Comm. 204, Care Centers and Preschools Licensing Standards and Procedures

Care Centers and Preschools

Licensing Standards and

Procedures

Welcome to Child Care Providers

On an average day in Iowa, licensed child care centers have the capacity to serve more than 140,000 children in

more than 1,500 licensed child care centers, preschools, and before- and after-school programs across the state.

As a current or potential provider of care to those children, you play a pivotal role in the development, nurturing,

health, safety and support of these children. The research is undisputed:

▪ The first three years of life are of critical importance in a child’s overall development and ability to learn.

▪ The caregiver relationship (parent or provider to child) is the single strongest determinant of children’s

emotional and social development.

▪ The availability of after-school care programs reinforces school-age children’s self-esteem and sense of

community, while significantly decreasing the likelihood of children engaging in unhealthy and dangerous

behaviors.

The handbook provides information on the process to obtain a license to operate a child care center and the state

regulations that centers must follow. The rationale behind a regulation and “best practice” guidelines are offered

to assist you in implementing these standards.

If you have questions regarding the contents of the licensing standards handbook, contact:

Licensed Centers

1. The child care consultant assigned to your center.

[ Insert label or business card ]

Prospective Providers

1. The child care consultant assigned to your area. To get the name of the consultant assigned to your area,

call the Department’s child care center licensing office at (515) 281-6832.

2. The Department’s Child Care Licensing Bureau Chief.

HHS Division of Child and Family Services

321 E 12th St

Des Moines, IA 50319-1114

Phone: (515) 281-6745

 
Comm. 204 (Rev. 04/24)    iii 
Child Care Centers and Preschools 
Licensing Standards and Procedures 
Part I Licensing Procedures ....................................................................................................................................................... 1 
Licensing Authority ...................................................................................................................................................................... 2 
Definitions .......................................................................................................................................................................... 2 
Acronyms ........................................................................................................................................................................... 3 
Role of the Child Care Consultant .............................................................................................................................. 3 
When a License is Required ...................................................................................................................................................... 4 
Penalty for Operating Without a License .................................................................................................................. 4 
Injunction ................................................................................................................................................................ 4 
Programs That Are Not Required to Be Licensed .................................................................................................. 4 
Applying for a License to Operate a Child Care Center ................................................................................................... 7 
Submitting an Initial Application ................................................................................................................................... 7 
State Fire Marshal Report .................................................................................................................................. 7 
Floor Plans ............................................................................................................................................................. 8 
Water Analysis ...................................................................................................................................................... 8 
Qualifications of Director and On-Site Supervisor ..................................................................................... 8 
Submitting a Renewal Application ................................................................................................................................ 9 
Licensing Decision ....................................................................................................................................................................... 9 
Approval for a Full License ............................................................................................................................................ 9 
Approval for a Provisional License............................................................................................................................... 9 
Denial .................................................................................................................................................................................. 9 
Suspension and Revocation .......................................................................................................................................... 10 
Right to Appeal Adverse Action ................................................................................................................................. 10 
State Inspection and Evaluation .............................................................................................................................................. 11 
Department of Health and Human Services ............................................................................................................ 11 
Department of Public Health....................................................................................................................................... 11 
State Fire Marshal ........................................................................................................................................................... 11 
Records ........................................................................................................................................................................................ 12 
Confidential Information .............................................................................................................................................. 12 
Licensing File .................................................................................................................................................................... 12 
Administrative Requirements and Procedures ................................................................................................................... 13 
Parental Access ............................................................................................................................................................... 13 
Parental Survey ............................................................................................................................................................... 13 
Mandatory Reporting of Child Abuse ....................................................................................................................... 13 
Civil Rights Act of 1964 ................................................................................................................................................ 13 
Americans with Disabilities Act (ADA) .................................................................................................................... 14 

 
Comm. 204 (Rev. 04/24)    iv 
Part II Provider Resources ....................................................................................................................................................... 15 
State Contacts ............................................................................................................................................................................ 16 
Child Care Consultants ................................................................................................................................................ 16 
Child Care Resource and Referral Agencies ........................................................................................................... 16 
Other State Programs ................................................................................................................................................... 18 
Iowa Resources .......................................................................................................................................................................... 19 
Child Care Resource and Referral ............................................................................................................................. 19 
Iowa Child Care Complaint Hotline .......................................................................................................................... 19 
Healthy Child Care Iowa .............................................................................................................................................. 19 
Iowa State University Extension Service .................................................................................................................. 19 
Area Education Agencies .............................................................................................................................................. 19 
Child Care Assistance (Subsidy) ................................................................................................................................. 20 
Child Support .................................................................................................................................................................. 20 
Iowa Statewide Poison Control Center ................................................................................................................... 20 
Healthy and Well Kids In Iowa (HAWKI) ................................................................................................................. 20 
Child Health Centers .................................................................................................................................................... 20 
Child Health Specialty Clinics ...................................................................................................................................... 20 
Maternal Health Centers .............................................................................................................................................. 20 
Family Planning Clinics .................................................................................................................................................. 21 
Local Health Departments ........................................................................................................................................... 21 
National Resources ................................................................................................................................................................... 22 
First Children’s Finance ................................................................................................................................................ 22 
Handbook for Public Playground Safety ................................................................................................................... 22 
National Health and Safety Performance Standards .............................................................................................. 22 
Stepping Stones to Using “Caring for Our Children” ........................................................................................... 22 
Internet Websites ...................................................................................................................................................................... 23 
Part III Regulations ..................................................................................................................................................................... 24 
Administration ............................................................................................................................................................................ 29 
Purpose and Objectives ................................................................................................................................................ 29 
Required Written Policies ............................................................................................................................................ 29 
Required Postings ........................................................................................................................................................... 32 
Mandatory Reporters .................................................................................................................................................... 32 
Handbook ......................................................................................................................................................................... 33 
Certificate of License..................................................................................................................................................... 33 
Parental Participation ................................................................................................................................................................ 35 
Unlimited Access ............................................................................................................................................................ 35 
Parental Evaluation ......................................................................................................................................................... 35 
Personnel ..................................................................................................................................................................................... 36 
Center Director Requirements .................................................................................................................................. 36 
Understanding the Point Chart ....................................................................................................................... 38 

 
Comm. 204 (Rev. 04/24)    v 
Director/OSS Educational Point Structure .............................................................................................................. 39 
On-Site Supervisor Requirements ............................................................................................................................. 40 
Understanding the Point Chart ....................................................................................................................... 42 
Director and On-Site Supervisor Functions Combined ....................................................................................... 44 
Volunteers ........................................................................................................................................................................ 44 
Record Checks and Evaluations .................................................................................................................................. 45 
Notification to Parents ..................................................................................................................................... 49 
Professional Growth and Development ............................................................................................................................... 51 
Required Training Within First Three Months ....................................................................................................... 51 
Mandatory Reporting ........................................................................................................................................ 52 
Universal Precautions ........................................................................................................................................ 52 
Certification in CPR and First Aid ................................................................................................................. 53 
Minimum Health and Safety Content Areas ................................................................................................ 53 
Staff Training Requirements ......................................................................................................................................... 53 
Staff Employed In Summer Only Programs .............................................................................................................. 56 
Training Plans .................................................................................................................................................................. 57 
Staff Ratio Requirements .......................................................................................................................................................... 58 
Staff Requirements ......................................................................................................................................................... 58 
Staff Ratio ......................................................................................................................................................................... 58 
General Ratio Requirements ........................................................................................................................... 60 
Ratio While Children are Resting .................................................................................................................. 60 
Ratio During Activities ...................................................................................................................................... 61 
Ratios for Transportation ................................................................................................................................ 61 
Accommodations During Special Circumstances ....................................................................................... 61 
Records ........................................................................................................................................................................................ 62 
Personnel Records ......................................................................................................................................................... 62 
Child’s File ........................................................................................................................................................................ 64 
Contact and Authorization Information ....................................................................................................... 64 
Child’s Physical Examination ............................................................................................................................ 65 
Children in Foster Care .................................................................................................................................... 65 
Medical and Dental Services ............................................................................................................................ 66 
Immunization Certificates ............................................................................................................................................ 67 
Daily Activities ................................................................................................................................................................ 69 
Health and Safety Policies ........................................................................................................................................................ 70 
Physical Examination Report ....................................................................................................................................... 70 
Preschool-Aged Children ................................................................................................................................. 71 
School-Aged Children ....................................................................................................................................... 71 
Medical and Dental Emergencies ................................................................................................................................ 72 
Medications ...................................................................................................................................................................... 72 
Daily Contact .................................................................................................................................................................. 75 
Infectious Disease Control .......................................................................................................................................... 75 
Quiet Area for Ill or Injured ........................................................................................................................................ 76 
Staff Hand-Washing ....................................................................................................................................................... 77 
Children’s Hand-Washing ............................................................................................................................................ 78 

 
Comm. 204 (Rev. 04/24)    vi 
First-Aid Kit ..................................................................................................................................................................... 79 
Recording Incidents ....................................................................................................................................................... 79 
Smoking ............................................................................................................................................................................. 81 
Transportation ................................................................................................................................................................ 82 
Is Your Vehicle a School Bus? ......................................................................................................................... 82 
Field Trip Emergency Numbers .................................................................................................................................. 83 
Pets  84 
Emergency Plans ............................................................................................................................................................. 84 
Supervision and Access ................................................................................................................................................. 86 
Physical Facilities......................................................................................................................................................................... 88 
Room Size ........................................................................................................................................................................ 88 
Infants’ Area ..................................................................................................................................................................... 88 
Facility Requirements .................................................................................................................................................... 89 
Bathroom Facilities ........................................................................................................................................................ 96 
Telephone ........................................................................................................................................................................ 97 
Kitchen Appliances and Microwaves ......................................................................................................................... 97 
Environmental Hazards: Lead-Based Paint ............................................................................................................... 98 
Environmental Hazards: Radon ................................................................................................................................... 99 
Environmental Hazards: Carbon Monoxide Poisoning ...................................................................................... 100 
Environmental Hazards: Exemption ........................................................................................................................ 101 
Activity Program Requirements .......................................................................................................................................... 102 
Activities ........................................................................................................................................................................ 102 
Discipline ....................................................................................................................................................................... 103 
Special Accommodations ........................................................................................................................................... 106 
Play Equipment, Materials, and Furniture .............................................................................................................. 106 
Infant Environment ...................................................................................................................................................... 109 
Extended Evening Care ......................................................................................................................................................... 114 
Facility Requirements ................................................................................................................................................. 114 
Activities ........................................................................................................................................................................ 114 
Get-Well Center ..................................................................................................................................................................... 116 
Staff Requirements ...................................................................................................................................................... 116 
Health Policies .............................................................................................................................................................. 116 
Exceptions ..................................................................................................................................................................... 117 
Food Services ........................................................................................................................................................................... 120 
Nutritionally Balanced Snacks and Meals ............................................................................................................... 120 
Menu Planning .............................................................................................................................................................. 121 
Feeding of Children Under Two Years of Age .................................................................................................... 122 
Food Brought From Home ....................................................................................................................................... 124 
Food Preparation, Storage, and Sanitation ............................................................................................................ 125 
Water Supply ................................................................................................................................................................ 127 
Part IV Tools ............................................................................................................................................................................ 129 
Checklist of Items to be Submitted for Initial Licensure ........................................................................... 130 

Comm. 204 (Rev. 04/24) vii

Center Director Qualifications ................................................................................................................................ 131

On-Site Supervisor Qualifications ..................................................................................................................... 133

Qualifications for Center Director of School-Age Program ..................................................................... 135

Qualifications for On-Site Supervisor of School-Age Program .............................................................. 137

Suggested Content for Required Written Policies and Procedures .................................................... 139

Criminal History Record Check Request Form .................................................................................................. 144

Record Check Evaluation .......................................................................................................................................... 146

Licensing Regulation Checklist ................................................................................................................................. 150

Child Enrollment Information .................................................................................................................................. 182

Record of Emergency Practice Drills ..................................................................................................................... 184

Emergency Practice Drill Evaluation Tool ............................................................................................................. 185

Record of Detector, Fire Extinguishers, and Evacuation Equipment Checks .............................................. 186

Child Care Injury / Incident Report ........................................................................................................................ 187

Diet Modification Request Form ............................................................................................................................. 189

Comm. 204 (Rev. 04/24) 1

Child Care Centers and Preschools

Licensing Standards and Procedures

Part I

Licensing Procedures

Comm. 204 (Rev. 04/24) 2

Licensing Authority

The Iowa Department of Health and Human Services has been delegated authority in Chapter 237A of the

Code of Iowa to develop and enforce the rules setting the minimum standards for the licensing of child care

centers. Chapter 237A also requires centers to comply with state health and fire safety laws.

The child care center minimum requirements are found, in their entirety, in 441 Iowa Administrative Code,

Chapter 109.

The Iowa Department of Public Health establishes the immunization requirements for child care centers in

641 Iowa Administrative Code, Chapter 7, and is responsible for enforcement of the requirements.

The State Fire Marshal establishes the fire safety requirements and is responsible for enforcement of the

requirements.

Your child care consultant can provide a copy of 441 Iowa Administrative Code Chapter 109 and instructions

on how to obtain the State Fire Marshal inspection report and copies of the required immunization

certificate.

Be aware that local building codes and zoning laws may apply to your business as well. Contact your city

officials for additional information.

Definitions

Legal reference: Iowa Code Section 237A.1 and 441 IAC 109.1(237A)

“Adult” means a person aged 18 or older.

“Child” means either of the following:

1. A person 12 years of age or younger.

2. A person 13 years of age or older but younger than 19 years of age who has a developmental

disability, as defined under the federal Developmental Disabilities Assistance and Bill of Rights Act

of 2000, Public law No. 106-402, codified in 42 U.S.C. 15002(8).

“Child care center” or “center” means a facility providing child care or preschool services for seven or

more children, except when the facility is registered as a child development home.

“Child care” means the care, supervision, and guidance of a child by a person other than the child’s

parent, guardian, or custodian for periods of less than twenty-four hours per day per child on a regular

basis.

“Department” means the Department of Health and Human Services.

“Extended evening care” means child care provided by a child care center at any time between the

hours of 9 p.m. and 5 a.m.

