custody;
(8) Felony exploitation of a minor involving drug offenses or conviction of drug offenses that involved a minor;
(9) Felony controlled substances offenses, other than possession;
(10) Human trafficking;
(11) Incest;
(12) Kidnapping;
(13) Murder, first or second degree;
(14) Sexual abuse of a minor;
(15) Sexual assault;
(16) Sexual exploitation of a minor, including child pornography; or
(17) Voluntary manslaughter.
005.02(A)(ii) TWENTY-YEAR DISQUALIFICATION. An individual or entity is disqualified for 20 years from holding a license, residing in an agency, or working as a staff member or volunteer if the individual or entity has a criminal history that includes, but is not limited to, conviction of:
(a) Arson;
(b) Assault, third degree, two or more convictions;
(c) Burglary, two or more convictions;
(d) Criminal non-support;
(e) Driving under the influence, four or more convictions;
(f) Felony fraud, forgery, or theft;
(g) Felony possession of controlled substance offenses;
(h) Felony vehicular homicide;
(i) Felony terrorist threats;
(j) Misdemeanor domestic violence or violation of custody; or
(k) Robbery.
005.02(A)(ii)(1) DISQUALFICATION TIMEFRAME. The disqualification period begins the date the conviction became final. Any time an individual or entity is completing the sentence is not included in the calculation of the disqualification period. An individual or entity is disqualified during the time the individual or entity is completing the sentence.
005.02(A)(iii) FIVE-YEAR DISQUALIFICATION. An individual or entity is disqualified for 5 years from holding a license, residing in an agency, or working as a staff member or a volunteer if the individual or entity has a criminal history that includes, but is not limited to, conviction of:
(a) Assault, third degree;
(b) Burglary;
(c) Contributing to the delinquency of a minor;
(d) Driving under the influence, two convictions;
(e) Felony insufficient fund or no account check writing;
(f) Felony criminal possession or unauthorized use of a financial transaction device;
(g) Felony identity fraud or theft;
(h) Misdemeanor controlled substances offenses;
(i) Misdemeanor failure to report child abuse
(j) Misdemeanor fraud, forgery, or theft;
(k) Misdemeanor terroristic threats;
(l) Misdemeanor vehicular homicide; or
(m) Public indecency.
005.02(A)(iii)(1) DISQUALIFICATION TIMEFRAME. The disqualification period begins the date the conviction became final. Any time an individual or entity is completing the sentence is not included in the calculation of the disqualification period. An individual or entity is disqualified during the time an individual or entity is completing the sentence.
005.02(A)(iv) OTHER COMPLAINTS, INDICTMENTS, AND CONVICTIONS. The Department may determine that an individual or entity may hold a license or work as a staff member or a volunteer with a pending complaint, indictment, or conviction of other crimes if the Department determines the individual or entity has the present character and fitness to work with children. In making this determination the Department may consider the following factors:
(1) The age of the individual at the time of the conduct;
(2) The recency of the conduct;
(3) The seriousness of the conduct;
(4) The factors underlying the conduct;
(5) The cumulative effect of the conduct;
(6) The evidence of rehabilitation;
(7) The individual’s positive social contributions since the conduct;
(8) The individual’s honesty in providing information; and
(9) The materiality of any omissions or misrepresentations.
005.02(A)(v) PARENTAL RIGHTS TERMINATED. An individual is permanently disqualified from holding a license, residing in an agency, or working as a staff member or volunteer if the individual has had his or her rights as a parent terminated by a Court because of a finding of abuse or neglect of a child or inability to care for a child.
005.02(B) REGISTRY CHECKS. The applicant or licensee must complete a pre-employment registry check on each staff member, volunteer, and each household member who resides at a location where the licensee will provide services, appropriate to the age of the individual. If an individual has lived outside the state of Nebraska as an adult then the applicant or licensee must obtain pre-employment registry check from the United States jurisdictions where the individual resided. Any individual who is listed as a perpetrator on any of the registries must not be a staff, volunteer or household member. The following registries must be checked:
(i) Nebraska Child Abuse and Neglect Central Registry, if the individual is age 13 or older;
(ii) Nebraska Adult Protective Services (APS) Central Registry if the individual is age 18 or older;
(iii) State Patrol Sex Offender Registry if the individual is age 18 or older.
(iv) Equivalent registries to those in (i) through (iii) in other states and United States jurisdictions must be checked for individuals who have lived outside of the state of Nebraska as an adult.
