Section 441.109.6. Personnel.

The board or director of the center shall develop policies for hiring and maintaining staff that demonstrate competence in working with children and that meet the following minimum requirements:

         109.6(1) 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. Information shall be submitted in writing to the child care consultant prior to the start of employment. Final determination shall be made by the department. Information shall be submitted 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:

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	75	Full-time (20 hours or more per week) in a child care center or preschool setting	20	One point per contact hour of training
Associate’s degree in child development or bachelor’s degree in a child-related field	50	Part-time (less than 20 hours per week) in a child care center or preschool setting	10
Child development associate (CDA) or one-year diploma in child development from a community college or technical school	40	Full-time (20 hours or more per week) child development-related experience	10
Bachelor’s or higher degree in a non-child-related field	40	Part-time (less than 20 hours per week) child development-related experience	5
Associate’s degree in a non-child-related field or completion of at least two years of a four-year degree	20	Registered child development home provider	10
		Nonregistered family home provider	5

             (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 children shall be equivalent to full-time experience in a child care center or preschool in determining point totals.

         109.6(2) On-site supervisor. 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 eight hours of the center’s hours of operation. Information shall be submitted in writing to the child care consultant prior to 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.

            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:

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	75	Full-time (20 hours or more per week) in a child care center or preschool setting	20	One point per contact hour of training
Associate’s degree in child development or bachelor’s degree in a child-related field	50	Part-time (less than 20 hours per week) in a child care center or preschool setting	10
Child development associate (CDA) or one-year diploma in child development from a community college or technical school	40	Full-time (20 hours or more per week) child development-related experience	10
Bachelor’s or higher degree in a non-child-related field	40	Part-time (less than 20 hours per week) child development-related experience	5
Associate’s degree in a non-child-related field or completion of at least two years of a four-year degree	20	Registered child development home provider	10
		Nonregistered family home provider	5

             (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.

         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 eight 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.

         109.6(4) Transition period for staff. Rescinded IAB 8/3/16, effective 10/1/16.

         109.6(5) Volunteers and substitutes. A volunteer shall be at least 16 years of age. All volunteers and substitutes shall:

            a.               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.

            b.               Sign a statement indicating the volunteer or substitute has been informed of the volunteer’s or substitute’s responsibilities as a mandatory reporter.

            c.               Undergo the record check process when any of the following criteria are met:

             (1)             The volunteer or substitute is included in meeting the required child-to-staff ratio;

             (2)             The volunteer or substitute has direct responsibility for a child or children; or

             (3)             The volunteer or substitute has access to a child or children with no other staff present.

            d.               Have on file at the facility a record containing the statements required in paragraphs 109.6(5)“a” and “b” and documentation of any record check process. The record shall be maintained as required in paragraph 109.9(1)“b.”

         109.6(6) Record checks.

            a.                Applicability.

             (1)             Criminal and child abuse record checks shall be conducted for:

            1.      Each owner, director, staff member, substitute, volunteer, or subcontracted staff person with direct responsibility for child care or with access to a child when the child is alone;

            2.      Anyone living in the child care facility who is 14 years of age or older.

             (2)             Parents, guardians, and custodians are exempt from the record check process in relation to access to their own children or wards.

             (3)             Professional staff who hold a current, valid license issued by the educational examiners board are exempt from the record check process in relation to children in the center to whom they provide professional services consistent with Iowa Code chapter 272 and rules adopted by the educational examiners board.

            b.                Authorization. A requesting entity shall request a record check evaluation prior to the employment of a person subject to record checks. The person subject to record checks shall complete the DHS criminal history record check form and any other forms required by the department of public safety to authorize the release of records.

            c.                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.

             (1)             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 determination of whether or not the person may be involved with child care, regardless of the person’s status with the center.

             (2)             Unless a record check has already been conducted in accordance with subparagraph (1), the department shall conduct a criminal and child abuse record check in Iowa for a person who is subject to a record check. When the department conducts the records check, the fee shall be $35 for each record check. The center shall submit the fee before the department initiates the record check process. Payment must be in the form of cash, check, money order, or cashier’s check. The department may access SING to conduct the records check. The department may also conduct dependent adult abuse, sex offender, and other public or civil offense record checks in Iowa for a person who is subject to a record check.

             (3)             Centers that participate in student intern programs may seek a waiver for substitution of the state record check process with a check performed by the student’s educational institution. Requests for a waiver shall be submitted on Form 470-4893, Record Check Waiver, to the address listed on the form.

            d.                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 on or after June 1, 2010. The national criminal history check shall be repeated for each person every four years and when the department or center becomes aware of any new transgressions committed by that person in another state. The department is not responsible for the cost of conducting the national criminal history check.

             (1)             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.

             (2)             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.

             (3)             The child care center shall provide fingerprints to the department of public safety no later than 30 days after the subject’s approval for employment at the center. The center shall submit the fingerprints on forms or in a manner allowed by the department of public safety.