“Facility” means a building or physical plant established for the purpose of providing child care.

“Get-well center” means a facility that cares for a child with a temporary illness of short duration for

short enrollment periods.

“Infant” means a child who is less than 24 months of age.

“Parent” means parent or legal guardian.

Comm. 204 (Rev. 04/24) 3

“Preschool” means a child care facility which provides to children ages three through five, for periods

of time not exceeding three hours per day, programs designed to help the children to develop

intellectual skills, social skills, and motor skills, and to extend their interest and understanding of the

world about them.

“School” means kindergarten or a higher grade level.

Note: The contents of this handbook apply to licensed child care centers and preschools. A “licensed”

center is one that provides care for periods of less than 24 hours to seven or more children in a place

other than the children’s home and that is not a child development home.

A child care home provider that cares for six or more children must be “registered” with the state as

a child development home. There are restrictions on the numbers of children by age categories that a

child development home can serve and assistants are required when serving a certain number of

children. Requirements for child development homes are found in “Child Development Home

Registration Guidelines,” Comm. 143. You can obtain these guidelines by contacting the HHS office in

your county or you can find them on the Department’s website at http://hhs.iowa.gov/.

Acronyms

ADA

Americans with Disabilities Act

AEA

Area Education Agencies

AHA

American Heart Association

ARC

American Red Cross

ASTM

American Society for Testing and Materials for juvenile products

CACFP

Child and Adult Care Food Program

CCR&R

Child Care Resource and Referral Agency

CDA

Child Development Associate

CHSC

Child Health Specialty Clinics

CPR

Cardiopulmonary Resuscitation

CPSC

Consumer Product Safety Commission

Department of Education

DHS

Department of Human Services (title being phased out in favor of HHS, below)

DPH

Department of Public Health

HCCI

Healthy Child Care Iowa

HHS

Department of Health and Human Services

IAC

Iowa Administrative Code

NHSPS

National Health and Safety Performance Standards

OSHA

Occupational Safety and Health Administration

USDA

United States Department of Agriculture

Role of the Child Care Consultant

The Department offers consultation and assistance in applying for a license and meeting the

requirements of a licensed center through the child care consultants located throughout the state.

There is no fee to receive consultation and assistance in obtaining a license.

In addition to serving as a resource to the center, the consultant monitors compliance with the

regulations through relicensing, annual unannounced visits, evaluation of complaints and a review of the

findings of allegations of child abuse in the center.

Comm. 204 (Rev. 04/24) 4

When a License is Required

Legal reference: Iowa Code Section 237A.1-2, 237A.19-20, 279.49, and 441 IAC 109.2(2)

A person cannot establish or operate a child care center without obtaining a license.

A center must obtain a new license certificate when it expands or remodels to change licensed capacity. If

you are going to remodel the center or expand the capacity of the center, contact your licensing consultant

for a list of items that you must submit for approval.

A center must obtain a new license when another person or agency assumes ownership or legal

responsibility for the center or if the center moves to a new location. The items that must be submitted are

listed under the section “Submitting an Initial Application to Operate a Child Care Center.”

A program that is not a “child care center” by reason of the definition of child care, but which provides care,

supervision, and guidance to a child may be issued a license if the program complies with all the provisions of

licensing.

Programs such school-based programs, neighborhood drop-in programs and programs operated for fitness

centers or shopping malls sometimes seek a license to participate in the Child and Adult Care Food Program

(CACFP) program or for reasons of quality assurance to their parents. Providers may be licensed if they

meet all of the licensing standards and the requirements of the Department of Public Health and the State

Fire Marshal’s office.

Penalty for Operating Without a License

A person who establishes, conducts, manages, or operates a center without a license is guilty of a

serious misdemeanor. Each day of continuing violation after conviction, or after notice from the

Department by certified mail of the violation, is considered a separate offense. According to Iowa

Code section 903.1(1)(b), a serious misdemeanor is punishable by a fine of at least $315 but not over

$1,875. In addition, the court may also order imprisonment not to exceed one year.

Injunction

A person who establishes, conducts, manages, or operates a child care center without a license

may be restrained by temporary or permanent injunction. A person who has been convicted of a

crime against a person or a person with a record of founded child abuse may be restrained by

temporary or permanent injunction from providing child care services in a licensed child care

center. The state, a county attorney, or other interested persons may initiate this action.

Programs That Are Not Required to Be Licensed

For purposes of licensing, child care does not include care, supervision, and guidance of a child by any

of the following:

DESCRIPTION

EXAMPLES

(Not intended as an exhaustive list)

1. An instructional program for children who are

attending prekindergarten, as defined by the State

Board of Education under Iowa Code section 256.11, or

a higher grade level and are at least four years of age, or

▪ Traditional school classroom settings,

including prekindergarten (for four year

olds) through junior high that use a school-

based educational curriculum

Comm. 204 (Rev. 04/24) 5

DESCRIPTION

EXAMPLES

(Not intended as an exhaustive list)

are at least three years of age and eligible for special

education under chapter 256B, administered by any of

the following:

▪ A public or nonpublic school system accredited

by the Department of Education or the State

Board of Regents.

▪ A nonpublic school system that is not accredited

by the Department of Education or the State

Board of Regents.

▪ Prekindergarten, kindergarten, or

elementary education provided by public or

nonpublic schools

2. Any of the following church-related programs:

▪ An instructional program.

▪ A youth program other than a preschool,

before-or after-school child care program, or

other child care program.

▪ A program providing care to children on church

premises while the children’s parents are

attending church-related or church-sponsored

activities on the church premises.

▪ Sunday school, confirmation or catechism

classes, etc.

▪ Care provided to children while parents

attend adult education or activities within

the church building

▪ Youth programs that typically occur in the

evenings or on weekends

3. Short-term classes of less than two weeks’ duration

held between school terms or during a break within a

school term.

▪ Classes offered by local community centers,

colleges, museums, art or science centers,

etc. on semester, winter, or spring break

that usually last less than two weeks. (This

does not include “summer-only” programs

that typically run for more than two

weeks.)

4. A child care center for sick children operated as part of

a pediatrics unit in a hospital licensed by the

Department of Inspections and Appeals pursuant to

Iowa Code Chapter 135B.

▪ “Sick bay” or get-well center located as part

of the pediatrics unit in a hospital

5. A program operated not more than one day per week

by volunteers that meets all of the following conditions:

▪ Not more than 11 children are served per

volunteer.

▪ The program operates for less than four hours

during any 24-hour period.

▪ The program is provided at no cost to the

children’s parent, guardian, or custodian.

▪ Green Thumb volunteer reading programs

▪ Tutoring programs

▪ After-school church-sponsored program

that meets these criteria.

6. A program administered by a political subdivision of the

state that is primarily for recreational or social

purposes and is limited to children who are five years of

age or older and attending school.

▪ City park and recreation programs for

school-aged children

Comm. 204 (Rev. 04/24) 6

DESCRIPTION

EXAMPLES

(Not intended as an exhaustive list)

7. An after school program continuously offered

throughout the school year calendar to children who

are least five years old, are enrolled in school, and

attend the program intermittently, or a summer-only

program for such children. The program must be

provided through a nominal membership fee or at no

cost.

▪ Boys and Girls Clubs of America

▪ Nominal fee is considered to be $10 per

day per child or less

8. A special activity program that meets less than four

hours per day for the sole purpose of the special

activity. Such programs include but are not limited to

music or dance classes, organized athletic or sports

programs, recreational classes, scouting programs, and

hobby or craft clubs or classes.

▪ Soccer or Little League baseball

▪ Boy or Girl Scouts

▪ Art clubs, music classes, etc.

▪ No more than three days a week.

9. A nationally accredited camp.

▪ Camp Sunnyside

▪ 4-H camps

10. A structured program for the purpose of providing

therapeutic, rehabilitative, or supervisory services to

children under any of the following:

▪ A purchase of service or managed care contract

with the Department.

▪ A contract approved by a local decategorization

governance board created under Iowa Code

section 232.188.

▪ An arrangement approved by juvenile court

order.

▪ After school supervision of children

receiving services from HHS or under the

supervision of a juvenile court officer

▪ Group therapy arranged under the

supervision of HHS or a juvenile court

officer

11. Care provided on-site to children of parents residing in

an emergency, homeless, or domestic violence shelter.

▪ Domestic violence shelters, temporary

shelters for the homeless, etc.

12. A child care facility providing respite care to a licensed

foster family home for a period of 24 hours or more to

a child who is placed with that licensed foster family

home.

▪ Registered child development home that is

providing respite care to foster children.

13. A program offered to a child whose parent, guardian, or

custodian is engaged solely in a recreational or social

activity, remains immediately available and accessible on

the physical premises on which the child’s care is

provided, and does not engage in employment, while

the care is provided.

However, if the recreational or social activity is

provided in a fitness center or on the premises of a

non-profit organization, the parent, guardian, or

custodian of the child may be employed to teach or

lead the activity.

▪ Adult exercise, social and recreation

programs where child care is offered

on-site and the parent remains at the site.

Comm. 204 (Rev. 04/24) 7

Applying for a License to Operate a Child Care Center

Legal reference: 441 IAC 109.2(1) and (2)

Any adult or agency has the right to apply for a child care center license.

Submitting an Initial Application

To initiate an application to operate a child care center, obtain and review an orientation packet

provided by the child care consultant. Direct questions regarding compliance with specific sections to

the child care consultant.

The child care director must complete form 470-4834, Child Care Center Licensing Application and Invoice.

Submit the completed application and all requested reports, including an approved State Fire Marshal’s

report, to the child care consultant before opening the center to conduct business.

A center that has submitted a sufficient application for a license to the child care consultant may

operate for a period of up to 120 days, pending the final licensing decision. To be “sufficient,” an

application must include:

▪ Child Care Center Licensing Application and Invoice, form 470-4834.

▪ An approved State Fire Marshal’s report.

▪ A floor plan indicating room descriptions and dimensions, including the location of windows,

doors, and exits.

▪ Information sufficient to determine that the center director meets the minimum qualifications. (See

Center Director Qualifications under Section IV)

The child care consultant will make one or more on-site visits to the center, including a visit made

after the program is in operation, before issuing a license.

The following sections describe the reports that must be submitted to the child care consultant

before a licensing decision can be made. Centers must furnish these requested reports to the

Department upon new application and annually thereafter. This includes the state fire marshal’s report

and other information relevant to the licensing determination, as directed by the child care consultant.

State Fire Marshal Report

The State Fire Marshal or an approved designee must inspect each child care center applying for

a license and conduct an annual inspection. The State Fire Marshal’s Certificate of Inspection

Report must be completed. A valid fire inspection report cannot be more than three years old

(from the date of issuance). To find out who is responsible for conducting these inspections in

your area, contact the child care consultant or the State Fire Marshal’s office.

The center owner, administrator, or director must obtain the State Fire Marshal inspection

report and submit it to the child care consultant or be sure the report is sent to the consultant.

No program is permitted to begin operation without both the signed application and the

approved fire inspection report on file with the Department.

Comm. 204 (Rev. 04/24) 8

A center must meet all state fire safety requirements, as determined by the inspection, before a

full license can be issued.

Floor Plans

A center must submit a drawing of the floor plan to the child care consultant when making an

initial application and when the location or floor plan is changed. The floor plan must include all

measurements and location of windows, doors, and exits. The floor plan should designate the

type of room (i.e., classroom, office, bathroom, etc.) and should indicate the location of all sinks

and toilets.

Submit plans for new construction or plans for additions or structural alterations to existing

facilities to both the child care consultant and the office of the State Fire Marshal. Obtain

approval for the plans from both the Department and State Fire Marshal before proceeding. This

allows the consultant and the fire marshal to troubleshoot with you regarding areas of concern

about fire safety or capacity before you incur additional costs.

Water Analysis

A facility that uses a private, non-public water supply must obtain an annual laboratory water

analysis to determine that the water has a satisfactory bacteriological quality. If the facility is

going to provide care for children under age two, the analysis must also include testing for

nitrates.

The water analysis must be conducted before the center opens and annually thereafter. For the

most accurate results, the annual testing should be conducted in May or June of each year. Keep

a copy of the laboratory’s water analysis at the center and give a copy to the child care

consultant.

If the laboratory analysis determines that the water is not of a satisfactory quality, you must

develop an alternative plan for water supply. Alternative plans can include using commercially

bottled water, water from a public water supply, or other sources of water approved by the

county sanitarian.

The child care consultant can provide information about where to obtain a laboratory analysis in

your area of the state.

Qualifications of Director and On-Site Supervisor

Submit information sufficient to determine the qualifications of the director and on-site

supervisor to the child care consultant before hiring the person to assume the duties and

responsibilities of the position. The information must document the education, experience, and

training required to qualify for employment in these positions. A worksheet to copy and use for

this purpose is included in Part IV of the handbook. Center Directors and On-Site Supervisors

shall enter their credentials in i-PoWeR

https://secureapp.dhs.state.ia.us/TrainingRegistry/TrainingRegistry/Public/

Comm. 204 (Rev. 04/24) 9

Submitting a Renewal Application

The consultant sends out an application form to renew the license approximately 60 days in advance of

each center’s licensed renewal date. Submit the signed form 470-4834, Child Care Center Licensing

Application and Invoice, to the Department’s Division of Fiscal Management along with the licensing fee.

Submit the other updated reports for renewal with the application or make them available to the

consultant at the relicensing visit.

Licensing Decision

Legal reference: Iowa Code Section 232A.2 and 441 IAC 109.2(3)-(6)

The Department of Health and Human Services will notify applicants of approval or denial within 120

days of the date the child care consultant receives a complete or sufficient application.

Approval for a Full License

The Department will issue a license to a center if it has determined the center complies with the

minimum requirements as defined in state laws and rules governing the standards for child care

centers. (This includes the fire safety rules of the State Fire Marshall and the immunization rules of

Iowa Department of Public Health.) An applicant in compliance with the laws and rules governing child

care centers will be issued a license for 24 months.

Approval for a Provisional License

The Department may issue a provisional license at time of new application or renewal when the center

does not sufficiently meet licensing laws and rules. In some instances, the child care consultant may

request a corrective action plan, including timelines.