005.02(C) INDIVIDUAL UNDER INVESTIGATION FOR CHILD ABUSE OR NEGLECT OF A CHILD OR VULNERABLE ADULT. Any individual who is under investigation for abuse, neglect, or sexual abuse of a child or vulnerable adult must not be left alone with children until the investigation is completed and the findings are determined.
005.03 EMPLOYEE QUALIFICATIONS. All staff and volunteers must be of good moral character and not engage in or have a history of behaviors injurious to or which may endanger the health or morals of children and meet the following qualifications. Staff employed as an executive director, program director, placement supervisor, or placement worker prior to the effective date of these regulations are deemed to be in compliance with education and experience requirements.
005.03(A) EXECUTIVE DIRECTOR. The executive director must meet one of the following education and experience requirements:
(i) Have a master’s degree in social work, counseling, business, public administration, education, or a related human service; or
(ii) Have a bachelor’s degree and five years of experience in social work, counseling, business, public administration, education, or a related human service.
005.04(B) PROGRAM DIRECTOR REQUIRED. If the executive director is not on site or is on site but not providing direct oversight of the day to day operations of the program then the agency must employ a program director who:
(i) Has a master’s degree in social work, counseling, business, public administration, education, or a related human service; or
(ii) Has a bachelor’s degree and three years of experience in social work, counseling, business, public administration, education, or a related human service.
005.04(C) PLACEMENT SUPERVISOR. An individual who supervises staff who make placements of children must:
(i) Have a master’s degree in social work, counseling, or a related human service; or
(ii) Have a bachelor’s degree in social work, counseling, or a related human service with two years of experience in a human service related field;
005.04(D) PLACEMENT WORKER. A placement worker must be supervised by a placement supervisor and have a bachelor’s degree in social work, counseling, or a related human service field.
005.05 RECORDS. Records of all employees and volunteers must be kept during the period an individual is employed or used by the agency and for a minimum of two years after the separation of the employee or volunteer. A current record for each staff person or volunteer must be maintained at the facility where the employee or volunteer is assigned or be made available upon request by the Department.
005.05(A) EMPLOYEE RECORDS. Each record for an employee must include documentation of all of the following:
(i) Name;
(ii) Address and telephone number;
(iii) Results for registry checks;
(iv) Results of criminal history record check;
(v) Date of assuming job responsibilities;
(vi) Pre-service training;
(vii) Statement that the employee has read and understands these regulations;
(viii) Education;
(ix) Social security number;
(x) Dates of hire and termination;
(xi) Job title and job description;
(xii) In-service training;
(xiii) Annual performance evaluation; and
(xiv) Any disciplinary action taken or work improvement plans.
005.05(B) VOLUNTEER RECORDS. Each record for a volunteer must include documentation the required in 391 Nebraska Administrative Code (NAC) 005.05(A)(i) through (iv) and of the following:
(i) Start date;
(ii) A written schedule that includes the hours and days of the week the individual serves as a volunteer; and
(iii) Training completed on the child-placing agency’s policies and procedures.
005.06 EMPLOYEE TRAINING. Written documentation of the completion of all training for each employee must be available for the Department to review and must include:
(1) Name of employee:
(2) Name of the training;
(3) Date the training was completed; and
(4) Number of hours each training took to complete.
005.06(A) PRE-SERVICE TRAINING. Staff must complete 30 hours of pre-service training prior to a staff person having direct responsibility for services. The training must include:
(i) Job duties and responsibilities;
(ii) Policies and procedures specific to job duties;
(iii) Child-placing agency policies and procedures;
(iv) Child rights;
(v) Confidentiality of client’s records and client’s medical information;
(vi) Child service plans;
(vii) Information on any physical and mental special care needs of the children;
(viii) Information on statutes regarding abuse and neglect, reporting procedures;
(ix) Crisis management; and
(x) Trauma informed care.
005.06(B) ON-GOING TRAINING. Each staff must obtain 20 hours of training annually related to the skills necessary to care for and place children.
005.06(B)(i) ACTIVITIES COUNTED AS TRAINING. Training activities must be directly related to the skills necessary to care for children and may be counted on an hour-for-hour basis. Study of written material may be counted as one training hour per 50 pages of written material.
