Can States use a differential monitoring strategy?
Answer
Yes, a State has the option of using differential monitoring strategies, provided that the monitoring visit is still representative of the full complement of licensing and CCDF health and safety standards. Many States use differential monitoring, which are intentionally designed in such a way that though not every licensing standard is specifically checked for compliance, the monitoring visit is indicative of the full range of the licensing requirements. Often differential monitoring involves monitoring programs using a subset of requirements to determine compliance. There are two methods that States have used to identify these critical rules:
- Key Indicators: An approach that focuses on identifying and monitoring those rules that statistically predict compliance with all the rules; and
- Risk Assessment: An approach that focuses on identifying and monitoring those rules that place children at greater risk of mortality or morbidity if violations or citations occur.
The key indicators approach is often used to determine the rules to include in an abbreviated inspection form or checklist. A risk assessment approach is most often tied to classifying or categorizing rule violations and can be used to identify rules where violations pose a greater risk to children, distinguish levels of regulatory compliance, or determine enforcement actions based on categories of violations. Note that monitoring strategies that rely on sampling of providers or allow for a frequency of less than once per year for providers that meet certain criteria are not allowable. The law clearly states that each child care provider serving a child receiving CCDF assistance shall receive an inspection of not less than annually. ACF plans to issue guidance on monitoring.
(Reference: Section 658(c)(2)(K)(i)(II))