A provisional license may be in effect for up to one year. A provisional license may be renewed when a

written plan to bring the center into compliance with the standard, giving specific dates for completion

of work, are submitted to and approved by the Department. A center cannot receive a

provisional license for more than two years in a row for being out of compliance with the

same licensing standards.

When the center submits documentation or it can otherwise be verified that the center complies with

the licensing regulations or standards, the license will be upgraded from a provisional to a full license

status.

In addition, if a center is issued a license indicating it is fully in compliance with licensing requirements,

but at a later date within the license period fails to be in compliance, the Department may reduce a

license to a provisional status. Upon correction of the deficiencies and approval by the child care

consultant, the provisional license may be upgraded to a full license.

Denial

The Department will deny a license on an initial or renewal application when:

▪ The center does not comply with essential center licensing laws and rules in order to be

considered for a provisional license.

Comm. 204 (Rev. 04/24) 10

▪ The center is operating in a manner that the Department determines impairs the safety, health, or

well-being of children in care.

▪ A person subject to an evaluation has transgressions that merit prohibition of involvement with

child care and of licensure, as determined by the Department. This may also include an individual

affiliated with the center, such as an owner.

▪ Information provided to the Department, either orally or in writing, or information contained

in the center’s files is shown to have been falsified by the provider or with the provider’s

knowledge.

▪ The center is not able to obtain an approved State Fire Marshal’s certificate or fails to comply in

correcting or repairing any deficiencies in the time determined by the state fire marshal, or the

State Fire Marshal determines the building is not safe for occupancy.

If the Department denies an application for an initial license, the center must not continue to

provide child care pending the filing of an appeal of the decision and the outcome of an evidentiary

hearing.

Suspension and Revocation

The Department may initiate an action to suspend a license to address an issue of noncompliance that

may be temporary. An example is a center unable to use its licensed facility due to floodwaters or a

fire.

The Department may initiate an action to revoke a license when the center exhibits a pattern of

noncompliance or an imminent concern arises that jeopardizes the well-being of children.

The Department may act to suspend or revoke a license during the licensing year. The Department

will suspend or revoke a license if corrective action has not been taken when:

▪ The center does not comply with the licensing laws and rules and makes no substantial attempt to

correct deficiencies.

▪ The center is operating in a manner that the Department determines impairs the safety, health, or

well-being of the children in care.

▪ A person subject to an evaluation has transgressions that merit prohibition of involvement with

child care and of licensure, as determined by the Department.

▪ Information provided to the Department, either orally or in writing, or information contained

in the center’s files is shown to have been falsified by the provider or with the provider’s

knowledge.

▪ The center is not able to obtain an approved State Fire Marshal’s certificate or fails to comply in

correcting or repairing any deficiencies in the time determined by the State Fire Marshal, or the

State Fire Marshal determines the building is not safe for occupancy.

Right to Appeal Adverse Action

Any center receiving a notice indicating that the Department has initiated an action to deny, suspend,

or revoke the license will be informed of its right to appeal and the procedures to file an appeal. The

Comm. 204 (Rev. 04/24) 11

procedures follow the requirements outlined in the Department’s administrative rules governing

appeals, at 441 Iowa Administrative Code, Chapter 7.

A center affected by an adverse action may initiate an appeal by means of a written request directed to

the county office, or central office of the Department within 30 days after the date the Department

mailed the official notice of the denial, revocation, or suspension.

When the owner or director of a licensed facility receives a Notice of Decision: Services, form 470-0602,

initiating action to deny, suspend, or revoke the facility’s license, this notice must be conspicuously

posted at the main entrance to the center where it can be read by parents or any member of

the public. The notice must remain posted until resolution of the action to deny, suspend, or

revoke the license.

The Department will notify the parents, guardians, or custodians of the children for whom the center

provides care when it takes action to suspend or revoke a license. The center must cooperate with

the Department in providing the names and address of each parent, guardian, or legal custodian.

A center may continue to operate while appealing a decision by the Department to suspend, revoke,

or deny its license unless the negative action is against an initial application or the Department has

obtained a court injunction.

State Inspection and Evaluation

Legal reference: Iowa Code Section 237A.4

The following state agencies periodically conduct on-site inspections. Inspections by these agencies may occur

throughout the duration that a center is licensed.

Department of Health and Human Services

The Department will make periodic inspections of licensed centers to ensure compliance with licensing

requirements. The child care consultant will conduct at least one unannounced visit each year. The

consultant may inspect records maintained by a licensed center and may inquire into matters

concerning the centers and the people in charge.

Department of Public Health

With authority from the state or local boards of health, personnel from public health agencies may

make periodic inspections of licensed centers to ensure compliance with health-related licensing

requirements. Public health officials may also conduct periodic audits of immunization records to

ensure compliance. Additionally, the Department of Public Health may offer on-site consultation in

meeting health and environmental-related and immunization requirements.

State Fire Marshal

Inspections by the State Fire Marshal or a designee to determine compliance with rules relating to fire

safety can be conducted at any time without prior notice. Inspections can occur on a random basis,

upon anyone’s request, in response to a complaint, or when fire appears to be possible (for example,

an odor of a flammable liquid or gas is present outside a building).

Comm. 204 (Rev. 04/24) 12

Records

Legal reference: Iowa Code Section 237A.7 and 441 IAC 109.3(237A)

Child care centers should consult with their boards of directors, accountants, insurance agents, and attorneys

in establishing policies for record retention. Centers should also be aware that funding sources, such as

United Way and the state child care assistance program, may have additional requirements for record

retention. Centers should ask the funding source what specific information and the length of time records

should be retained.

Confidential Information

Under state law, information about a person in a child care center or the relative of a person in a child

care center is confidential. Anyone who acquires such information through the operation of a child

care center may not disclose it, directly or indirectly, except upon inquiry before a court of law or

with the written consent of the person. In the case of a child, written consent must be obtained from

the parent or guardian or as otherwise specifically required or allowed by law.

Child care consultants must have unrestricted access to children’s files in performing their duties. In

addition, centers must make child immunization records accessible to public health officials without

requiring parental consent. Child care centers may also be asked to cooperate with public health

officials in the event of a communicable disease investigation.

These confidentiality provisions allow the disclosure of information about the structure and operation

of a center. They also allow duly authorized persons to perform statistical analysis of data collected on

licensed centers and the publication of the results of the analysis in a manner, which does not disclose

information identifying individual persons.

Licensing File

The Department of Health and Human Services maintains the licensing file for the center for the

period of time that the center remains licensed. Once a center is no longer licensed, the Department

maintains the record for an additional five years. After that time, the record may be destroyed.

The Department licensing file is a public record and is subject to review by parents and other

interested parties. Any person who wishes to review the licensing file of a child care center can

contact the child care consultant responsible for licensing the center.

Findings of any licensing visits are summarized and maintained in the licensing file. After each visit and

complaint, the Department documents whether a center was in compliance with center licensing

standards as imposed by licensing laws and rules. This record is available to the public, except that the

identity of the complainant will be withheld unless expressly waived by the complainant.

Licensing reports and valid complaints can be found online at :

https://secureapp.dhs.state.ia.us/dhs_titan_public/ChildCare/ComplianceReport

Comm. 204 (Rev. 04/24) 13

Administrative Requirements and Procedures

Legal reference: Iowa Code Section 232.69 and 441 IAC 109.5(237A)

Parental Access

Centers must give parents unlimited access to their children and to the providers caring for their

children during the center’s hours of operation or whenever their children are in the care of the

center, unless parental contact is prohibited by court order. The center must inform parents of this

policy in writing when the child is admitted to the center.

Parental Survey

If requested by the Department, centers must assist the Department in conducting an annual survey of

parents served in their center. The Department will notify you of the time frames for distribution and

completion of the survey and the procedures for returning the survey to the Department.

The purpose of the survey is to increase parents’ understanding of developmentally appropriate and

safe practices, solicit statewide information regarding parental satisfaction with the quality of care being

provided to children, and obtain the parents’ perspective regarding the center’s compliance with

licensing requirements.

In addition to the Department’s survey, you are encouraged to establish your own mechanism for

soliciting ongoing parental input and to provide for a process for quality improvement, including

complaint resolution, in the delivery of child care services. Recommendations for improvement should

be sought from both staff and parents.

Mandatory Reporting of Child Abuse

The center must have written policies established that include procedures for reporting suspected

child abuse. Center staff serving in a caretaking role with children are mandatory reporters of child

abuse. Centers must provide this information to all staff at orientation and within 30 days of

employment.

Iowa Code Section 232.69 requires any director or employee of a licensed child care center to report

to the Department within 24 hours when, in the course of working with a child, you have reason to

believe that the child has suffered abuse or neglect. The oral report must be followed within 48 hours

with a written report to the Department. https://hhs.iowa.gov/sites/default/files/470-0665.pdf The

person who has witnessed the abuse or the effects of the abuse should make the reports.

Staff may report suspected child abuse by calling the county Department of Health and Human Services

office or calling the 24-hour, toll-free, Child Abuse Hotline number: 1-800-362-2178.

Civil Rights Act of 1964

Title VI of the Civil Rights Act of 1964 (Public Law 88-352), as amended, and regulations of the U.S.

Department of Health and Human Services (45 Code of Federal Regulations--Part 80) prohibit

Comm. 204 (Rev. 04/24) 14

discrimination on the grounds of race, color or national origin in the administration of programs under

the direction of the Department of Health and Human Services where federal funds are involved.

Agencies, institutions, and organizations providing child care for children under any program

supervised by the Department of Health and Human Services are required to abide by the terms of the

Act and regulations prohibiting discrimination on the basis of race, color, or national origin. A child

care center’s failure to comply will necessitate the withdrawal of Department financial support.

The regulations provide that people who feel that they or others have been the object of

discrimination by a child care center, contrary to the provisions of the Act, may file a complaint. All

complaints will be investigated and appropriate action taken when indicated. Inquiries should be

directed to the Iowa Civil Rights Commission at (515) 281-4121.

Americans with Disabilities Act (ADA)

Child care centers, as a form of public accommodation, are required to comply with Title III of the

Americans with Disabilities Act (ADA). The Act requires that child care providers not discriminate

against children with disabilities on the basis of the disability.

The center must provide children and their parents an equal opportunity to participate in the center’s

program and activities. According to the U.S. Department of Justice, a center cannot exclude a child

unless the child’s presence poses a direct threat to the health and safety of others or would require a

fundamental alteration of the program.

Center facilities need to be accessible to children and their parents who have disabilities. Existing

centers must remove barriers according to a readily achievable standard, while newly constructed or

renovated centers must be fully accessible.

A center must make reasonable modifications to its policies and procedures to integrate children,

unless doing so would constitute a fundamental alteration. Unless it is an undue burden, centers must

provide appropriate auxiliary aids and services needed for effective communication with a child with a

disability.

The child care consultant can provide additional information and resources regarding compliance with

the ADA.

Additional information about Child Care Centers and the ADA can be found at

https://www.ada.gov/childqanda.htm

Comm. 204 (Rev. 04/24) 15

Child Care Centers and Preschools

Licensing Standards and Procedures

Part II

Provider Resources

Comm. 204 (Rev. 04/24) 16

State Contacts

Child Care Consultants

Child care consultants responsible for licensing centers are located in HHS offices. To locate the child

care consultant for your area, see the next page.

Child Care Resource and Referral Agencies

The child care resource and referral agencies are available to provide training, resources, technical

assistance, and lending library materials to providers. These agencies distribute a newsletter to

providers containing topics of interest related to early childhood and school-age care and inform

providers of training opportunities in their area. In addition, they offer parent referral services and

consumer education on quality child care.

Comm. 204 (Rev. 04/24) 17

Child care resource and referral agencies are organized into a network through five service delivery

areas. Each area has a designated lead agency. To locate the resource and referral agency for your

area, contact the lead agency for your area. https://iowaccrr.org/

Counties in Service Delivery Area:

Lead Agency For Service Delivery Area:

SDA 1

Buena Vista, Calhoun, Cherokee, Clay,

Crawford, Dickinson, Emmet, Hamilton,

Humboldt, Ida, Kossuth, Lyon, Osceola,

O’Brien, Palo Alto, Plymouth, Pocahontas,

Sac, Sioux, Webster, Wright, Woodbury

Child Care Resource and Referral of Northwest Iowa

Regional Director

418 S Marion Street

Remsen, IA 51050

Phone: 712-786-3489

Fax: 712-786-3250

[email protected]

SDA 2

Allamakee, Black Hawk, Bremer, Buchanan,

Butler, Cerro Gordo, Chickasaw, Clayton,

Delaware, Dubuque, Fayette, Floyd, Franklin,

Grundy, Hancock, Howard, Mitchell,

Winnebago, Winneshiek, Worth

Child Care Resource and Referral of Northeast Iowa

Regional Director

3675 University Avenue

Waterloo, IA 50704

Phone: 800-475-0804

Fax: 319-274-8841

[email protected]

SDA 3

Adams, Audubon, Carroll, Cass, Fremont,

Greene, Guthrie, Harrison, , Mills, Monona, ,

Montgomery, Page, Pottawattamie, Ringgold,

Shelby, Taylor, Union,

Child Care Resource and Referral of Southwest and

South Central Iowa

Regional Director

408 A Hwy 44

Harlan, IA 51537

Phone: 712-755-7581

Fax: 712-755-7827

[email protected]

SDA 4

Adair, Appanoose, Boone, Clark, Dallas,

Davis, Decatur, Hardin, Jasper, Lucas,

Madison, Mahaska, Marion, Marshall,

Monroe, Poweshiek, Story, Polk, Warren,

Wayne, Wapello

Child Care Resource and Referral of Central Iowa

Regional Director

808 5th Avenue

Des Moines, IA 50309

Phone: 515-246-3590

Fax: 515-246-3570

[email protected]

SDA 5

Benton, Cedar, Clinton, , Des Moines,

Henry, Iowa, Jackson, Jefferson, Johnson,

Jones, Keokuk, Lee, Linn, Louisa, ,

Muscatine, , Scott, Tama, Van Buren, ,

Washington

Child Care Resource and Referral of Southeast Iowa

Regional Director

500 E 59th Street

Davenport, IA 52807

Phone: 866-324-3236

Fax: 563-324-7736

[email protected]

Iowa Quality for Kids (IQ4K

) is Iowa’s new Quality Rating and Improvement System (QRIS) for HHS

licensed Child Care Centers and preschools, registered Child Development Homes and programs

operating under the authority of an accredited school district or nonpublic school. IQ4K

provides five

levels of quality (building blocks) that programs can achieve and continue to improve on.