005.07 THE CHILD’S RIGHTS. The licensee must establish a Bill of Rights that will be equally applicable to all children. The licensee must protect and promote these rights and afford children the opportunity to exercise their rights. The child and parent or legal guardian must be given a copy of the Bill of Rights before the licensee provides services to the child, including adoption. The Bill of Rights must address that each child has the right to:
(A) Receive services provided by the agency;
(B) Participate in the planning of the child’s care and receive instruction and education regarding the plan;
(C) Request information regarding the child’s care as age and developmentally appropriate;
(D) Receive services without discrimination as to race, color, creed, age, or national origin;
(E) Have contact with family, friends, and other persons significant to the child;
(F) Exercise religious beliefs or cultural traditions;
(G) Access educational services;
(H) Be accepted for services only if the agency has the ability to provide safe and professional care;
(I) Personal privacy and confidentiality of all records, communications, and personal information;
(J) Receive policies and procedures for admission, discharge, and termination of services at the time of admission;
(K) Voice complaints or grievances, including to outside agencies, and suggest changes in services or staff without fear of reprisal or discrimination and be informed of the resolution;
(L) Be free from verbal, physical, psychological, sexual abuse or harassment and to be treated with dignity;
(M) Expect all efforts will be made to ensure continuity and quality of care;
(N) Have the child’s person and property treated with respect;
(O) Be informed, in advance, about the care to be furnished, and any changes in the care to be furnished;
(P) Be free from chemical and mechanical restraints except as part of a drug or medication ordered as part of the child’s individual treatment plan; and
(Q) Have the opportunity to participate in community activities appropriate to age and cultural heritage, and interests.
005.08 COMPLAINT PROCESS. The licensee must allow staff, children, parents, guardians, and others to submit complaints or grievances to the licensee. Written policies and procedures must be established and implemented by the licensee to address and document complaints or grievances received and include:
(A) A procedure for submission of complaints that is made available to staff, children, parents, guardians, and others;
(B) Time frames and procedures for review of complaints and provision of responses to address complaints;
(C) A description of how information from complaints and responses is used to improve the quality of care and services for children; and
(D) A method to ensure that the telephone number of the Nebraska Child Abuse and Neglect Hotline and the child’s parent, guardian or other legal custodian is readily available to children, employees, and others who wish to lodge complaints.
005.09 PROGRAM DESCRIPTION. The licensee must ensure that a written description of the type of services provided is available to staff, children, parents, guardians or their designees, foster parents, adoptive applicants, and members of the public and includes:
(A) Ownership;
(B) The goals and objectives of the agency;
(C) The description of the children to be served, including age, gender, care needs, and any other relevant characteristics;
(D) Foster care services both licensed and approved;
(E) Independent and transitional living services;
(F) Adoption services, both foreign and domestic;
(G) The composition of staff and their qualifications; and
(H) The job responsibilities of staff.
005.10 QUALITY ASSURANCE AND IMPROVEMENT. The licensee must develop and implement a written quality assurance and improvement plan with input from staff, children, parents, guardians and other community partners. The plan must be reviewed and updated annually and describe:
(A) How feedback will be utilized to improve services; and
(B) Methodology for monitoring, evaluating, and improving services.
005.11 TRANSPORTATION. When transportation is provided by the licensee the following requirements must be met:
(A) Any individual who transports children must possess a current and valid driver’s license;
(B) Smoking is not permitted in any vehicle when transporting children;
(C) No vehicle may be used to transport more passengers than the seating capacity of the vehicle, as indicated by the manufacturer, allows;
(D) Any vehicle used to transport children must:
(i) Be operable and properly maintained;
(ii) Be clean and free of hazards;
(iii) Be registered;
(iv) Be insured;
(v) Be equipped with a first aid kit; and
(vi) Have doors locked at all times when in motion;
(E) Children being transported must:
(i) Not be left alone in a vehicle at any time if under 14 years of age;
(ii) Be adequately supervised at all times. Staff-to-child ratio must be maintained;
(iii) Be properly secured in an appropriate restraint system;
(iv) When required, be in car seats that:
(1) Meet federal standards;
(2) Are the correct type for the child’s age and developmental level; and
(3) Are properly secured; and
(v) Be school age or older when transported in buses over 10,000 pounds that are not equipped with restraint systems.
005.11(F) TRANSPORTATION POLICIES AND PROCEDURES. The licensee must establish and implement written policies and procedures that ensure that transportation requirements are met and that also include:
(i) Emergency procedures in the event a child becomes ill, the vehicle breaks down or is involved in an accident, or other emergencies; and
(ii) The presence of other passengers besides staff and children in the vehicle.
005.12 FOSTER CARE SERVICES. The licensee must provide support to licensed and approved foster homes to ensure such homes meet the requirements of Title 395 NAC and in accordance with the following:
005.12(A) PLACEMENT OF A CHILD. When placing a child, the licensee must:
(i) Prior to placement give the foster parent all available information regarding the child in writing;
(ii) At the time of placement or immediately thereafter give the foster parent:
(1) A placement agreement that is signed by the foster parent and the licensee.
