Part 1 — Licensee Responsible

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Part 1.1 Licensee responsible

Ontario Regulation 137/15 ss. 6(1), 6(2), 6(3) and 6(4)

Intent

Section 6 is in place to establish who oversees a child care centre; it is the licensee who is accountable and responsible for the overall operation and management of a child care centre.

This section allows for the licensee to hand over (or designate) the responsibility for the day-to-day operation and management of the child care centre; this person is then called the designated person or designate.

Subsection 6(4) requires a licensee to hire a supervisor and identifies the critical functions of a supervisor.

Clarifying guidance

Subsection 6(4) requires a licensee to hire a supervisor; the supervisor can also be the designate as required by subsection but people other than a supervisor may also be a designate.

Both licensees and their designates are required to achieve and maintain compliance with the requirements set out under the CCEYA at all times.

Cross-reference: All supervisors must have certain qualifications and be approved by a ministry director. See section 53 of the regulation.

Compliance Indicators

The licensee or staff verbally confirm that a person has been appointed to be responsible for the day-to- day operation and management of the child care centre

Where a licensee or the person appointed under subsection (2) is absent,

A designated individual is observed to be available to carry out the functions of the licensee or the person appointed under subsection 6(2) or

Staff verbally confirm that a designated individual is available to carry out the functions of the licensee or the person appointed under subsection 6(2)

A supervisor is employed by the licensee

And

The supervisor is observed to be carrying out the day-to-day program management and oversight of children and staff

Part 1.2 Implementation of policies, procedures and individualized plans

Ontario Regulation 137/15 ss. 6.1(1)

Intent

In other sections of the regulation, there are requirements for specific policies, procedures and individualized plans to be in place (these are explained throughout the manual).

The policies, procedures and individualized plans required by the regulation have been put in place to support the health, safety, and well-being of children and others in a child care centre and to support children’s development. For the policies, procedures and individualized plans to be effective and achieve what they set out to achieve, they must be put into effect or action. To this end, subsection 6.1(1) requires licensees to implement the required policies, procedures and individualized plans.

Clarifying guidance

The requirements in section 6.1(1) apply to all policies, procedures and individualized plans required under the regulation (all of these are explained throughout the manual).

Licensees are required to develop an individualized plan for a child with:

an anaphylactic allergy (see section 39 of the regulation)
medical needs (see section 39.1 of the regulation)
special needs (see section 52(1) of the regulation)

Important information: Sample policies and procedures as well as sample individualized plan templates are available on the ministry’s Child Care Licensing System under “Tools and Resources”.

Cross-reference: The regulation requires licensees to have a parent handbook. Certain types of information need to be in the handbook, including certain policies and procedures. See section 45.

Best practices

To support compliance with the implementation of all required policies, procedures and individualized plans, licensees should review each policy, procedure and individualized plan with all individuals at the child care program (namely staff, volunteers and students) before they interact with children.

The licensee may consider developing an ongoing tracking tool or chart to document when and who in the centre has reviewed each policy, procedure and individualized plan.

Updates to policies and procedures

Any updates made to required policies, procedures or individualized plans should be explained to all staff, volunteers and students and parents as soon as possible after an update is made.

Parent handbooks should also be updated as soon as reasonably possible when a licensee’s required policies and procedures are revised.

When a program advisor inspects a centre, they may ask which policies, procedures or individualized plans have been updated since the last inspection. This helps the program advisor determine what they need to review and what should be implemented in the child care centre at the time of inspection.

Compliance indicators

The policies, procedures and individualized plans are observed to be implemented at the child care centre

And / Or

Staff verbally confirm that they follow the policies, procedures and individualized plans at the child care centre

Part 1.3 Policies and procedures for monitoring compliance and contraventions

Ontario Regulation 137/15 ss. 6.1(7)(a) and (b) and 6.1(8)

Intent

The policies, procedures and individualized plans required by the regulation have been put in place to support the health, safety, well-being of children and others in a child care centre and to support children’s development. For the policies, procedures and individualized plans to be effective and achieve what they set out to achieve, they must be followed by all persons (other than children) in the centres at all times.

Subsection 6.1(7) (a) and (b) requires licensees to have written policies and procedures that explain how the licensee will monitor instances of compliance and instances of non-compliance (also called contraventions) by staff, volunteers, and students with the required policies, procedures and individualized plans. Such written policies and procedures must also include a description of how the licensee will address both instances of compliance and contraventions.

Cross-reference: In addition to requirements that licensees must monitor staff, students and volunteers for contraventions of required policies, procedures and individualized plans, the regulation also sets out that licensees cannot permit anyone in their child care centre to commit a prohibited practice. See subsection 48(1) of the regulation.

Subsection 6.1(8) requires the licensee to keep records of their written policies and procedures around compliance and contraventions.