By implementing Continuous Quality Improvement (CQI), IQ4K

allows programs to assess their

current grade across all areas of programming and devise a structured plan to increase the overall level

of program quality.

Comm. 204 (Rev. 04/24) 18

Other State Programs

Child Care Licensing:

Child Care Licensing Program Manager

Iowa Department of Health and Human Services

Division of Child and Family Services

1305 E Walnut, 5th Floor, Hoover Bldg

Des Moines, IA 50319-0114

(515) 281-7714

State Fire Marshal:

Iowa Department of Public Safety

Division of State Fire Marshal

401 SW 7

St., Suite N

Des Moines, IA 50309

(515) 281-5821

Food Program:

Child and Adult Care Food Program

Bureau of Food and Nutrition

Iowa Department of Education

400 E 14th St

Des Moines, IA 50319

(515) 281-5356

https://educateiowa.gov/pk-12/nutrition-

programs/child-and-adult-care-food-program

Healthy Child Care Iowa:

HCCI Coordinator

Healthy Child Care Iowa

Bureau of Family Health

Iowa Department of Public Health

321 E 12th St

Des Moines, IA 50319

(515) 321-8137

1-800-383-3826

https://hhs.iowa.gov/programs/programs-and-

services/child-care/hcci

Immunizations:

Bureau of Immunization

Iowa Department of Public Health

321 E 12th St

Des Moines, IA 50319

(515) 281-7301

Vaccine for Children Hotline:

1-800-831-6293

Immunization Certificate: 1-800-398-9696

Comm. 204 (Rev. 04/24) 19

Iowa Resources

You can obtain additional information on these materials from your child care consultant.

Child Care Resource and Referral

Child Care Resource & Referral (CCR&R) is a program to support quality child care throughout the

state of Iowa. CCR&R is available to assist families in selecting child care providers who best meet the

needs of a child and their family. Child Care Consultants provide on-site consultation to licensed

preschools, centers, non-registered home providers, and Child Care Development Home providers.

Contact them at 877-216-8481 or www.iowaccrr.org.

Iowa Child Care Complaint Hotline

The Iowa Child Care Complaint Hotline was developed as part of the Child Care and Development

Block Grant Reauthorization. This hotline serves as a centralized location for parents, the community,

and others to report concerns they may have regarding child care facilities. The hotline can be reached

at 1-844-786-1296.

Healthy Child Care Iowa

Healthy Child Care Iowa is a statewide publicly funded program to improve the health and safety of

children while they are enrolled in child care and early education settings. Child care nurse consultants

are registered nurses who provide consultation, training, and technical assistance on health and safety

policies, health programs, health of personnel, and specific child health or safety issues. To be

connected with nurse consultants in your area visit the website at

https://hhs.iowa.gov/programs/programs-and-services/child-care/hcci

Iowa State University Extension Service

County ISU Extension offices provide publications, workshops, and self-study training materials on

early childhood and child care. Consultation and materials cover a wide variety of topics, including

financial considerations of operating a child care center, child care environmental design, playground

safety, nutrition, child development, health and safety, and positive guidance and discipline.

ISU Extension also works with communities and employers to explore child care options and conduct

needs assessments. Publications and videos on choosing quality child care are also available for parents.

Area Education Agencies

Area education agency (AEA) early childhood consultants and early childhood special education

personnel can provide on-site technical assistance and training on a variety of issues, including technical

assistance and training for children with developmental disabilities, behavioral issues, and

developmentally appropriate practices. http://www.iowaaea.org/

Comm. 204 (Rev. 04/24) 20

Child Care Assistance (Subsidy)

Financial assistance for child care is available to families who meet income guidelines and requirements

for participation in education or employment. Centers can refer families who might benefit from

assistance to the county Department of Health and Human Services office. https://hhs.iowa.gov/child-

care

Child Support

Some families may have difficulty in meeting the cost of child care when a noncustodial parent fails to

make child support payments. Centers can refer families who might be in need of assistance in

establishing or enforcing child support to the Child Support Recovery Unit that serves the county

where the custodial parent resides. https://hhs.iowa.gov/child-support

Iowa Statewide Poison Control Center

The statewide poison control center for Iowa is located at 1920 Hamilton Blvd., Lower A, Sioux City,

Iowa 51104. The POISON CONTROL NUMBER is 1-800-222-1222. https://www.iowapoison.org/

Healthy and Well Kids In Iowa (HAWKI)

The Healthy and Well Kids in Iowa (Hawki) program provides health care coverage for families who

do not qualify for Medicaid but cannot afford private health care coverage. The health care coverage is

for children birth to age 19 and covers, among other services, doctor and dentist visits, hospital stays,

well child visits, and eye exams. To apply or to get more information regarding the program, call the

24-hour number: 1-800-257-8563 or visit the website at https://hhs.iowa.gov/hawki

Child Health Centers

Iowa has 23 community-based child health centers that provide a variety of health services to children

ages birth through 21 years. Services available include access to a medical home, physical examination,

select health screening laboratory procedures, immunization, and care coordination. You can obtain

the location of the nearest child health center by calling the Healthy Families Line at 1-800-369-2229.

Child Health Specialty Clinics

The University of Iowa Child Health Specialty Clinics regional health services coordinators,

nutritionists, parent consultants, and other professional staff can assist with the provision of on-site

technical assistance or training for a variety of issues specific to children with special health care needs.

You can access telephone consultation and printed resources through the regional center nearest you

or by contacting the Child Health Specialty Clinics central office at (319) 384-6865.

Maternal Health Centers

Iowa has 25 maternal health centers that provide prenatal medical and health related services to

women. You can obtain the location of the nearest maternal health center by calling the Healthy

Families Line at 1-800-369-2229.

Comm. 204 (Rev. 04/24) 21

Family Planning Clinics

Center staff may be able to obtain their required physical examination at a family planning clinic at a

reduced cost. You can obtain the location of the nearest family planning clinic by calling the Healthy

Families Line at 1-800-369-2229.

Local Health Departments

Local public health departments help promote healthy behaviors, prevent illness, and provide services

to safeguard the health and wellness of the community.

Comm. 204 (Rev. 04/24) 22

National Resources

First Children’s Finance

First Children’s Finance provides loans and business-development assistance to high-quality child care

businesses serving low- and moderate-income families. Contact them at 866-562-6801 or the website

at http://www.firstchildrensfinance.org/.

Handbook for Public Playground Safety

The Handbook for Public Playground Safety, Pub No. 325 (2010) was developed by the Consumer

Product Safety Commission. It can assist centers in the design, construction, operation and

maintenance of safe playground areas. The guidelines make recommendations regarding surfacing

materials, spacing and layout, installation, equipment design, and general hazards regarding an array of

playground equipment. You can obtain a copy at the Consumer Product Safety Commission website

https://www.cpsc.gov/Safety-Education/Safety-Guides/outdoors/playgrounds

National Health and Safety Performance Standards

The National Health and Safety Performance Standards for out-of-home child care are also known as

“Caring for Our Children.” They are published by the American Public Health Association and the

American Academy of Pediatrics. CFOC is online or can be downloaded as a PDF at

https://nrckids.org/CFOC

These national standards address recommendations for child/staff ratios and personnel, activities for

healthy development, health protection and promotion, nutrition and food service, facilities, supplies,

equipment, transportation, infectious diseases, children with special needs, and administration. You can

obtain a copy by contacting the National Resource Center on Health and Safety in Child Care at their

website: http://nrckids.org/

Stepping Stones to Using “Caring for Our Children”

Stepping Stones is the collection of selected Caring for Our Children standards which, when put into

practice, are most likely to prevent serious adverse outcomes in child care and early education

settings. You can obtain a copy by contacting the National Resource Center for Health and Safety in

Child Care at 1-800-598-5437 or at their website: https://nrckids.org/CFOC/Stepping_Stones

 
Comm. 204 (Rev. 04/24)    23 
Internet Websites 
Centers for Disease Control 
http://www.cdc.gov 
Consumer Product Safety Commission 
http://www.cpsc.gov 
Department of Health and Human Services Tools, Trainings, and Resources 
http://hhs.iowa.gov/licensure-and-registration/tools-trainings-and-resources 
Department of Justice’s Commonly Asked Questions About Child Care Centers and the ADA 
http://www.ada.gov/childqanda.htm 
First Children’s Finance 
  http://firstchildrensfinance.org 
Hawki 
  https://hhs.iowa.gov/hawki 
Healthy Child Care Iowa 
https://hhs.iowa.gov/programs/programs-and-services/child-care/hcci 
Iowa State University Extension -- Child Care and Education for Professionals 
http://www.extension.iastate.edu/humansciences/child-care-education-professionals 
National Association for the Education of Young Children 
http://www.naeyc.org 
National Program for Playground Safety 
  https://playgroundsafety.org/ 
National Resource Center for Health and Safety in Child Care 
http://nrckids.org/ 
National School-Age Care Alliance 
http://naaweb.org/ 
Prepare Iowa 
http://prepareiowa.training-source.org/ 
Program for Infant and Toddler Care 
https://www.pitc.org/pub/pitc_docs/home.csp 
Zero to Three 
http://www.zerotothree.org/ 

Comm. 204 (Rev. 04/24) 24

Child Care Centers and Preschools

Licensing Standards and Procedures

Part III

Regulations

Comm. 204 (Rev. 04/24) 25

Part III of the handbook is organized according to the organization of 441 Iowa Administrative Code (IAC)

109, as outlined on the following pages. Each rule is quoted, followed by an explanation of the rationale for

the rule and recommendations for implementing it.

The information contained in this section has been obtained, in part, from the following sources:

▪ Iowa Code Chapter 237A, “Child Care Facilities”

• Iowa law that gives authority to the Department of Health and Human Services to develop rules

governing the licensing of child care centers.

▪ 441 Iowa Administrative Code, Chapter 109, “Child Care Centers”

• Administrative rules developed by the Iowa Department of Health and Human Services establishing

minimum standards for the licensing of child care centers.

▪ 641 Iowa Administrative Code, Chapter 7, “Immunization of Persons Attending Elementary or Secondary

School or Licensed Child Care Centers”

• Administrative rules developed by the Iowa Department of Public Health establishing minimum

standards for immunization requirements.

▪ The Child and Adult Care Food Program of the U.S. Department of Agriculture

• In Iowa, the Child and Adult Care Food Program is administered by the Bureau of Food and

Nutrition in the Iowa Department of Education.

▪ Caring for Our Children: National Health and Safety Performance Standards -- Guidelines for Out-of-

Home Child Care Programs, 4

Edition

• This publication is a collaborative project of the American Academy of Pediatrics and the American

Public Health Association designed to establish recommendations for minimum health and safety

standards and best practices in out-of-home child care programs.

▪ Handbook for Public Playground Safety, Pub No. 325 (2010)

• The Iowa Playground Safety Network distributes this publication of the US Consumer Product Safety

Commission. For more information go to: http://playgroundsafety.org/standards/cpsc

▪ Smoke Free Air Act, 237A.3B Sec 142D.2

• This law was enacted in 2008 and prohibits smoking and ashtrays, and requires no smoking signs in

child care facilities and vehicles. For more information go to: https://smokefreeair.iowa.gov/.

Comm. 204 (Rev. 04/24) 26

441 Iowa Administrative Code Chapter 109

Child Care Centers

Administration

▪ 441—109.1(237A) Definitions

▪ 441—109.2(237A) Licensure procedures

• 109.2(1) Application for license

• 109.2(2) License

• 109.2(3) Provisional license

• 109.2(4) Denial

• 109.2(5) Revocation and suspension

• 109.2(6) Adverse actions

• 109.2(7) Regulatory Fees

▪ 441—109.3(237A) Inspection and Evaluation

▪ 441—109.4(237A) Administration

• 109.4(1) Purpose and objectives

• 109.4(2) Required written policies

• 109.4(3) Required postings

• 109.4(4) Mandatory reporters

• 109.4(5) Handbook

• 109.4(6) Certificate of license

Parental Participation

▪ 441—109.5(237A) Parental participation

• 109.5(1) Unlimited access

• 109.5(2) Parental evaluation

Personnel

▪ 441—109.6(237A) Personnel

• 109.6(1) Center director requirements

• 109.6(2) On-site supervisor

• 109.6(3) Director and on-site supervisor functions combined

• 109.6(4) Transition period for staff

• 109.6(5) Volunteers

• 109.6(6) Record checks and evaluations

Comm. 204 (Rev. 04/24) 27

Professional Growth and Development

▪ 441—109.7(237A) Professional growth and development

• 109.7(1) Required training within the first three months of employment

• 109.7(2) Center Directors and all staff

• 109.7(3) Staff employed in centers that operate summer-only programs

• 109.7(4) Training plans

Staff Ratio Requirements

▪ 441—109.8(237A) Staff ratio requirements

• 109.8(1) Staff requirements

• 109.8(2) Staff ratio

Records

▪ 441—109.9(237A) Records

• 109.9(1) Personnel records

• 109.9(2) Child’s file

• 109.9(3) Immunization certificates

• 109.9(4) Daily activities

Health and Safety Policies

▪ 441—109.10(237A) Health and safety policies

• 109.10(1) Physical examination report

• 109.10(2) Medical and dental emergencies

• 109.10(3) Medications

• 109.10(4) Daily contact

• 109.10(5) Infectious disease control

• 109.10(6) Quiet area for ill or injured

• 109.10(7) Staff hand washing

• 109.10(8) Children’s hand washing

• 109.10(9) First-aid kit

• 109.10(10) Recording incidents

• 109.10(11) Smoking

• 109.10(12) Transportation

• 109.10(13) Field trip emergency numbers

• 109.10(14) Pets

• 109.10(15) Emergency plans

Comm. 204 (Rev. 04/24) 28

Physical Facilities

▪ 441—109.11(237A) Physical facilities

• 109.11(1) Room size

• 109.11(2) Infants’ area

• 109.11(3) Facility requirements

• 109.11(4) Bathroom facilities

• 109.11(5) Telephone

• 109.11(6) Kitchen appliances and microwaves

• 109.11(7) Environmental hazards

Activity Program Requirements

▪ 441—109.12(237A) Activity program requirements

• 109.12(1) Activities

• 109.12(2) Discipline

• 109.12(3) Policies for children requiring special accommodations

• 109.12(4) Play equipment, materials and furniture

• 109.12(5) Infant environment

Extended Evening Care

▪ 441—109.13(237A) Extended evening care

• 109.13(1) Facility requirements

• 109.13(2) Activities

Get-Well Center

▪ 441—109.14(237A) Get-well center

• 109.14(1) Staff requirements

• 109.14(2) Health policies

• 109.14(3) Exceptions

Food Services

▪ 441—109.15(237A) Food services

• 109.15(1) Nutritionally balanced meals or snacks

• 109.15(2) Menu planning

• 109.15(3) Feeding of children under two years of age

• 109.15(4) Food brought from home

• 109.15(5) Food preparation, storage, and sanitation

• 109.15(6) Water supply

Comm. 204 (Rev. 04/24) 29

Administration

Legal reference: IAC 441 109.4(1)

Purpose and Objectives

Incorporated and unincorporated centers shall submit a written statement of purpose and objectives.