(2) A consent for the foster parent to obtain medical care and treatment for the child that is signed by the child’s parent or legal guardian.
(3) A payment agreement that is completed and signed by the foster parent and the licensee.
005.12(B) SUPERVISION OF A CHILD. For all children entering care the licensee must ensure and have documentation of the following:
(i) The child must:
(1) Have complete medical, dental, and vision exams at a minimum as recommended by the American Association of Pediatrics;
(2) Receive immediate medical, dental, and vision care when an emergency arises;
(3) Be current on all immunizations unless there is a statement or affidavit meeting the requirements in Neb. Rev. Stat. § 79-221 in the child’s record; and
(4) Receive necessary treatment for any medical or mental health care needs;
(ii) A child age six and older who has not obtained a high school diploma or a high school equivalency diploma must be enrolled in an educational program; and
(iii) The licensee must visit each foster home at least monthly to observe the interaction of the foster children with the foster parent and to generally assess the safety of the home.
005.12(C) DISCHARGE OF A CHILD FROM PLACEMENT. When discharging a child from a placement, the licensee must:
(i) Involve the child in the development of the discharge plan;
(ii) Provide information to the parent, legal guardian, and next care provider necessary to meet the needs of the child;
(iii) Have written reports of the child’s progress while in care which include the following:
(1) Educational information including grade reports, scholastic achievement, and social adjustment;
(2) Medical reports;
(3) Reports of psychological and psychiatric examination and testing;
(4) Reports of family contact and visitation; and
(5) A current inventory of the child’s personal items. Such inventory must be updated at least yearly or each time there is a change in inventory;
(iv) Complete a service delivery plan within 30 days of admission. Such plan must be updated quarterly while the child is in care;
(v) As appropriate, provide counseling and assistance for the parent or guardian, foster parent and foster child in preparation for the end of placement; and
(vi) Discharge a child only at the direction of the legal custodian or court authority.
005.12(D) CHILD RECORD. All records are confidential and must be maintained by licensee for each child while the child is in foster care placement and a minimum of three years after foster care has been terminated and the records must include:
(i) Original intake information;
(ii) An agreement signed by the parent or legal guardian authorizing the licensee to place the child in foster care;
(iii) Medical consent for necessary medical and surgical care;
(iv) Information about legal custody and responsibility for the child or a copy of the approved Interstate Compact on the Placement of Children (ICPC) agreement;
(v) Information about the child's progress while in care;
(vi) Educational information including grade reports, scholastic achievement, and social adjustment;
(vii) Medical, dental, and vision records including examinations, immunizations, illnesses, and follow-up treatments;
(viii) Psychological or psychiatric testing, examination, and follow-up treatment, if obtained;
(ix) Information about visits with the child and contacts with the child’s own family and services provided or arranged;
(x) Copy of the service delivery plan for the child;
(xi) An inventory of the child’s personal items that is signed and dated by:
(1) The child, as age and developmentally appropriate; and
(2) A licensee representative or foster parent; and
(xii) Payment agreement for placements in foster care.
005.12(E) FOSTER PARENT(S) RECORD. Licensee must have a separate record for each foster care home supported by the licensee. The records must be retained during the time the home is supported and for a minimum of three years after the expiration of the last license or discharge from the licensee and the records must include:
(i) The application;
(ii) A copy of the license or approval for foster care issued by the Department;
(iii) Three references;
(iv) Results of background checks of the foster parent and all other members of the household, as appropriate to age, including:
(1) The Nebraska Child Abuse and Neglect Central Registry and of any similar registry for every state and United States jurisdiction in which the individual has lived within the past five years;
(2) The Nebraska Adult Protective Services (APS) Central Registry and of any similar registry for every state and United States jurisdiction in which the individual has lived within the past five years;
(3) Local law enforcement agency for individuals 18 or older;
(4) State Patrol Sex Offender Registry for any state and United States jurisdiction in which the individual has lived for the past five years for individuals 18 or older;
(5) State-level criminal history for individuals 18 or older; and
(6) Finger-print based National Criminal History Check with the Identification Division of the Federal Bureau of Investigation for individuals 18 or older;
(v) Health information report;
(vi) Home study;
(vii) Reports of visits to the home;
(viii) Training records; and
(ix) Corrective action plans and complaints.