             (4)             Centers that are required to submit fingerprint-based checks of the FBI national criminal database to comply with federal regulations may seek a waiver to substitute that record check for the procedure required in this subrule. Requests for a waiver shall be submitted on Form 470-4893, Record Check Waiver, to the address listed on the form.

             (5)             Centers that participate in student intern programs may seek a waiver to substitute the fingerprint-based check of the FBI national criminal database performed by the student’s educational institution for the procedure required in this subrule. Requests for a waiver shall be submitted on Form 470-4893, Record Check Waiver, to the address listed on the form.

             (6)             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 the following information in writing upon a center’s request, using Form 470-4896, National Criminal History Check Confirmation:

            1.      Date of most recent national criminal history check conducted by the center on the person in question, and

            2.      Whether or not the national check process resulted in clearance of the person for involvement with child care.

             (7)             If the results of the national criminal history check indicate that the person has committed a transgression, the center, if interested in continuing the person’s involvement in child care, shall send a copy of the results to the department for evaluation. The department shall determine whether or not the person may be involved with child care.

             (8)             A center shall submit all required fingerprints to the department of public safety before the issuance or renewal of the center’s license.

            e.                Mandatory prohibition. A person with 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)             Placement on the sex offender registry.

             (3)             Felony child endangerment or neglect or abandonment of a dependent person.

             (4)             Felony domestic abuse.

             (5)             Felony crime against a child including, but not limited to, sexual exploitation of a minor.

             (6)             Forcible felony.

            f.                 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 under Iowa Code chapter 124.

            2.      Founded child abuse that was determined to be physical abuse.

             (2)             After the five-year prohibition period imposed pursuant to 109.6(6)“f”(1), the person may request the department to perform an evaluation under paragraph 109.6(6)“g” to determine whether prohibition of the person’s involvement with child care continues to be warranted.

            g.                Evaluation required. For all other transgressions, and as requested under subparagraph 109.6(6)“f”(2), the department shall notify the requesting entity that an evaluation shall be conducted to determine whether prohibition of the person’s involvement with child care is warranted.

             (1)             The person with the transgression shall complete the record check evaluation form. The requesting entity shall provide the form and any other documents to the department 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 the requesting entity to return this form by the specified date shall result in denial or revocation of the license or denial of employment. The department shall not process evaluations that are not signed by the person subject to an evaluation.

             (2)             The department may use information from the department’s case records in performing the evaluation.

             (3)             The requesting entity may provide, or the department may request from the person subject to an evaluation or from the requesting entity, information to assist in performance of the evaluation that includes, but is not limited to, the following:

            1.      Documentation of criminal justice proceedings.

            2.      Documentation of rehabilitation.

            3.      Written employment references or applications.

            4.      Documentation of substance abuse education or treatment.

            5.      Criminal history records, child abuse information, and dependent adult abuse information from other states.

            6.      Documentation of the person’s prior residences.

             (4)             Any person or agency that might have pertinent information regarding criminal or abuse history and rehabilitation of the prospective employee may be contacted.

             (5)             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.

             (6)             When a person subject to a record check has a transgression that has been determined in a previous evaluation not to warrant prohibition of the person’s involvement with child care and has no subsequent transgressions, an exemption from reevaluation of the latest record check is authorized. The person may commence employment with another child care facility in accordance with the department’s previous evaluation. The exemption is subject to all of the following conditions:

            1.      The person’s position with the subsequent employer is substantially the same or has the same job responsibilities as the position for which the previous evaluation was performed.

            2.      Any restrictions placed on the person’s employment by the department in the previous evaluation shall remain applicable in the person’s subsequent employment.

            3.      The person subject to the record check has maintained a copy of the previous evaluation and provides the evaluation to the subsequent employer, or the previous employer provides to the subsequent employer the previous evaluation from the person’s personnel file pursuant to the person’s authorization. If a physical copy of the previous evaluation is not provided to the subsequent employer, the record check shall be reevaluated.

            4.      The subsequent employer may request a reevaluation of the record check and may employ the person while the reevaluation is being performed.

            h.                Evaluation decision. Within 30 days of receipt of a completed 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 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 requesting entity and the person on whom the evaluation was completed the record check decision that explains the decision reached regarding the evaluation of the transgression.

             (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.

            i.                 Notice to parents. The administrator of the department shall notify the parents, guardians, and legal custodians of each child for whom the person provides child care if there has been founded child abuse committed by 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 parents, guardians, and legal custodians of each child for whom the facility provides child care.

         109.6(7) Use of controlled substances and medications. All owners, personnel, and volunteers shall be free of the use of illegal drugs and shall not be under the influence of alcohol or of any prescription or nonprescription drug that could impair their ability to function.

[ARC 8650B, IAB 4/7/10, effective 6/1/10; ARC 9441B, IAB 4/6/11, effective 6/1/11; ARC 0418C, IAB 10/31/12, effective 1/1/13; ARC 1209C, IAB 12/11/13, effective 2/1/14; ARC 1809C, IAB 1/7/15, effective 3/1/15; ARC 2646C, IAB 8/3/16, effective 10/1/16]