The plan and practices of operation shall be consistent with this statement.

Rationale and Recommendations For Implementation

The center’s purpose describes the population to be served, the mission of the organization, etc.

Objectives help to define for both staff and parents the underlying philosophies and practices of the

organization that determine how the center serves to benefit the children for whom care is provided.

In providing a written description, centers are challenged to assess all program activities, curriculum,

and practices to ensure a quality environment is provided consistent with its purpose.

Required Written Policies

Legal reference: 441 IAC 109.4(2)

The child care center owner, board or director shall:

a. Develop fee policies and financial agreements for the children served.

b. Develop and implement policies for enrollment and discharge of children, field trips and non-

center activities, discipline, nutrition, and health and safety policies, and if transporting children, a

transportation policy.

c. Develop a curriculum or program structure that uses developmentally appropriate practices and

an activity program appropriate to the developmental level and needs of the children.

d. Develop and implement a written plan for staff orientation to the center’s policies and to the

provisions of 441—Chapter 109 where applicable to staff.

e. Develop and implement a written plan for ongoing training and staff development in compliance

with professional growth and development requirements established by the Department in rule

441—109.7(237A).

f. Make available for review a copy of the center policies and program to all staff at the time of

employment and each parent at the time a child is admitted to the center. A copy of the fee

policies and financial agreements shall be provided to each parent at the time a child is admitted to

the center.

g. When serving children under the age of three, develop and implement a policy for responding to

incidents of biting that includes the following elements.

(1) An explanation of the center’s perspective on biting.

(2) A description of how the center will respond to individual biting incidents and episodes of

ongoing biting.

(3) A description of how the center will assess the adequacy of caregiver supervision and the

context and the environment in which the biting occurred.

Comm. 204 (Rev. 04/24) 30

(4) A description of how the center will respond to the individual child or caregiver who was

bitten.

(5) A description of the process for notification of parents of children involved in the incident.

(6) A description of how the incident will be documented.

(7) A description of how confidentiality will be protected.

(8) A description of first-aid procedures that the center will use in response to biting

incidents.

h. Develop a policy to ensure that people do not have unauthorized access to children at the center.

The policy shall be subject to review for minimum safety standards by the licensing consultant. The

policy shall include, but is not limited to, the following:

(1) The center’s criteria for allowing people to be on the property of the facility when

children are present.

(2) A description of how center staff will supervise and monitor people who are permitted on

the property of the center when children are present, but who have not been cleared for

involvement with child care through the formal record check process. The description

shall include definitions of “supervision” and “monitoring.”

(3) A description of how responsibility for supervision and monitoring of people in the center

will be delegated to center staff, which includes provisions that address conflicts of

interest.

(4) A description of how the policy will be shared with parents, guardians, and custodians of

all children who are enrolled at the center.

i. Develop and implement a policy for protection of child’s confidentiality.

Rationale and Recommendations For Implementation

Child care is a service that operates through a contractual relationship between the provider and the

parent in the interests of the child. Parents must be fully informed about a center’s services and

expectations to allow them an informed decision in delegating care and supervision of their child to the

center.

Centers are expected to focus on activities and practices that are conducive to positive child

development and safety practices. Written policies provide a method for parents to choose the type of

program that best suits the needs of their child. Written policies are an important step in building a

comprehensive and well-developed program, providing a mechanism to communicate to staff and

parents, and ensuring consistency in implementation.

All levels of administration, including the board of directors, the center director, the on-site

supervisor, and direct care staff should be provided a copy of the center’s policies and the HHS

licensing standards at time of employment. These materials should be reviewed during the staff’s

orientation.

You may want to develop a checklist of all materials and information required before a child can be

admitted to the program. The checklist can be shared with parents and serve as a reminder to staff.

Comm. 204 (Rev. 04/24) 31

A copy of all the center’s policies shall be available to the parents. You are encouraged to make this

handbook available to parents at the time of admission to educate parents on the licensing standards

that you must be meet.

You must provide fee policies to the parents at the time of admission. Fee policies and financial

agreements should be clearly stated. Policies shall clearly indicate discharge provisions for a parent’s

failure to pay, including a process for resolution. Any change to the agreements should allow for timely

notification to parents. Provide amended copies to the parent. Continuity of care for children should

be given highest priority in mediating disputes.

Because of the importance of stable and consistent adult relationships to children and for the

protection of the center, you shall have defined criteria for permanently discharging a child from the

program. The decision to discharge a child should be made only after defined attempts to resolve

problems, with the knowledge and support of the child’s parents, have been unsuccessful. It is strongly

encouraged that you document attempts to resolve the problems, including communications with the

child’s parents.

In the written policies that describe the center’s practices related to enrollment and discharge of

children, field trips and non-center activities, transportation, discipline, nutrition, and health and safety

policies, you shall have policies that outline the expectation for parent authorizations for:

▪ Participation in center-sponsored field trips.

▪ Participation in non-center-related activities away from the center that the child may attend.

▪ Transportation by the center to and from school.

▪ Changes in meals and snacks provided to a child that differ from CACFP guidelines.

▪ Health-related care and administering medications.

In addition to the required policies outlining the above expectations, you should also consider

obtaining written parent/guardian authorization any time there is an associated risk in which you do

not have a written policy (Example: having a child sign out and walk home).

In an effort to protect children’s confidentiality, you should have a social media policy

Suggestions for content of the required written policies and procedures are included in Part IV of the

handbook.

Tip:

1. Not knowing how a child was injured (bitten for example) and not reporting injuries is a frequent

source of complaints. Help staff understand the importance of active supervision, documentation

and communicating with parents. Even if you are unaware of how an injury has occurred, you still

must document on an incident report.

2. If something is not covered in your policies and there is an associated risk, think about obtaining

parent’s written authorization. (Example: desire for the child to walk home by themselves on

Mondays).

Comm. 204 (Rev. 04/24) 32

Required Postings

Legal reference: 441 IAC 109.4(3), 109.10(1), amended by HF 2212(16)(t) 6

Required postings:

a. Postings are required for the certificate of license, notice of exposure of children to a

communicable disease, and notice of actions to deny, suspend, or revoke the center’s license and

shall be conspicuously placed at the main entrance to the center. If the center is located in a

building used for additional purposes and shares the main entrance to the building, the required

postings shall be conspicuously placed in the center in an area that is frequented daily by parents

or the public.

b. Postings are required for mandatory reporter requirements, the notice of availability of the

handbook required in subrule 109.4(5), and the program activities and shall be placed in an area

that is frequented daily by parents or the public.

c. Post nonsmoking signs at every entrance of the child care center and in every vehicle used to

transport the children. All signs shall include:

(1) The telephone number for reporting complaints, and

(2) The Internet address of the Department of Public Health

(https://smokefreeair.iowa.gov/).

Rationale and Recommendations For Implementation

Parents have a right to be informed regarding activities within or regarding the center, including any

legal action taken against the center, which may impact their child or their decision to continue

services at the center. The goal of postings is to facilitate and increase communication opportunities

with parents.

In addition to posting within a center, in some circumstances centers may also want to send notices

home with children or do a separate mailing to parents. Centers may also want to include information

regarding mandatory reporters, this handbook, and the program structure of the center in their parent

handbook. However, this does not remove the requirement to post in the center.

Postings must be clearly visible to parents when they enter the center. If the location of the center

within a building makes it impractical to post a notice by the front door, the posting must be in an area

of the center where parents routinely gather when they arrive to pick up or leave their children.

The posting regarding the availability of the handbook must also include the name, office mailing

address, and telephone number of the child care consultant.

Letters from the Department giving notice of action to suspend or revoke a license MUST be posted in

the format in which they are received. Do not alter the content or design of the letter in any way.

Mandatory Reporters

Legal reference: 441 IAC 109.4(4)

Mandatory reporters. Requirements and procedures for mandatory reporting of suspected child abuse as

defined in Iowa Code section 232.69 shall be posted where they can be read by staff and parents.

Comm. 204 (Rev. 04/24) 33

Methods of identifying and reporting suspected child abuse and neglect shall be discussed with all staff

within 30 days of employment.

Rationale and Recommendations For Implementation

All employees of a center who are involved in the direct care of children, including volunteers used in

meeting staff ratio, are mandatory reporters and must be informed of their responsibilities and the

procedures for reporting suspected abuse.

Within 30 days of employment or at the time a person volunteers, the center shall provide the

employee or volunteer with an outline of the reporting requirements. Keep signed documentation in

the personnel file indicating that the information was shared and that the employee or volunteer

understands their responsibilities as a mandatory reporter. All staff, excluding volunteers, must

complete training for Iowa’s mandatory reporting of child abuse within the first three months of

employment.

Handbook

Legal reference: 441 IAC 109.5(5)

Handbook. A copy of Child Care Centers and Preschools Licensing Standards and Procedures, shall be

available in the center, and a notice stating that a copy is available for review upon request from the

center director shall be conspicuously posted. The name, office mailing address and telephone number

of the child care consultant shall be included in the notice.

Rationale and Recommendations For Implementation

The handbook provides parents and child care center staff an opportunity to become more

knowledgeable about the state’s expectations of centers in providing quality child care. In addition, the

handbook can serve as a support to centers in explaining the importance of complying with a standard

with which the parent may have a disagreement.

While you do not have to give an individual copy of the handbook to parents, a copy must be

accessible to parents within the center or made electronically available. The notice stating that the

handbook is available must be in an area of the center where parents routinely gather when they arrive

to pick up or leave their children.

TIP: A key to success is having lead personnel become the CHAMPION of child care regulations. This

person should be empowered to teach others licensing standards. Please establish an expert within

each licensed program. Your CHAMPION should know the content of this handbook very well. We’d

encourage your champion to take the checklist and conduct a self-audit prior to an anticipated annual

HHS inspection.

Certificate of License

Legal reference: 441 IAC 109.4(6)

Certificate of license. The child care license shall be posted in a conspicuous place and shall state the

particular premises in which child care may be offered and the number of children who may be cared

for at any one time. Notwithstanding the requirements in rule 441—109.8(237A), no greater number

of children than is authorized by the license shall be cared for at any one time.

Comm. 204 (Rev. 04/24) 34

Rationale and Recommendations For Implementation

Post it your certificate of license at the main entrance to the facility. Display the certificate fully. Do

not alter it in any way.

The “particular premises in which child day care may be offered” is the specific site of the facility. If the

center moves to a new facility, the license does not transfer. You must apply for a new license specific

to the new site. You must return the license for the former facility to the child care consultant.

If a change in ownership occurs, you must remove the old license and return it to the child care

consultant. Submit a new form 470-4834, Child Care Center Licensing Application and Invoice, to the child

care consultant.

Comm. 204 (Rev. 04/24) 35

Parental Participation

Unlimited Access

Legal reference: 441 IAC 109.5(1)

Unlimited access. Parents shall be afforded unlimited access to their children and to the provider caring

for their children during the center’s hours of operation or whenever their children are in the care of

a provider, unless parental contact is prohibited by court order. The provider shall inform all parents

of this policy in writing at the time the child is admitted to the center.

Rationale and Recommendations For Implementation

You should include this item in your admissions packet. Parents have the right to enter the center and

observe the care of their child at any point during the child’s care. Encouraging the active participation

of parents is a way to reinforce the safe and healthy environment that you are providing.

CAUTION: If parent contact is prohibited by court order, you may want the parent or custodian to

provide a copy of the applicable portions of the court order to be included in the child’s file. Obtaining

documentation may prevent you from being placed in a compromising position or making legal

judgments regarding authorizations and release of child. This also reduces liability concerns of relying

solely on the verbal statements of one parent.

In adversarial situations where parents indicate that the other party is restricted in contact or in

receiving information about the child, a copy of the court order protects the center from unwillingly

becoming a party to the custody action. You may want to consult your own legal counsel in

establishing policies.

Parental Evaluation

Legal reference: 441 IAC 109.5(2)

Parental evaluation. If requested by the Department, centers shall assist the Department in conducting

an annual survey of parents being served by their center. The Department shall notify centers of the

time frames for distribution and completion of the survey and the procedures for returning the survey

to the Department.

The purpose of the survey shall be to increase parents’ understanding of developmentally appropriate

and safe practice, solicit statewide information regarding parental satisfaction with the quality of care

being provided to children and obtain the parents’ perspective regarding the center’s compliance with

licensing requirements.

Rationale and Recommendations For Implementation

You are strongly encouraged to conduct your own evaluation of your services, obtaining the

perspective of parents and staff. Information you obtain from such a survey should be provided to

parents and staff. Such information is vital in achieving and maintaining a quality program and meeting

the needs of the consumers – the parents, and more importantly, the children served.

Comm. 204 (Rev. 04/24) 36

If the Department undertakes a statewide evaluation, the center will not be expected to bear the cost.

You may be asked to assist with providing names and addresses of parents served, assist in distribution

of the survey at the center, etc. The Department will shared final reports obtained from conducting

any statewide survey with all licensed centers.

Personnel

Center Director Requirements

Center director requirements. Centers that have multiple sites shall have a center director or on-site

supervisor in each center. The center director is responsible for the overall functions of the center,

including supervising staff, designing curriculum and administering programs.