005.13 ADOPTION SERVICES. The licensee must have written policies and procedures which it implements to ensure compliance with this chapter for each of the services the licensee intends to provide which may include any or a combination of the following:
(1) Services to birth parents;
(2) Acceptance of relinquishment from birth parents;
(3) Recruitment, screening, and training of adoptive applicant;
(4) Home studies;
(5) Placement of children;
(6) Supervision of placements;
(7) Finalization of adoption;
(8) Post-adoption services; and
(9) Foreign adoptions.
005.13(A) SERVICES NOT PROVIDED. The licensee must indicate in writing and have available for review, a list of the services the licensee does not provide.
005.14 SERVICES TO BIRTH PARENT(S). The licensee must ensure that any parent approaching the licensee with an interest in the possible relinquishment of a child for the purpose of adoption is provided the following information in a manner and language that is easily understood by the parent:
(A) Types of adoption services the licensee provides;
(B) Whether the birth or legal parent is required to sign a contract or agreement with the agency;
(C) The ability to receive a copy of any document signed;
(D) That only pregnancy related expenses may be paid to a birth parent. All payments made on behalf of a birth parent must be processed through the agency;
(E) Where to obtain:
(i) A list of all licensed agencies that provide adoption services in Nebraska;
(ii) Information as to how to review the official licensing file for the agency;
(iii) Information as to how to file a complaint regarding the licensee with the Department; and
(iv) The regulation governing child-placing agencies;
(F) The ability to seek independent legal counsel on any issue related to the relinquishment of a child;
(G) How parental rights are relinquished in Nebraska, including the requirements in Neb. Rev. Stat. § 43-104 and Neb. Rev. Stat. § 43-104.09;
(H) Information about whether the birth parent have the ability to choose the adoptive family;
(I) Information about consenting and refusal to consent to release of health information or information about the relinquishing parent.
(J) Process of record storage and maintenance in the event of closure of the agency; and
(K) The process for sharing available information regarding the child and the birth family.
005.15 ACCEPTANCE OF RELINQUISHMENT. A licensee having legal custody is responsible for the welfare of the child until a decree of adoption is granted and must:
(1) Assume financial and planning responsibility for the child:
(a) In the event that a child’s adoptive placement is disrupted; or
(b) When a court refuses to grant a decree of adoption; and
(2) Maintain a copy of the final decree of adoption from the court in the agency file.
005.15(A) CHILD AVAILABLE FOR ADOPTION. The licensee must obtain, maintain, and document the following information for each child available for adoption:
(i) The reason for relinquishment or termination of the parent-child legal relationship;
(ii) A complete and current history of the child which includes;
(1) Race;
(2) Ethnicity;
(3) Nationality;
(4) Indian Tribe, when applicable; and
(5) Other cultural history of biological parent when available;
(iii) A history of the child including as much of the following information as can be obtained:
(1) Physical appearance;
(2) Emotional, behavioral, medical, and cognitive history;
(3) Religion;
(4) Education;
(5) Interest, hobbies, and talents;
(6) Developmental history;
(7) Region of origin, if applicable;
(8) Placement history; and
(9) Any previous written assessments;
(iv) A social history of the child's birth family including birth parent, extended family and siblings as applicable, including as much of the following information as can be obtained:
(1) Health and medical history as required by Neb. Rev. Stat. § 43-107;
(2) Physical appearance;
(3) Race or ethnic origin;
(4) Religious affiliation;
(5) Education;
(6) Occupation;
(7) Hobbies, interests, and talents;
(8) Mental health history; and
(9) Substance use or abuse history;
(v) Services offered to the birth parent;
(vi) Voluntary relinquishment or court termination of parental rights;
(vii) Agency consent to the adoption;
(viii) Adoption Decree;
(ix) Medical and dental information about the child while in the custody of licensee;
(x) Reports of psychological tests, development tests, psychological or psychiatric examination, and follow-up treatment if obtained for the child;
(xi) The placement agreement;
(xii) The service delivery plan for the child; and
(xii) Agency supervision of the child.
005.16 RECRUITMENT, TRAINING, AND SCREENING OF ADOPTIVE APPLICANTS. The licensee must not deny any person the opportunity to apply to become an adoptive parent.