Cross-reference: The regulation has requirements around record retention. See section 82.

Clarifying guidance

Subsections 6.1(7) (a) and (b) and 6.1(8) apply to all policies, procedures and individualized plans under the regulation. There are no exceptions.

Best practices

In developing policies and procedures that set out how compliance and contraventions will be monitored, recorded and addressed, licensees should consider:

how ongoing monitoring is to be conducted and by whom
what template will be used to record compliances or contraventions
procedures set out with respect to addressing contraventions
how often recorded observations should be reviewed with each employee, student or volunteer
whether all policies, procedures and individualized plans will have the same monitoring policies and procedures

It is recommended that licensees create a template to document detailed observations that demonstrate how the individual was compliant with the legislated policies and procedures and individualized plans. It is also recommended that licensees include a space to document any contraventions, and actions taken by the licensee and/or individual to address contraventions.

Compliance indicators

The licensee has developed written policies and procedures that explain how compliance and contraventions with respect to policies, procedures and individualized plans under the Regulation are monitored on an ongoing basis, recorded and addressed.

The licensee has adopted and completed all customizable areas of the standard policy provided by the ministry.
Records of compliance or contraventions are observed to be stored in a secure location for at least three years from the date of creation.

The licensee confirms that the records of compliance or contraventions are stored in a secure location for at least three years from the date of creation.

Part 1.4 Access to child and premises

Child Care and Early Years Act, 2014 ss. 10(1)(a) and (b) and 10(2)(a),(b),(c) and (d)

Intent

Section 10 of the CCEYA is in place to prohibit a child care provider from blocking a parent’s access to their child, unless the child care provider believes that the parent has no legal right of access. It also prohibits a child care provider from blocking access by a parent to the premises (in other words, the place/location where the child care is being provided), unless the provider believes the parent has no legal right of access to the child and/or that the parent may be dangerous or disruptive.

These requirements apply to both unlicensed and licensed child care providers/operators, including child care centre licensees and their staff.

Clarifying guidance

Offence: It is an offence under the CCEYA to contravene or fail to comply with section 10 of the Act per section 78(1)(5) of the Act.

A person convicted of an offence under the CCEYA is liable to a fine of not more than $250,000, imprisonment for a term of not more than one year or both (per section 79 of the Act) and is prohibited from providing child care or operating a child care premises in Ontario at any time in the future (per subparagraph 9(1)(1)(i) of the Act).

Administrative penalty: Contravention of section 10 of the CCEYA may lead to an administrative penalty of $1,000. See section 79 of the Ontario regulation 137/15 and item 9 of Table 1 under that section.

The amount of the administrative penalty increases if contravention of section 10 is repeated in the next three years or if the contravention has been going on for two or more days in a row.

An administrative penalty can be up to $100,000.

Cross-reference: The regulation has requirements around record retention. See section 82.

Compliance indicators

The licensee verbally confirms that no person providing child care or operating the child care centre has prevented a parent from having access to his or her child, except if the person believes on reasonable grounds that the parent does not have a legal right of access to the child.
The licensee verbally confirms that no person providing child care nor operating the child care centre has prevented a parent from entering the premises while child care is being provided except,
if the person believes on reasonable grounds that the parent does not have a legal right of access to the child

if the person believes on reasonable grounds that the parent could be dangerous to the children at the premises

if the parent is behaving in a disruptive manner

Part 1.5 Duty to provide receipt for payment

Child Care and Early Years Act, 2014 s.15

Intent

Section 15 of the CCEYA is in place to ensure that those who are paying for child care get a receipt for the services provided. This section also sets out that child care providers are not allowed to charge a fee when providing parents with a receipt. Providing receipts is important for a number of reasons for both the licensee and parents (for example, receipts may be necessary to do tax paperwork).

Clarifying guidance

Offence: It is an offence under the CCEYA to contravene or fail to comply with section 15 of the Act per subsection 88.1(2) of the regulation.

Administrative penalty: Contravention of section 15 of the CCEYA may lead to an administrative penalty of $500. See section 78 of the Ontario Regulation 137/15 and item 13 of Table 1 under that section.

The amount of the administrative penalty increases if the contravention is repeated in the next three years or if the contravention has been going on for two or more days in a row.

An administrative penalty can be up to $100,000.

Important information: Receipts are a type of record and ministry officials can ask to see these records when conducting an inspection. Licensees must have a system to store copies of receipts.

Cross-reference: The regulation has requirements around record retention. See section 82.

Compliance indicators

The licensee verbally confirms that, upon request, the receipt for payment is provided to a person who pays the licensee.

And

The licensee verbally confirms that a copy of the original receipt for payment is provided free of charge.

Updated: January 23, 2025

Published: January 23, 2025