The director shall ensure services are provided for the children within the framework of the licensing

requirements and the center’s statement of purpose and objectives. The center director shall have

overall responsibility for carrying out the program and ensuring the safety and protection of the

children.

The center shall submit information in writing to the child care consultant before the start of

employment. The Department shall make the final determination. The information submitted shall be

sufficient to determine that the director meets the following minimum qualifications:

a. Is at least 21 years of age.

b. Has obtained a high school diploma or passed a general education development test.

c. Has completed at least one course in business administration or 12 contact hours in

administrative-related training related to personnel, supervision, record keeping, or budgeting or

has one year of administrative-related experience.

d. Has certification in infant, child, and adult cardiopulmonary resuscitation (CPR), first aid, and

Iowa’s training for the mandatory reporting of child abuse.

e. Has achieved a total of 100 points obtained through a combination of education, experience, and

child development-related training as outlined in the following chart:

(1) In obtaining the total of 100 points, a minimum of two categories must be used, no more

than 75 points may be achieved in any one category, and at least 20 points shall be

obtained from the experience category.

(2) Points obtained in the child development-related training category shall have been taken

within the past five years.

(3) For directors in centers predominantly serving children with special needs, the directors

may substitute a disabilities-related or nursing degree for the bachelor’s degree in early

childhood, child development or elementary education in determining point totals. In

addition, experience in working with children with special needs in an administrative or

direct care capacity shall be equivalent to full-time experience in a child care center or

preschool in determining point totals.

(4) For directors in centers serving predominantly school-age children, the directors may

substitute a degree in secondary education, physical education, recreation or related fields

for the bachelor’s degree in early childhood, child development or elementary education

in determining point totals. In addition, child-related experience working with school-age

Comm. 204 (Rev. 04/24) 37

children shall be equivalent to full-time experience in a child care center or preschool in

determining point totals.

EDUCATION

EXPERIENCE

(Points multiplied by

years of experience)

CHILD

DEVELOPMENT-

TRAINING

Bachelor’s or higher degree in

early childhood, child

development, or elementary

education

Full-time (20 hours or more

per week) in a child care

center or preschool setting

One point per

contact hour of

training

Associate’s degree in child

development or bachelor’s

degree in a child-related field

Part-time (less than 20 hours

per week) in a child care

center or preschool setting

Child development associate

(CDA) or one-year diploma in

child development from a

community college or technical

school

Full-time (20 hours or more

per week) child development-

related experience

Bachelor’s degree or higher in a

non-child-related field

Part-time (less than 20 hours

per week) child development-

related experience

Associate’s degree in a non-

child-related field or completion

of at least two years of a four-

year degree

Registered child development

home provider

Nonregistered family home

provider

Rationale and Recommendations For Implementation

You must notify the child care consultant before hiring a director, either when opening a new center

or replacing the director. Submit to the child care consultant sufficient information to determine

whether the person meets the education, experience, and training requirements for a director. The

final determination as to whether the person meets qualifications rests with the child care consultant.

The director is responsible for the overall function of the center and is essentially the leader of a small

business. The director of a center must have an understanding of good business practices,

administration, and child development in order to:

▪ Ensure the overall well-being of children

▪ Establish healthy, safe, and developmentally appropriate practices

▪ Hire and maintain competent, motivated staff and provide for their professional development

▪ Set appropriate expectations for staff

▪ Maintain clear communication with parents

▪ Manage the center and provide for the financial soundness of the center over the long-term

Larger centers serving 50 or more children may want to consider not including the director in the

staff/child ratio, to allow the director to be more available for the overall supervision of the center.

Comm. 204 (Rev. 04/24) 38

Doing so allows the director to be more knowledgeable of all the activities throughout the center,

provide guidance and modeling to staff, give more immediate response and intervention during

emergencies, and fill in temporarily for an absent employee until other personnel can arrive.

New center directors are encouraged to visit and network with a nearby center director in their

community or county. The more experienced director can serve as a “mentor” to offer ideas,

strategies, and sample plans and policies. Directors are also encouraged to make contact with the

various resources listed in Part II, Provider Resources, such as Child Care Resource and Referral.

Keep your local Child Care Resource and Referral Agency updated regarding changes in your hours of

operation, ages served, etc. as they maintain information to provide parent referral services.

Understanding the Point Chart

The point chart is used to determine if directors are qualified, based on a combination of post-

secondary education, experience, and training. The goal is to assist potential directors who may

not fully meet the point requirement but are “qualifiable” by allowing them an opportunity to

obtain additional training in areas where their formal education or experience needs

reinforcement.

A person must achieve a total of 100 points to qualify as a director.

▪ At least two categories must be used to achieve the 100-point total. No more than 75

points may be achieved in any one category. The rationale for this restriction is that it:

• Allows directors who do not have a degree or whose degree is not child-related to use

years of experience and training to meet the point total

• Allows directors who have a child-related degree and at least a year of full-time

experience in a child care or child-related setting to meet the point total with minimum

additional training

• Doesn’t allow a person with a recent college degree but no experience in a child care

setting to be in charge of a center without first obtaining experience

• Emphasizes the importance of a combination of criteria in ensuring staff are well-versed

in their knowledge and understanding of their responsibilities

▪ At least 20 of the 100 points must be obtained from the experience category.

Rationale: Experience in a child care or child-related field is essential in understanding the

developmental needs of children, the structure necessary to ensure an appropriate, safe and

non-chaotic environment is maintained, and the orientation and training needs of staff.

▪ Training used to calculate points in the “child development-related training” category must

have been taken within the past five years.

Rationale: Our understanding of child development, health and safety considerations, and

environmental concerns, changes and evolves over time. Ongoing research constantly

challenges the development of new curriculum. Therefore, it is important in maintaining

quality staff that training received be centered on the most up-to-date information available.

▪ One continuing education unit (CEU) is equivalent to 10 contact hours.

Comm. 204 (Rev. 04/24) 39

▪ Accommodations are made for centers serving predominately children with special needs

or school-age children.

Rationale: Because of the special program considerations, additional degrees are allowed

for in the education category and additional experiences in other program-related settings

are allowed for in the experience category.

All of the following experience many not result in points toward becoming a director or on site

supervisor: Babysitting, Nanny, Foster parenting, Respite provider, parenting, Experience gained

prior to the age of 16, Coaching (Athletics/Cheer/Scholastic/Recreation), HS/College Teacher,

Camp Counselor, Para-educator for middle school or high school, Food service personnel. ,

Internships are not counted as “child development-related experience” if they were required to

obtain a degree.

The Department may issue a provisional license for up to one year to allow the director to meet

qualifications. However, using a provisional license for those people who are “qualifiable” is not

intended as an open-ended approval for anyone merely interested in operating a center. Some

measure of education or a track record of involvement with early childhood or school-aged

children is needed.

Given the variation in educational, employment and volunteer opportunities, the scope of

education and experience sufficient to warrant issuing a provisional license must be decided on a

case-by-case basis. Potential center directors are allowed and encouraged to make up

deficiencies in education and experience by obtaining training relevant to their areas of need.

However, it is not the intent of the Department to allow 75 hours of self-study. Training is to be

viewed as professional development resulting in better outcomes for children, not as an “easy”

way to become a center director.

A worksheet to assist in determining if a person qualifies under this system is included in Part IV

of the handbook.

Center director and On-Site Supervisors shall enter their credentials in I-PoWeR.

https://secureapp.dhs.state.ia.us/TrainingRegistry/TrainingRegistry/Public/

Director/OSS Educational Point Structure

75 points (Bachelor or higher)

▪ Early Childhood Education

▪ Child Development

▪ Elementary Education

▪ Nursing (if predominate population served is special needs)

▪ Permitted substitutions for school age programs as identified in rule

60 points (Associate’s degree in child development or Bachelor in “child related” field)

▪ Child/Adolescent Development

▪ Youth and Family Development

▪ Special Education

▪ Family Services

Comm. 204 (Rev. 04/24) 40

▪ Social Work/Sociology/Psychology

▪ Child, Adult, Family Services (child service option)

▪ Human Development and Family Studies (child option)

▪ Early Childhood Administration

Non-Related Bachelor degree (40 points).

▪ Consider that you may be able to get PD points from child related coursework, however, we

don’t want to “double dip” and count both a degree AND a course.

▪ Master’s degree in non-child related field

On-Site Supervisor Requirements

Legal reference: 441 IAC 109.6(2)

On-site supervisor. The on-site supervisor is required to be present when the program has multiple sites

or when a director is not routinely present for six hours daily. The center director must identify a

person in charge during the on-site supervisor’s absence. The on-site supervisor is responsible for the

daily supervision of the center and must be on site daily either during the hours of operation that

children are present or a minimum of six hours of the center’s hours of operation. Information shall be

submitted in writing to the child care consultant before the start of employment. Final determination

shall be made by the Department. Information shall be submitted sufficient to determine that the on-

site supervisor meets the following minimum qualifications:

a. Is an adult (18).

b. Has obtained a high school diploma or passed a general education development test.

c. Has certification in infant, child, and adult cardiopulmonary resuscitation (CPR), first aid, and

Iowa’s mandatory reporting of child abuse.

d. Has achieved a total of 75 points obtained through a combination of education, experience, and

child development-related training as outlined in the following chart:

(1) In obtaining the total of 75 points, a minimum of two categories must be used, no more

than 50 points may be achieved in any one category, and at least 10 points shall be

obtained from the experience category.

(2) Points obtained in the child development-related training category shall have been taken

within the past five years.

(3) For on-site supervisors in centers predominantly serving children with special needs, the

on-site supervisor may substitute a disabilities-related or nursing degree for the bachelor’s

degree in early childhood, child development or elementary education in determining

point totals. In addition, experience in working with children with special needs in an

administrative or direct care capacity shall be equivalent to full-time experience in a child

care center or preschool in determining point totals.

(4) For on-site supervisors in centers serving predominantly school-age children, the on-site

supervisor may substitute a degree in secondary education, physical education, recreation

or related fields for the bachelor’s degree in early childhood, child development or

elementary education in determining point totals. In addition, child-related experience

working with school-age children shall be equivalent to full-time experience in a child care

center or preschool in determining point totals.

Comm. 204 (Rev. 04/24) 41

EDUCATION

EXPERIENCE

(Points multiplied by years of

experience)

CHILD

DEVELOPMENT-

RELATED TRAINING

Bachelor’s or higher degree in

early childhood, child

development, or elementary

education

Full-time (20 hours or more per

week) in a child care center or

preschool setting

One point per contact

hour of training

Associate’s degree in child

development or bachelor’s

degree in child-related field

Part-time (less than 20 hours

per week) in a child care center

or preschool setting

Child development associate

(CDA) or one-year diploma in

child development from a

community college or technical

school

Full-time (20 hours or more per

week) child development-

related experience

Bachelor’s degree or higher in a

non-child-related field

Part-time (less than 20 hours

per week) child development-

related experience

Associate’s degree in a non-

child-related field or completion

of at least two years of a four-

year degree

Registered child development

home provider

Nonregistered family home

provider

Rationale and Recommendations For Implementation

Every center (including multiple sites under the jurisdiction of one business, school, etc.) must have an

on-site supervisor. The on-site supervisor is responsible for the day-to-day supervision of the center.

Among other duties, the on-site supervisor is directly responsible for:

▪ The daily operation of the center and supervision of direct-care staff.

▪ Ensuring children are accounted for and proper record keeping is maintained.

▪ Scheduling activities and transportation needs.

▪ Ensuring information regarding exposure to communicable disease is posted immediately upon

notification.

▪ Ensuring parents are immediately notified of emergency or other serious incidents.

▪ Ensuring information is communicated to parents at the end of the day etc.

These functions may be performed either in a dual role by the director, if the director remains on site,

or by another person who meets the qualifications for an on-site supervisor.

Notify the child care consultant before hiring an on-site supervisor or assigning supervisory duties,

both when opening a new center and when making a change in supervisors. Submit to the child care

consultant sufficient information to determine whether the person meets the education, experience,

and training requirements for a supervisor.

Comm. 204 (Rev. 04/24) 42

An on-site supervisor must be present at the center a minimum of six hours or the hours of the

operation of the center. This allows for a figure of authority to be present during the majority of the

day. Occasionally the on-site supervisor may be temporarily absent from the center due to illness,

vacation, attendance at staff development training, etc.

At all times when care is provided to children, including in the absence of the on-site supervisor, an

adult must be assigned to be “in charge” of the operation of the center. The assignment is important to

prevent disruptions in the administrative and programmatic operation of the center and to respond in

the event of an emergency. The director, on-site supervisor, and any person designated a lead in

the absence of supervisory staff shall have completed all pre-service training. Inform all staff

any time there is a change in the assignment of the on-site supervisor.

For programs that offer either evening care (second or third shift) or weekend care, in addition to

weekly daytime care, an on-site supervisor must be present eight hours of the program time. As with

daytime hours, a responsible adult must be placed “in charge” beyond the eight-hour timeframe or

when the on-site supervisor is absent, and this authority must be clearly communicated to all staff.

Larger centers (serving 50 or more children) may want to consider not including the on-site

supervisor in the staff/child ratio to allow the supervisor to be more available for the overall

supervision of the center. This allows the on-site supervisor to be more knowledgeable of all the

activities throughout the center, provide guidance and modeling to staff, give more immediate

response and intervention during emergencies, and fill in temporarily for an absent employee until

other personnel can arrive.

The need for a responsible adult with experience in caring for children is no less during night-time

care. A person who meets the qualifications of an on-site supervisor is required for programs

providing overnight and weekend care.

For daytime programs that extend into the evening but do not go later than 9 p.m., an on-site

supervisor is encouraged but is not required. A responsible adult must be designated to be in charge of

the program during those hours. Daily supervision and communication should occur with the on-site

supervisor to ensure that adequate programming is provided, center policies and procedures are

adhered to, and issues regarding care are shared for children who may transfer from the day to the

evening program.

Understanding the Point Chart

A point chart is used to determine if on-site supervisors are qualified, based on a combination of

post-secondary education, experience, and training. The goal is to assist potential on-site

supervisors who do not fully meet the point requirement but are “qualifiable” by allowing them

an opportunity to obtain additional training in areas where their formal education or experience

needs reinforcement.