005.16(A) INFORMATION PROVIDED TO APPLICANT. The licensee must have all applicants sign a statement affirming receipt of the following information prior to signing the adoptive service contract or agreement:
(i) A description of the services the licensee provides;
(ii) The ability to receive a copy of any document signed;
(iii) The philosophical perspective or religious affiliation, or both of the licensee;
(iv) Where to obtain:
(1) The status of the child-placing license for the agency;
(2) A list of all licensed child-placing agencies in Nebraska;
(3) Information as to how to review the official licensing file for the agency;
(4) Information as to how to file a complaint regarding the agency with the Department or its successor; and
(5) Information as to how to obtain the regulations regarding child-placing agencies in Nebraska;
(v) The ability to seek independent legal counsel on any issue related to adoption;
(vi) To the greatest extent possible, the average time frame for the services provided, including the adoption home study and finalization of the adoption;
(vii) The description of required training for adoptive parents;
(viii) The process of sharing available information regarding the child and the birth family in accordance with Nebraska statute;
(ix) Information regarding notices of consent and non-consent as provided in Neb. Rev. Stats. §§ 43-121 through 43-134;
(x) Any policy that would result in the denial of services or would preclude placement of a child with an adoptive family;
(xi) The grievance and appeal process of the licensee;
(xii) Post-adoption services offered or required by the licensee;
(xiii) The process for record storage and maintenance in the event of closure of the agency;
(xiv) Any service offered by the licensee which is provided by another, entity, or individual;
(xv) The licensee’s policy on concurrent adoptions;
(xvi) Information that pregnancy related expenses may be paid to a birth parent and all payments made on behalf of a birth parent must be processed through the agency; and
(xvii) If applicable, the requirement of the licensee to collect fees and submit court documents after the completion of a foreign country adoption to validate the adoption in a United States court.
005.16(B) WRITTEN CONTRACT OR AGREEMENT. Prior to accepting any application the licensee must ensure each applicant is provided a written contract or agreement which includes the following:
(i) A fee schedule that includes:
(1) Expected itemized fees;
(2) Expected itemized expenses;
(3) Potential additional expenses; and
(4) Post-finalization fees if included in the cost of the adoption;
(ii) An explanation of the conditions under which fees or expenses will be charged, waived, or refunded; and
(iii) An explanation of when and how fees and expenses must be paid.
005.16(C) APPLICATION. The adoptive parent or applicant must submit to the licensee a completed, dated, and signed formal application for adoption, including a signed fee agreement and disclosure statement.
005.16(D) TRAINING. Reasonable efforts must be made by the applicant to complete all required training prior to or within 90 days of the placement of children for adoption. All training must be documented in writing, including dates, number of clock hours and topics covered. All applicants must complete:
(1) 16 core hours of training provided in reading, face to face or web-based format;
(2) Additional training requirements in this chapter if applicable; and
(3) Training separate from and in addition to the family assessment process.
005.16(D)(i) CORE TRAINING REQUIREMENTS. Core training must include:
(1) Attachment and bonding issues;
(2) Loss and grief issues, as applicable for all parties to the adoption;
(3) Adoption as a lifelong issue as it pertains to all parties to the adoption;
(4) Key concepts of child growth and development;
(5) Boundary setting and discipline;
(6) Parenting a child of different cultural or racial background infancy through adulthood, if applicable;
(7) Disclosure issues including the accuracy of family history information regarding the child and birth parent’s family, discussion with the child and sharing information with others;
(8) Adoption laws and procedures, including termination of parental rights;
(9) On-going contact and communication of a child and adoptive family with biological family and significant individuals, if applicable;
(10) Possible current and future use of community resources, including help with parenting techniques;
(11) Medical and health issues including, but not limited to, shaken baby syndrome, parental substance abuse, relevant environmental issues, and genetic risk factors, if applicable;
(12) Expectations of adoption and adoptive process; and
(13) Supervision appropriate to the age of the child.
005.16(D)(ii) CORE TRAINING NOT REQUIRED. If an adoptive applicant is completing a subsequent adoption through the same agency or has completed documented training from his or her previous agency, and that training was completed within the last five years, core training need not be repeated if documentation of the prior training is on record with the current agency.
005.16(D)(iii) ADDITIONAL TRAINING REQUIRED FOR MEDICALLY FRAGILE CHILD OR OVER AGE 12 MONTHS. For applicant who will be adopting a child who is either medically fragile, or over 12 months of age four additional hours of training from the following topics must be completed as applicable and appropriate for the age of the child being adopted for a total of 20 hours. These four hours may be in face-to-face or web-based format:
(1) Parenting a child that has been abused or neglected;
(2) Parenting a physically, mentally, developmentally, or emotionally delayed child; and
(3) The impact of frequent moves and multiple caregivers on the development of a child.
005.16(E) BACKGROUND CHECKS. The licensee must have background checks on the applicant and all other members of the household, as appropriate to age, including:
(i) The Nebraska Child Abuse and Neglect Central Registry and of any similar registry for every state and United States jurisdiction in which the individual has lived within the past five years for individuals 13 or older;
(ii) The Nebraska Adult Protective Services (APS) Central Registry and of any similar registry for every state and United States jurisdiction in which the individual has lived within the past five years for individuals 13 or older;
(iii) Local law enforcement agency for individuals 18 or older;
(iv) State Patrol Sex Offender Registry for every state and United States jurisdiction in which the individual has lived for the past five years for individuals 18 or older;
(v) State-level criminal history for individuals 18 or older; and
(vi) Finger-print based National Criminal History Check with the Identification Division of the Federal Bureau of Investigation for individuals 18 or older.
005.16(F) HEALTH INFORMATION. The licensee must obtain for each household member of the age of majority who will provide care, including each applicant, health information to document that the individual is physically and mentally capable of caring for children.
005.16(G) REFERENCES. The applicant must provide a minimum of three positive, written personal references from individuals, two of which must be unrelated to the applicant, that have knowledge of the applicant’s character and suitability to parent a child as well as a reference from the employer of the applicant.
005.16(H) HEALTH INSURANCE COVERAGE. The applicant must provide written verification of current health insurance coverage for the child or verification that the coverage for the child will be available, obtained, and maintained during placement.
005.16(I) APPLICANT RECORD. A separate record for each adoptive home must be kept and include:
(i) Documentation to show compliance with this chapter;
(ii) A copy of the marriage license of applicants, if applicable;
(iii) Documentation of the home study as required by this chapter; and
(iv) Documentation of the finalization of an adoption, unless the adoption was finalized in a foreign country.
005.16(J) DISCONTINUATION OF SERVICES. The licensee must notify the adoptive applicant in writing within five business days of the reason for the discontinuation of services or to confirm the applicant’s request to withdraw from services. At the time of notification, an applicant must be advised, in writing, of the agency’s process for filing a grievance.
005.17 ADOPTIVE HOME STUDY. The licensee must complete a home study for each applicant for adoption. The home study must include interviews and documentation about the applicant and the proposed home environment.
005.17(A) INTERVIEWS. The licensee must conduct face-to face interviews for not less than a total of six hours which include:
(i) Two interviews with a single applicant to be conducted on separate days or three joint interviews with a couple to be conducted on separate days;
(ii) One individual interview with each member of the household including, in an age and developmentally appropriate manner, any children who reside in the home; and
(iii) One interview in the applicant’s home.
005.17(B) DOCUMENTATION OF HOME STUDY. The home study document must be completed on the licensee’s letterhead and include:
(i) Demographic information of the applicants;
(ii) Home study author information and agency affiliation;
(iii) Summary of the applicant and household members throughout the process of approving or licensing the home;
(iv) All the information required in 391 NAC 8-005.16 and it subparts;
(v) Description of applicant’s family background;
(vi) Description of current family composition;
(vii) Employment, education, and military service;
(viii) Current living arrangements and a description of home;
(ix) Assessment of the applicant’s financial stability and ability to provide for an additional child in the home;
(x) Summary of information reported in the references;
(xi) Identification of the family’s strengths and needs and recommendations to address those;
(xii) A recommendation of approval or disapproval; and
(xiii) Signature of the author and an agency supervisor or administrator.
005.17(C) APPLICANT(S) REVIEW. At the conclusion of the home study process, the licensee must offer the applicant an opportunity to review the home study and submit corrections to the licensee of any inaccuracies contained in the home study. The applicant must either:
(i) Sign a statement that the applicant has been given the opportunity to read and review the final draft of the home study, excluding the confidential references, or
(ii) Sign the home study section indicating the applicant has read and reviewed the final draft of the home study.
005.17(D) RELEASE. The adoptive home study may be released by the licensee with the written authorization of the applicant and legal custodian of a child if named in the home study. Names of children, other than the applicant’s own children, must be redacted.
005.17(E) ANNUAL UPDATE. The home study documentation must be on agency letterhead and updated annually until the adoption is finalized. The documentation must include:
(i) At least one face-to-face visit to the home of the applicant;
(ii) A review of the current health information of the applicant;
(iii) Information regarding any child abuse investigations related to the applicant during the previous year;
(iv) Information about any changes in residence, marital status, criminal history, finances, or addition or deletion of family members; and
(v) Background checks as described in this chapter.
005.17(F) ADDENDUM. An addendum to the previously completed adoption home study must be completed by the agency when any of the following events occur:
(i) Criminal charges or convictions;
(ii) Child abuse investigations;
(iii) Change in marital status;
(iv) Change in family structure;
(v) Significant change in employment and financial resources;
(vi) Significant change in health status;
(vii) Change in place of residence; or
(viii) Other significant changes within the family.
005.18 PLACEMENT OF A CHILD FOR ADOPTION. The licensee must meet the following requirements whenever it places a child for adoption.
005.18(A) WRITTEN AGREEMENT. The licensee must have a written agreement with the applicant which is signed, dated, and executed at the time of placement. The agreement must include that the applicant will:
(i) Participate in supervision by the agency of the child in the adoptive home;
(ii) Agree to allow the licensee to complete post placement visits as determined by licensee and submit a report to the court regarding the findings of the post-placement visits;
(iii) Obtain permission of licensee or birth parent, as appropriate, prior to removing the child from the state;
(iv) Agree that the child may be removed from the adoptive placement by the licensee for good cause or at the request of the adoptive applicant; and
(v) File an adoption petition according to Nebraska law or the law of the jurisdiction where the applicant resides.
005.18(B) DISCLOSURE OF INFORMATION. Prior to placement as much information as possible regarding the child must be obtained, including the information required by 391 NAC 8-005.15(A) and disclosed by the licensee, in writing, to the prospective adoptive parent.
005.18(C) DISCONTINUATION OF THE ADOPTION PLAN. The licensee must immediately inform the adoptive applicant of the biological parent’s decision to discontinue the adoption plan and of any plan for returning the child to the birth or legal parent.
005.18(D) SIBLING PLACEMENT. The licensee must make efforts to place siblings with the same adoptive parent or applicant unless there is a court finding to the contrary. The licensee must keep a written record of the reasons and supporting evidence for separate placements in the child’s file.
005.15(E) TERMINATION OF A PLACEMENT. The licensee must implement and maintain written policies and procedures regarding termination of adoptive placements at the request of the adoptive parent or applicant or according to Nebraska law if the placement is not in the best interests of the child.
005.19 SUPERVISION OF AN ADOPTIVE PLACEMENT. The licensee must supervise each child after placement in an adoptive home until the adoption is final.
005.20 FINALIZATION OF AN ADOPTION. The licensee must provide written consent as required by Neb. Rev. Stats. §§ 43-104 and 43-105 and all documents required by law to the court for each child in its custody.
005.21 POST-ADOPTION SERVICES. When a licensee provides post-adoption services it must provide:
(1) Consultation;
(2) On-going support and education;
(3) Information about resources for counseling or medical needs;
(4) Search or reunification resources;
(5) Information about networking with other adoptive families;
(6) Information about adoption education and support groups; and
(7) Additional social and medical background information obtained after placement that could significantly impact the child.
005.21(A) SERVICES NOT PROVIDED. If the licensee does not provide post-adoption services, the licensee must provide resource and referral information regarding post- adoption services to the birth parent, adoptive parent, and child, if appropriate.
005.22 POST ADOPTION SEARCHES. The licensee must comply with the applicable provisions of Neb. Rev. Stats. §§ 43-121 through 43-147. The licensee must have and implement written procedures and policies to ensure compliance with the statutory requirements.
005.23 SPECIFIC ADDITIONAL REQUIREMENTS FOR FOREIGN ADOPTIONS. For each country in which the licensee intends to engage in foreign adoption, the licensee must do so in accordance with the requirements of the United States Custom and Immigration Services (USCIS) and the United States Department of State.
005.23(A) FEES. For foreign country adoptions, the licensee must provide to the adoptive parent or applicant, in writing, a detailed listing of the following expenses:
(i) Home study fee;
(ii) Adoption expenses in the United States;
(iii) The foreign country program expenses;
(iv) The care for the child in the foreign country expenses;
(v) Translation and document expenses;
(vi) Contributions to humanitarian or other welfare services programs in the foreign country;
(vii) Post-placement and post-adoption expenses;
(viii) A written explanation of when the fees will be charged, waived, reduced, or refunded; and
(ix) To whom the fees are paid.
005.23(B) ADDITIONAL EXPENSES. The licensee may not customarily charge any additional fees and expenses beyond those disclosed in the adoption services contract and must have a written policy to this effect. In the event that unforeseen additional fees and expenses are incurred in the foreign country, the licensee may charge additional fees and expenses only when it notifies the prospective parents. The licensee must obtain specific written consent from the prospective parents prior to expending funds in excess of $1000 for which the licensee will hold the adoptive parents responsible. The licensee must provide written receipts to the prospective parents for fees and expenses paid directly by the agency, on behalf of the prospective parents, in the foreign country.
006. PHYSICAL PLANT STANDARDS. The premises of all child-placing agencies must be kept neat, clean, and hazard free. There must be ample space for files and to meet privately with applicants, parents, and children.
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