A person must achieve a total of 75 points to qualify as an on-site supervisor. A worksheet to

determine if a person qualifies under this system is included in Part IV of the handbook.

▪ At least two categories must be used to achieve the 75-point total. No more than 50 points

may be achieved in any one category. The rationale for this restriction is that it:

• Allows on-site supervisors who do not have a degree or whose degree is not child-

related to use years of experience and training to meet the point total.

Comm. 204 (Rev. 04/24) 43

• Allows on-site supervisors who have a child-related degree and at least a year of full-

time experience in a child care or child-related setting to meet the point total with

minimum additional training.

• Doesn’t allow a person with a recent college degree but no experience in a child care

setting to be in charge of the center without first obtaining additional experience.

• Emphasizes the importance of a combination of criteria in ensuring staff are well-versed

in their knowledge and understanding of their responsibilities.

▪ At least 10 of the 75 points must be obtained from the experience category. See

experience exclusions on page 39.

Rationale: Experience in a child care or child-related field is essential in understanding the

developmental needs of children, the structure necessary to ensure an appropriate, safe and

non-chaotic environment is maintained, and the orientation and training needs of staff.

▪ Training used to calculate points in the “Child Development-Related Training” category

must have been taken within the past five years.

Rationale: Our understanding of child development, health and safety considerations, and

environmental concerns changes and evolves over time. Ongoing research constantly

challenges the development of new curriculum. Therefore, it is important in maintaining

quality staff that training received be centered on the most-up-to-date information available.

▪ One continuing education unit (CEU) is equivalent to 10 contact hours.

▪ Accommodations are made for centers serving predominately children with special needs

or school-aged children.

Rationale: Because of the special program considerations, additional degrees are allowed

for in the education category and additional experiences in other program-related settings

are allowed for in the experience category.

The Department may issue a provisional license for up to one year to allow an on-site director

to meet qualifications. However, using a provisional license for people who are “qualifiable” is

not intended as an open-ended approval for anyone interested in a position of responsibility

within a center. Some measure of education or a track record of involvement with early

childhood or school-aged children is needed.

Given the variation in educational, employment and volunteer opportunities, the scope of

education and experience sufficient to warrant issuing a provisional license must be decided on a

case-by-case basis. Potential on-site supervisors are allowed and encouraged to make up

deficiencies in education and experience by obtaining training relevant to their areas of need.

However, it is not the intent of the Department to allow 50 hours of self-study. Training is to be

viewed as professional development resulting in better outcomes for children, not as an “easy”

way to become an on-site supervisor.

Comm. 204 (Rev. 04/24) 44

Director and On-Site Supervisor Functions Combined

Legal reference: 441 IAC 109.6(3)

Director and on-site supervisor functions combined. In a center where the functions of the center director

and the on-site supervisor are accomplished by the same person, the educational and experience

requirements for a center director shall apply.

If the center director is serving in the role of the on-site supervisor, the director shall be on site daily

either during the hours of operation or a minimum of at least six hours of the center’s hours of

operation. If the staff person designated as the on-site supervisor is temporarily absent from the

center, another responsible adult staff shall be designated as the interim on-site supervisor.

Rationale and Recommendations For Implementation

In many centers, the same person completes the functions or duties of a center director and on-site

supervisor. In those instances, the person qualifies if the person meets the requirements for a center

director. In fulfilling the duties of the on-site supervisor, the director must be present at the center a

minimum of six hours or the hours of the operation of the center. This allows for a figure of authority

to be present during the majority of the day.

If the person who is permanently designated as the on-site supervisor is temporarily absent from the

center, another adult staff who has proven to be responsible must be designated as the interim on-site

supervisor. “Temporarily” is intended to mean a short absence from the center due to attendance at a

staff development training, short-term sick or vacation leave, or other absence that is of a short

duration.

At all times during the course of the day, an adult must be assigned to be “in charge” of the operation

of the center and in the event of an emergency. Remember that any person designated in charge must

have completed all pre-service/orientation requirements. Inform all staff any time there is a change in

the assignment of the on-site supervisor.

An organization that has more than one center location under its direction and financial control must

designate at least one director for all the centers and an on-site supervisor specified for each

location.

Volunteers

Legal reference: 441 IAC 109.6(5)

Volunteers

a. A volunteer shall be at least 16 years of age.

b. All volunteers shall sign a statement indicating whether or not they have one of the following:

(1) A conviction of any law in any state or any record of founded child abuse or dependent

adult abuse in any state.

(2) A communicable disease or other health concern that could pose a threat to the health,

safety, or well-being of the children.

c. Sign a statement indicating the volunteer has been informed of the volunteer’s or substitute’s

responsibilities as a mandatory reporter.

Comm. 204 (Rev. 04/24) 45

d. Undergo the record check process if the volunteer is included in meeting the required child-to-

staff ratio; the volunteer has direct responsibility for a child or children; or the volunteer has

access to a child or children with no other staff present.

Rationale and Recommendations For Implementation

Record checks are required for each owner, director, staff member including volunteers, or

subcontracted staff, with direct responsibility for child care or with access to a child when the child is

alone and for anyone living in the child care facility who is 14 years of age or older. See Record Checks

and Evaluations.

Volunteers shall always be under the direct observation of staff to assure the health and safety of

children in care.

All volunteers, regardless of the amount of time they volunteer or are paid to work in the center,

must complete the statement indicating whether they have a criminal conviction or history of child

abuse or dependent adult abuse or a communicable disease or health concern.

Volunteers are deemed an “employee” for purposes of being a mandatory reporter of child abuse.

Volunteers must be made aware of their responsibilities as a mandatory reporter and how to make a

report. Volunteers must sign a statement indicating they have been informed and are aware of their

responsibilities.

The criminal history record check and request for child abuse information are required for only those

persons serving as volunteers who are included in staff ratio.

Volunteers younger than 18 shall also sign the conviction/child abuse statement and health statements.

Record Checks and Evaluations

Legal reference: 441 IAC 109.6(6)

Record checks. The Department shall conduct criminal and child abuse record checks in Iowa for each

owner, director, staff member, or subcontracted staff person with direct responsibility for child care

or with access to a child when the child is alone and for anyone living in the child care facility who is 14

years of age or older. The Department may use Form 470-3301, Authorization for Release of Child and

Dependent Adult Abuse Information, and DCI-77, Criminal History Record Check Request Form, or any other

form required for criminal and child abuse record checks. The Department may also conduct criminal

and child abuse record checks in other states and may conduct dependent adult abuse, sex offender,

and other public or civil offense record checks in Iowa or in other states.

Iowa records checks. Checks and evaluations of Iowa child abuse and criminal records, including the sex

offender registry, shall be completed before the person’s involvement with child care at the center.

Iowa records checks shall be repeated at a minimum of every two years and when the Department or

the center becomes aware of any possible transgressions. The Department is not responsible for the

cost of conducting the Iowa records check.

The child care center may access the single-contact repository (SING) as necessary to conduct a

criminal and child abuse record check of the person in Iowa. If the results of the check indicate a

potential transgression, the center shall send a copy of the results to the Department for

Comm. 204 (Rev. 04/24) 46

determination of whether or not the person may be involved with child care, regardless of the

person’s status with the center.

National criminal history checks. National criminal history checks based on fingerprints are required for

all persons subject to record checks under this subrule effective with a center’s initial licensure or

relicensure. The national criminal history check shall be requested before involvement with child care

and repeated for each person every four years and when the Department or center becomes aware of

any new transgressions committed by that person. While the Department is not responsible for the

cost of conducting the national criminal history check, the department is currently providing this

support.

The child care center is responsible for obtaining the fingerprints of all persons subject to record

checks. Fingerprints may be taken by law enforcement agencies, by agencies or companies that

specialize in taking fingerprints, or by center staff or subcontractors who have received appropriate

training in the taking of fingerprints.

A center considering involvement of a person who has had a national criminal history check at another

center may request information from that center. That center may provide information in writing upon

a center’s request, using Form 470-4896, National Criminal History Check Confirmation. If the person

being considered for employment has not had involvement with child care in the past six months, a

new national criminal history check must be completed.

If the results of the Iowa records checks do not warrant prohibition of the person’s involvement with

child care or otherwise present protective concerns, the person may be involved with child care on a

provisional basis until the national criminal history check and evaluation have been completed.

The child care center shall provide fingerprints to the Department of Public Safety before employment

in the center. The center shall submit the fingerprints on forms or in a manner allowed by the

Department of Public Safety.

a. Mandatory prohibition. A person with any of the following convictions or founded abuse reports is

prohibited from involvement with child care:

(1) Founded child or dependent adult abuse that was determined to be sexual abuse.

(2) A requirement to be listed on any state sex offender registry or the national sex offender

registry.

(3) Any of the following felony level convictions:

1. Child endangerment or neglect or abandonment of a dependent person

2. Domestic abuse

3. Crime against a child including, but not limited to, sexual exploitation of a minor

4. Forcible felony

5. Arson

(4) A record of a misdemeanor conviction against a child that constitutes one of the following

offenses:

1. Child abuse

2. Child endangerment

Comm. 204 (Rev. 04/24) 47

3. Sexual assault

4. Child pornography

(5) If a person subject to a record check refuses to consent to a record check, the person

shall be prohibited from involvement with child care.

(6) If a person has been convicted of a crime and makes what the person knows to be a false

statement of material fact in connection with the conviction or record check, the person

shall be prohibited from involvement with child care.

b. Mandatory time-limited prohibition.

(1) A person with the following convictions or founded abuse reports is prohibited from

involvement with child care for five years from the date of the conviction or founded

abuse report:

1. Conviction of a controlled substance offense.

2. Founded child abuse that was determined to be physical abuse.

(2) After the five-year prohibition period from the date of the conviction or the founded

abuse report as defined in subparagraph 109.6(6)“b”(1), the person may request the

Department to perform an evaluation under paragraph 109.6(6)“c” to determine whether

prohibition of the person’s involvement with child care continues to be warranted.

c. Evaluation required. For all other transgressions, and as requested under subparagraph

109.6(6)“b”(2), the Department shall notify the affected person and the licensee that an evaluation

shall be conducted to determine whether prohibition of the person'’ involvement with child care is

warranted.

(1) The person with the transgression shall complete and return form 470-2310, Record

Check Evaluation, within ten calendar days of the date on the form. The Department shall

use the information the person with the transgression provides on this form to assist in

the evaluation. Failure of the person with the transgression to complete and return this

form by the specified date shall result in denial or revocation of the license or denial of

employment.

(2) The Department may use information from the Department’s case records in performing

the evaluation.

(3) In an evaluation, the Department shall consider all of the following factors:

1. The nature and seriousness of the transgression in relation to the position sought

or held.

2. The time elapsed since the commission of the transgression.

3. The circumstances under which the transgression was committed.

4. The degree of rehabilitation.

5. The likelihood that the person will commit the transgression again.

6. The number of transgressions committed by the person.

d. Evaluation decision. Within 30 days of receipt of a completed Form 470-2310, Record Check

Evaluation, the Department shall make a decision on the person’s involvement with child care. The

Department has final authority in determining whether prohibition of the person’s involvement

Comm. 204 (Rev. 04/24) 48

with child care is warranted and in developing any conditional requirements and corrective action

plan under this paragraph.

(1) The Department shall mail to the individual on whom the evaluation was completed Form

470-2386, Record Check Decision, that explains the decision reached regarding the

evaluation of the transgression and Form 470-0602, Notice of Decision.

(2) If the Department determines through an evaluation of a person’s transgressions that the

person’s prohibition of involvement with child care is warranted, the person shall be

prohibited from involvement with child care. The Department may identify a period of

time after which the person may request that another record check and evaluation be

performed.

(3) The Department may permit a person who is evaluated to maintain involvement with child

care if the person complies with the Department’s conditions and corrective action plan

relating to the person’s involvement with child care.

(4) The Department shall send a letter to the employer that informs the employer whether

the person subject to an evaluation has been approved or denied involvement with child

care. If the person has been approved, the letter shall inform the employer of any

conditions and corrective action plan relating to the person’s involvement with child care.

e. Notice to parents. The Department shall notify the parent, guardian, or legal custodian of each child

for whom the person provides child care if there has been a founded child abuse record against an

owner, director, or staff member of the child care center. The center shall cooperate with the

Department in providing the names and addresses of the parent, guardian, or legal custodian of

each child for whom the facility provides child care.

f. Repeat of record checks. The child abuse and criminal record checks shall be repeated at a minimum

of every two years and when the Department or the center become aware of any transgressions.

Any new transgressions discovered shall be handled in accordance with this subrule.

Rationale and Recommendations For Implementation

Follow record check guidance located at

http://ccmis.dhs.state.ia.us/providerportal/LicensedProviderDocuments.aspx.

NOTE: When obtaining fingerprints for persons 16 and 17 years of age for purposes of employment in

the child care center, parental permission must be obtained per Iowa Code 692 and maintained in the

personnel file.

Resubmit the checks on employees every two years or when there is reason to believe there is a

transgression.

HHS staff completes form 470-0643, Request for Child and Dependent Adult Abuse Information, when

they receive the HHS Criminal History Record Check. The center does not complete or submit the

Request for Child and Dependent Adult Abuse Information. The criminal and child abuse record

checks are resubmitted every two years or when there is reason to believe a transgression has

occurred. The existence of any of the following in a person’s record is considered a transgression:

1. Conviction of a crime.

2. A record of having committed founded child or dependent adult abuse.

3. Listing in the sex offender registry established under Iowa Code Chapter 692A.

4. A record of having committed a public or civil offense.

Comm. 204 (Rev. 04/24) 49

5. Revocation or denial of a child care facility registration or license due to the person’s continued or

repeated failure to operate the child care facility in compliance with licensing and registration laws

and rules.

Any person being considered by a child care facility for employment must have record checks

completed. This includes as cooks, maintenance staff, etc., if they are employed directly by the center.

When the licensing support staff requests an employee with a history of a transgression complete and

return the Record Check Evaluation, form 470-2310, the form must be returned in 10 days. Failure to

do so can result in denial of employment.

When a record check evaluation is conducted, the Department will send a letter to the center that

informs the center whether the individual subject to an evaluation has been approved or denied

involvement with child care. If there are any conditions or a corrective action plan related to the

approval of the individual’s involvement with child care, the letter will inform the center of any of these

conditions or corrective action plan.

A record check evaluation will not be requested or conducted when the criminal conviction or

founded abuse meets the definition of a mandatory or time-limited prohibition from involvement with

child care. In these circumstances, a Notice of Decision: Services, form 470-0602, denying involvement

with child care will be sent to the person who is the subject of the record check. The center will be

sent a letter notifying it that the person has been denied involvement with child care.

A criminal record or child abuse record check in an employee’s file is a confidential request. This

record cannot be duplicated and transferred with an employee. Therefore, if an employee leaves one

center and begins employment at a new center, a new DCI-77, Criminal History Record Check Request

Form, and form 470-3301, Authorization for Release of Child and Dependent Adult Abuse Information, must

be completed. The request does not have to be resubmitted for an employee who transfers between

sites of the same corporation.

Notification to Parents

You may want to take an up-front approach with parents by clearly communicating in your

parent materials that criminal and child abuse record checks are required on staff, and

volunteers used to meet ratio requirements. Parents should be informed that individuals are

prohibited from involvement with child care when they have the following convictions or

founded abuse reports:

▪ Founded child or dependent abuse that was determined to be sexual abuse.

▪ Placement on the sex offender registry.

▪ Felony child endangerment or neglect or abandonment of a dependent person.

▪ Felony domestic abuse.

▪ Felony crime against a child including but not limited to sexual exploitation of a minor.

▪ Forcible felony.

Parents should also be made aware that there is a time-limited prohibition from involvement

with child care when a founded child abuse is determined to be physical abuse and when there is

a conviction for a controlled substance offense under Iowa Code Chapter 124.

Comm. 204 (Rev. 04/24) 50

In these circumstances individuals are prohibited from involvement with child care for five years

from the date of the conviction or founded child abuse report. After five years the Department

assesses the circumstances of the incident and the person to determine whether or not the

person can work in a child care center. This same review process is used for other types of

criminal convictions or founded abuse.

In addition, parents should be informed that Department staff will notify them if a founded abuse

(confirmed and placed on the Registry) ever occurs in the center,

When the Department conducts the child abuse record check on a staff person who has a

founded child abuse report for an abuse that occurred in the center, the child care

consultant is required to notify parents in writing of the incident. Law requires the notification to

parents. The notice sent to parents does NOT identify the name of the perpetrator or the child,

or the specific circumstances of the abuse. The letter indicates to parents that:

▪ A founded child abuse has been confirmed on a staff member at the center.

▪ The staff person has a right to appeal the decision.

▪ The Department will evaluate the staff member for continued employment.

▪ The center or the Department has taken other corrective action, if applicable.

When the Department must send out a letter to parents, you shall cooperate with the

Department upon request of the consultant by immediately providing the names and addresses

of the parents or guardians of the children served. Failure to do so could jeopardize the status of

your license.

It is highly recommended that you inform parents that a founded abuse has occurred, that

corrective action has been taken to remedy the situation or prevent reoccurrence, and that they

will be receiving additional correspondence from the Department regarding this matter.

If a staff person leaves the center following an investigation that results in a founded

determination, the Department is still required to notify the parents that a founded abuse

occurred. If a staff person leaves employment and is later rehired, a new record check must be

completed.

Comm. 204 (Rev. 04/24) 51

Professional Growth and Development

Required Training Within First Three Months

Legal reference: 441 IAC 109.7(1)

The center director, on-site supervisor, and staff counted as part of the staff ratio shall meet the

following minimum staff training requirements:

Required training within the first three months of employment. During their first three months of

employment, all staff shall receive the following training:

a. Two hours of Iowa’s training for mandatory reporting of child abuse.

b. At least one hour of training regarding universal precautions and infectious disease control.

c. Certification in American Red Cross or American Heart Association infant, child, and adult

cardiopulmonary resuscitation (CPR) or equivalent certification approved by the Department. A

valid certificate indicating the date of training and expiration date shall be maintained.

d. Certification in infant, child, and adult first aid that uses a nationally recognized curriculum or is

received from a nationally recognized training organization including the American Red Cross,

American Heart Association, the National Safety Council, American Safety and Health Institute or

MEDIC First Aid or an equivalent certification approved by the Department. A valid certificate

indicating the date of training and expiration date shall be maintained.

e. Minimum health and safety trainings, approved by the Department, in the following areas:

(1) Prevention and control of infectious disease, including immunizations

(2) Prevention of sudden infant death syndrome and use of safe sleeping practices

(3) Administration of medication, consistent with standards for parental consent

(4) Prevention of and response to emergencies due to food and allergic reactions

(5) Building and physical premises safety, including identification of and protection from

hazards that can cause bodily injury such as electrical hazards, bodies of water, and

vehicular traffic

(6) Prevention of shaken baby syndrome and abusive head trauma

(7) Emergency preparedness and response planning for emergencies resulted from natural

disaster or a man-caused event

(8) Handling and storage of hazardous materials and the appropriate disposal of bio-

contaminants

(9) Precautions in transporting children

(10) Child development

Child Care staff employed in programs that only serve children over the age of three are exempt from

taking health and safety trainings for Prevention of Sudden Infant Death Syndrome and Use of Safe

Sleep Practices, as well as Prevention of Shaken Baby Syndrome and Abusive Head Trauma. All other

content areas apply.

Comm. 204 (Rev. 04/24) 52

Rationale and Recommendations For Implementation

Iowa’s Early Childhood and School Age Professional Workforce Registry (i-PoWeR) is an online tool

where child care professionals can locate and enroll for HHS approved professional development.

Center directors and other designated staff can enroll employees and track their professional

development in a centralized location. To access and enroll for HHS approved professional

development opportunities, please click https://ccmis.dhs.state.ia.us/trainingregistry/.

The “Iowa Early Care and Education Knowledge and Competency Framework for Teaching Roles” developed

by the Early Childhood Iowa-Professional Development, Early Learning Leadership Team is a tool to

help increase skills for early care and education providers/teachers.

http://www.iowaaeyc.org/Teaching%20Roles%20Pathway%20update%20Oct%202015.pdf

Through the Navigate your Pathway website, teachers and providers may see where they are today in

professional development, see where next steps will take the professional, and create his or her own

professional development plan for the future.

We encourage you to use this website to plan your professional development in a progressive way

through formal higher education or ongoing professional development. You may access this resource

at: http://ecieducationpathway.org/

Mandatory Reporting

The employee is responsible to ensure that a certificate showing the completion of training is

obtained. An employee who changes jobs, going from one center to another, should take the

certificate or a copy of the certificate to the new center. Employees must maintain a current

certificate and renew training before expiration.

Universal Precautions

Universal Precautions is the federal Occupational Safety and Health Administration's (OSHA)

required method of control to prevent and protect workers from exposure to human blood and

other potential infectious material. Blood or body fluids may contain germs that can cause

disease in humans known as “bloodborne pathogens”. These germs include, but are not limited

to, hepatitis B virus (HBV), hepatitis C virus (HCV), and human immunodeficiency virus (HIV),

the virus that causes AIDS. Blood and body fluids include human blood, fluid from

blisters/wounds, semen, vaginal secretions, any body fluid that visibly contains blood and any

body fluid that is from an unknown source.

Ensure that all employees with occupational exposure to infectious materials participate in a

training program provided at no cost to the employee and during working hours. According to

OSHA requirements, the training should be provided at the time the employee is assigned to

duties or tasks where the employee may be exposed to infectious materials.

As licensing requirements dictate that this formal training occur within the first three months of

employment, provide information to your employees regarding the universal precaution

procedures used in the center at their initial orientation.

While all child care staff included in the staff/child ratio must receive the training, you may

determine that additional employees may be at risk for occupational exposure of blood-borne

Comm. 204 (Rev. 04/24) 53

pathogens. An occupational or job-related exposure occurs when an employee may come in

contact with blood or other potentially infectious material. Ask the question: “Does this

employee have any risk of coming in contact with infectious materials (the body fluids or child

waste products) which may be contaminated?” If the answer is yes, then universal precautions

training is required.

Employees are most likely to come in contact with infectious materials and waste in the course

of:

▪ Changing diapers

▪ Giving first aid for cuts, human bites, and abrasions, or

▪ Handling trash that contains diapers and diaper-changing materials, and first-aid waste

materials.

Child care providers are less likely to come in contact with infectious materials through a needle

stick, unless the child is receiving medical treatments while in the child care center.

The Healthy Child Care Iowa and the local child care nurse consultant can provide assistance in

developing exposure control plans to prevent contact with infectious materials and procedures

to follow should contact occur. Staff records should document that training for universal

precautions has been received. Also keep documentation for staff not included in ratio who have

received the training (i.e., custodians or drivers).

Certification in CPR and First Aid

Certification for CPR includes training on rescue breathing and first aid for choking, two critical

elements in providing emergency care to children. Cessation of breathing almost always

precedes cardiac arrest in children by a time period that makes rescue breathing an essential

element of emergency care. However, being able to apply CPR techniques is still an essential

skill, particularly in relation to responding to water emergencies and providing care to children

with special needs. Recertification is necessary to ensure that skills are maintained.

For first aid or CPR, a certificate is issued that documents that the person has completed the

course and has demonstrated skills. In-person and blended courses (online with in-person skills

assessment are available)

Approved trainings may be located here : https://hhs.iowa.gov/licensure-and-registration/tools-

trainings-and-resources or in i-PoWeR.

Minimum Health and Safety Content Areas

In November 2014, the Child Care and Development Block Grant Act of 2014 was signed into

law. The new law made advancements by defining health and safety requirements for child care

providers. This training is available in person and online and is free to all child care providers.

Staff Training Requirements

Legal reference: 441 IAC 109.7(2)

The center director, on-site supervisor, and all staff counted as part of the staff ratio shall meet the

following minimum staff training requirements:

Comm. 204 (Rev. 04/24) 54

a. During their first year of employment, all staff shall receive the following training:

(1) Ten contact hours of training from one or more of the following topical areas: child

development, guidance and discipline, developmentally appropriate practices, nutrition,

health and safety, communication skills, professionalism, business practices, and cross-

cultural competence. Training received for cardiopulmonary resuscitation (CPR), first aid,

mandatory reporting of child abuse, and universal precautions shall not count toward the

ten contact hours.

(2) Staff who have completed a comprehensive training package of at least ten contact hours

offered through a child care resource and referral agency or community college within six

months before initial employment shall have the first year’s ten contact hours of training

waived.

b. Following their first year of employment, all staff shall:

(1) Maintain current certification for Iowa’s training for the mandatory reporting of child

abuse; infant, child and adult CPR; and infant, child and adult first aid.

(2) Receive six contact hours of training annually from one or more of the following topical

areas: child development, guidance and discipline, developmentally appropriate practices,

nutrition, health and safety, communication skills, professionalism, business practices, and

cross-cultural competence.

(3) Center directors and on-site supervisors shall receive eight contact hours of training

annually from the topical areas.

c. Initial training obtained as identified as minimum health and safety trainings may be counted

towards annual training hours during the year of employment in which it is taken.

Rationale and Recommendations For Implementation

Research indicates that formal education or training that increases the knowledge of providers has

been shown to be the greatest determinant of safe and quality programming for children. The following

chart summarized the training requirements.

As identified in 441 Iowa Administrative Rule 109.7(8): The director, on-site supervisor, and any

person designated a lead in the absence of supervisory staff shall have completed all pre-service

training outlined above.

Comm. 204 (Rev. 04/24) 55

WITHIN FIRST YEAR OF EMPLOYMENT

THEREAFTER

1 hour of universal precautions (within first three months)

1 hour of universal

precautions annually per

OSHA

Training for mandatory reporting of child abuse (within first three

months)

Maintain current certification

for mandatory reporting of

child abuse

Certification in American Red Cross or American Heart Association

infant, child, and adult cardiopulmonary resuscitation (CPR)

Maintain current certification

for infant, child, and adult

CPR

Certification in infant, child, and adult first aid that uses a nationally

recognized curriculum or is received from a nationally recognized

training organization (see rule)

Maintain current certification

for infant, child, and adult

first aid

Minimum health and safety training:

• Prevention and control of infectious disease, including immunizations

• Prevention of sudden infant death syndrome and use of safe sleep

practices

• Administration of medication, consistent with standards for parental

consent

• Prevention of and response to emergencies due to food and allergic

reactions

• Building and physical premises safety, including identification of and

protection from hazards that can cause bodily injury such as

electrical hazards, bodies of water, and vehicular traffic

• Prevention of shaken baby syndrome and abusive head trauma

• Emergency preparedness and response planning for emergencies

resulted from natural disaster or man caused event

• Handling and storage of hazardous materials and the appropriate

disposal of bio-contaminants

• Precautions in transporting children

• Child development

10 contact hours of training from:

• Child development

• Guidance and discipline

• Developmentally appropriate practices

• Nutrition

• Health and safety

• Communication skills

• Professionalism, business practices

• Cross-cultural competence.

Training received for CPR, first aid, mandatory reporting, and universal

precautions does not count toward the 10 hours.

Staff must receive 6 contact

hours of training from the

topical areas.

Center directors and on-site

supervisors must receive 8

contact hours of training

annually from the topical

areas.

Staff that completed a comprehensive training package of at least 10

contact hours offered through a child care resource and referral agency

or community college within 6 months before initial employment are

waived from first year’s 10 contact hours of training.

Comm. 204 (Rev. 04/24) 56

“Contact hours” means the actual hours of training (hour-for-hour). Obtaining more than the required

hours in one year does not carry over in the following year. (For example, a person who takes 12

hours of training in the first year of employment still requires 6 hours of training in the following year.)

Training conducted with staff either during the hours of operation of the center, staff lunch hours, or

while children are resting must not diminish the required staff ratio coverage. Staff cannot be actively

engaged in the care and supervision of children and simultaneously participate in training.

People who change jobs, going from one center to a different center, may take their training history

with them, and simply continue the hours required for the appropriate year of employment.

Staff Employed In Summer Only Programs

Legal reference: 441 IAC 109.7(3)

The center director, on-site supervisor, and staff counted as part of the staff ratio shall meet the

following minimum staff training requirements:

During their first three months of employment, all staff shall receive the following training: