Creating a Risk Management Plan

Compare your center’s risk management plan to a white water rafting guide. Would your plan be able to navigate you through the uncharted territory of a crisis the same way an experienced guide navigates the water, rocks, and rapids of a river? Looking back as a director of my
own center years ago, my center’s risk management plan would have been a novice guide at best. Sure, it handled the Class I waves of pipes breaking (that flooded the center), but faced with the Class IV rapids of an armed intruder or a nuclear emergency (we had three power
plants nearby), I’m afraid my RMP would not have been much help.
It wasn’t that the children’s safety wasn’t important to me—I planned for fires,
tornados, and disgruntled parents—but an armed intruder in small town USA never
crossed my mind. Fast forward sixteen years. Daily news reports of natural disasters, babies dying of SIDS, bomb threats, and (name your own crisis) remind us of the many potential
emergencies we must prepare for to protect the children in our care. A comprehensive risk management plan that all staff are familiar with and have practiced in mock drills will serve you
well should a crisis arise. Here are the steps to developing your center’s risk management plan.
Step1.
Assess Your Risks
Before you begin to write or update your risk management plan, it is important to assess the risks your center might face. If possible, do this with a committee that includes representation from your staff, parents, governing board, community health agencies, other center directors, and local emergency services. Begin your first safety committee meeting by sharing
stories of previous emergencies. Then brainstorm to include all potential crises your center might face.
Step 2.
Update Important Contact Information The first page of your risk management plan
should be a list of important contacts—the names, addresses, email addresses, and telephone numbers you might need in case of an emergency. Include yourself as director and/or owner, ambulance, fire, poison control, police, state licensing agency, health department, aintenance/clean-up services, window repair, plumber, electrician, locksmith, water department, landlords, and the neighbors near your facility. Sounds comprehensive? You’re
right. This list should include virtually anyone and everyone that you might need to inform or contact for assistance should a crisis happen. Up-to-date emergency contacts, including an out-of-state contact, for each child should be kept with this document as well as in the classroom files.
Step 3.
Write Procedures for Handling Different Scenarios Once a list of potential risks has been
developed, your actual writing can begin. Your risk management plan should include
clear procedures to follow in the event of an emergency, guidelines to reduce the risk of child abuse or neglect allegations, and steps that can be taken to maintain the safety of people, facilities, equipment, and materials. Use these areas to outline the content of your center-specific plan. Procedures to follow in the event of an emergency. In this section, include all the
potential risks your committee came up with that would constitute a legitimate emergency. Situations might include a fire, severe storm (tornado or hurricane), earthquake, power outage, sewer back-up, intruder, vehicle accident, illness, death of a child or staff member, nuclear disaster, or a bomb threat. For each risk you have identified, create clear and specific procedures that include roles and responsibilities for specific staff members, evacuation and lock-down procedures, and communication guidelines to notify parents and authorities. Keep the
information concise and to the point. In a crisis no one has time to comb through a lot of wordy text to get to the critical information needed. Guidelines to reduce the risk of child abuse or neglect allegations. For this section, identify the ways your center can be proactive in reducing the likelihood that a staff member could ever be accused of child abuse or neglect. Examples might include an open-door policy stating that parents are welcome to visit at any time, a
policy preventing a staff member from being alone in the center with one or more children, a policy that prohibits classroom windows from being covered with paper or artwork, and the use of sign-in and signout daily logs. Also be sure to include policies regarding daily health checks of children upon arrival, documentation and reporting all minor and major injuries of children,
discipline guidelines, and required staff trainings that ensure the health and welfare of children. Required training is important so that staff realize these policies are to protect them from
allegations of child abuse or neglect. When they understand this, they will be more likely to implement the policies. Procedures to maintain the safety of people, facilities, equipment, and
materials. Ensuring the safety of people includes implementing universal precautions and procedures for toy sanitation, hand washing, and diapering. It also includes guidelines for working with children with allergies and chronic medical conditions, policies regarding
persons authorized to pick up children from the center, procedures for checking identification when an unfamiliar person picks up a child, and guidelines for dispensing medication and dealing with ill children. Confidentiality policies should also be included in this section. Maintaining a safe facility includes information about activating and deactivating the center’s alarm service,
steps for securing the center’s entrances, and a schedule for ensuring pest control.
It also includes procedures for checking the condition of the play yard fence, parking lot, locked gates, fire extinguishers, and smoke alarms as well as periodic checks of equipment for broken
pieces, splinters, and peeling paint.

You’ll certainly want to make sure that all cleaning supplies labeled “Keep out of reach of children” are locked away. Include in your risk management plan the schedule for facility and equipment maintenance, as well as the vehicle maintenance schedule if your center
transports children. Another important, but often overlooked area, is guidelines to minimize the likelihood of fraud or theft. Ensuring that the center’s evacuation plan is posted is also crucial.
Step 4.
Implement Your Plan
Policies and procedures only work if they are implemented. Once your plan is written, utilize your safety committee and everyone involved in the daily operation of the center—board
members, staff, volunteers—in reviewing the plan and giving feedback before it becomes official. Make sure everyone understands and agrees to their role in disaster situations. Supervision
throughout the year will be vital to make sure staff follow policies and perform procedures correctly and in a timely manner. People who have experienced emergency situations often report that they lost valuable time and did things incorrectly because they either panicked or never practiced implementing their risk management procedures. Practicing drills and reviewing procedures seems tedious at times, but can save lives. Update policies and procedures as needed, and annually conduct a formal review of your risk management plan with your safety
committee. Be sure to date and document changes and updates as they occur.
Step 5.
Distribute Your Plan
Copies of your risk management plan should be kept on-site in the administrative office and in each classroom. The RMP needs to be easily accessible to staff in emergency situations when time is of the essence and when they may be in a situation where they cannot leave their classroom to go get the plan. Staff should have copies as well as members of your safety
committee. Keep at least one copy offsite— either with a safety committee member, your lawyer, or other professional.
In Sum, Developing a risk management plan for your center is important for both
preventing accidents and for minimizing the damage when an unexpected crisis does occur. Much like a white water rafting guide studies the river's topography before donning a life vest
and heading down the rapids, the very act of thinking through different scenarios and becoming familiar with alternative courses of action will help you and your staff be more prepared for the
unanticipated. A well-crafted risk management plan is also a smart business strategy that can help you prevent financial loss, reduce your liability for lawsuits, and help preserve your center’s good reputation. If your center doesn’t have a risk management plan, you’re not alone. A recent national study of early childhood programs found that only 44% had a comprehensive written risk management plan that included emergency procedures, guidelines to reduce the
risk of child abuse and neglect, and measures for ensuring the safety of people, facilities, equipment, and materials.

Toolbox
Are You Prepared?
Evaluating your ability to minimize risk and/or respond to disasters can help improve your success in those situations. Take a few moments to complete thefollowing checklist.

Do you have clear written procedures to follow in the event of an emergency?
Is an evacuation route posted in each classroom and have you identified nearby locations to evacuate to if necessary?
Do you have a system for informing parents if you need to evacuate the building?
Do you have written guidelines to reduce the risk of child abuse or neglect allegations (e.g., open door policy, accident report log, requiring more than one staff member in the building whenever children are present)?
Is information on children's medical allergies and chronic medical conditions kept in the classrooms as well as in the office files?
Are substitute teachers informed of the allergies and chronic medical conditions of the children in their care?
Are fire drills conducted monthly?
Are drills for situations where children must stay in the building but move to a safe location practiced at least twice a year?
Does the center maintain records detailing the date of each drill, length of the drill, and improvements needed?
Is at least one staff member in each classroom trained in CPR and First Aid?
Does each classroom have a First Aid kit?
Is there a list of emergency numbers posted by all telephones?
Does each classroom have a flashlight and battery-operated radio?
Do you have more than one emergency phone number for each child, including an out-of-state number?
Are parent and emergency phone numbers kept in a log that is portable?
Do you have procedures for keeping track of children during fieldtrips?
Do you have a policy restricting the release of children to unauthorized adults?
Have you established an emergency code system with staff for incidents where using code words is necessary?
Do you have a system in place for ensuring that all playground structures and equipment are safe and hazard free?
Do you have restrictions on accessibility in and out of the center?

Taken from McCormick Center for Early Childhood leadership Spring 2010

Administrative Practices

A Window on Early Childhood Administrative Practices
Research Notes
Published by the McCormick Center for Early Childhood Leadership, National-Louis University SPRING 2010
There is strong consensus among early childhood professionals that sound administrative practices in center-based programs help ensure
high-quality learning opportunities for young children. Since its publication in 2004, the Program Administration Scale (PAS) has been
used across the country to reliably measure and improve center-based leadership and management practices.1 Data from these initiatives
have been compiled to provide a window into the administrative practices of a large, national sample of center-based programs.
Sample and Methodology
The sample consisted of 564 centers in 25 states. The PAS includes 25 items, organized into 10 subscales. Each item is scored on a scale
of 1 to 7, with 1 representing inadequate quality, 3 representing minimal quality, 5 representing good quality, and 7 representing excellent
quality in administrative practices. The assessments included in this analysis were conducted by certified PAS assessors who had received
extensive training on the tool.
Findings
The average PAS score for this sample was calculated at 3.40 with
a standard deviation of 1.04. Mean subscale scores ranged from
2.52 to 4.54; mean item scores ranged from 1.08 to 6.08. Overall,
the results of the data analysis suggest that most programs do not
have well-developed administrative practices in place to support
program sustainability and long-term quality. As can be seen in
Table 1, most programs scored between the minimal and good range
on Technology and Child Assessment, but appeared to have lower
quality organizational practices in the areas of Personnel and Cost
Allocation and Staff Qualifications.
What are the strengths of programs?
To gain a more detailed understanding of the specific aspects of administrative quality that were strong in programs, data were
examined to see where at least 75% of the programs scored a 5 or higher. Program strengths are summarized below.
• Directors understand the importance of professional development and support staff by allocating time and resources annually
to in-service training. Fully 93% of programs provide some form of staff development for all their teaching, support, and
administrative staff. Of this group, 82% provide job-specific training.
• Most programs now have the technological tools necessary to support operating a small business. Fully 84% of programs have
multiple computers and printers available to teaching and administrative staff. Of these programs, however, only 33% have a
system for updating software and hardware.
• Directors utilize a wide range of strategies to communicate important information about the program to staff, families, and the
public. Ninety-two percent use three or more methods (e.g., meetings, e-mail, memos, bulletin board, message book) to
communicate with staff and 90% use at least five methods to communicate with families (e.g., newsletters, family meetings,
e-mail, phone calls, parent conferences).
• Programs are committed to enhancing families' knowledge of child development and communicating about children's
developmental needs. Eighty-four percent of programs offer at least five types of family supports such as home visits,
transportation to and from the center, family seminars, social functions, and a toy-lending library. Eighty-four percent of
programs provide families with referrals to specialists if needed, and 81% provide developmental screening and inform families
of the results if a developmental delay or disability is identified.
Continued on back page
Table 1. Mean PAS Subscale Scores (N=564)
Subscale M S.D.
Human Resources Development 3.43 1.62
Personnel & Cost Allocation 2.60 1.32
Center Operations 3.28 1.40
Child Assessment 4.54 2.12
Fiscal Management 3.49 2.21
Program Planning & Evaluation 3.21 1.98
Family Partnerships 3.95 1.72
Marketing & Public Relations 3.78 1.53
Technology 4.29 1.67
Staff Qualification 2.52 1.31
Overall PAS 3.40 1.04
What are the areas in need of improvement?
To understand where programs would benefit from increased resources, an additional analysis was undertaken to examine specific
PAS criteria where programs scored low. Areas for improvement are summarized below.
• Less than one-half of programs (41%) have a written business or strategic plan that includes a needs assessment, plan for
services, short- and long-term goals, and strategies to achieve goals.
• Only one-third of centers (32%) have staffing plans in place that provide sufficient classroom coverage so that children are not
regrouped at the beginning or end of the day.
• Less than one-half of programs (44%) have a comprehensive written risk management plan that includes emergency
procedures, guidelines to reduce the risk of child abuse and neglect, and measures for ensuring the safety of people, facilities,
equipment, and materials.
• While more than one-half of programs (57%) provide the option of contributing to a retirement plan, less than one-third
provide a 3% or more match of the employee's salary.
• Only 36% of directors have 9 semester hours or more of management coursework and only 38% of lead teachers have 21
semester hours or more of specialized training in early childhood or child development.
• More than one-half of programs (59%) do not have performance appraisal criteria linked by role to specific job responsibilities
or use data from staff and parent evaluations to develop a written improvement plan for the center.
• While two-thirds of programs have a written salary scale, less than one-half of programs (43%) make this information available
to all center staff.
• Less than one-half of programs (49%) provide their staff with six or more personal or sick days annually.
Not surprisingly, many programs appear to be struggling with organizational practices that require financial resources, like providing
retirement benefits, implementing staffing patterns that ensure consistency for young children, providing enough sick and vacation
days to prevent staff burnout, or hiring staff with sufficient specialized training in early childhood education.
However, there are also other administrative practices that many programs do not have in place that require little financial investment,
but do require specialized knowledge in organizational management. These include undertaking strategic planning and program
evaluation with key stakeholders to assure program sustainability and long-term quality, creating transparent and equitable salary scales,
implementing thorough performance reviews, developing sound budgeting practices, and creating comprehensive risk management
plans to reduce the center's liability. While many programs do provide annual in-service training for staff, few programs take a systemic
view and provide support for career development by providing salary increases linked to credit-bearing professional development.
Discussion
Increasingly, policymakers are recognizing the important link between effective organizational practices and high-quality classroom learning environments.
Unfortunately, most pre-service education programs do not adequately prepare directors for running businesses and leading organizations. As a
consequence, many early childhood programs do not have the administrative practices in place to ensure sustained quality.
States have the opportunity to respond to this gap in training by creating professional development systems and director credentials that intentionally
include content and technical assistance focused on fiscal management, program planning, and human resources development. This may be an area
where early childhood leaders can partner with and draw from the knowledge of the business community and organizational developmental professionals
to create comprehensive training and support for early childhood programs.
References
1. Talan, T. N., & Bloom, P. J. (2004). Program Administration Scale: Measuring early childhood leadership and management. New York: Teachers College Press.
For more information on the PAS see http://cecl.nl.edu/evaluation/pas.htm.
For further information about research conducted by the McCormick Center for Early Childhood Leadership, call 800-443-5522, ext. 5060.
Funding for the Center's Research Notes is provided by the McCormick Foundation and the Illinois Department of Human Services.
Individuals may photocopy and disseminate freely.

New Study (from Washington) Reports Targeted Grants and One-on-One Coaching Boost Child Care Quality

As reported by Paul Nyhan in "Birth to Thrive" from Thrive by Five Washington:

A groundbreaking new study found one-on-one coaching and small grants made a big difference in child care programs, relatively quickly improving quality and cutting down on turnover.

Researchers found monthly intensive coaching and funding for staff scholarships, classroom and curriculum materials or parent engagement, which are part of a rating system being tested in two communities, improved quality scores. Currntely, 22 states have child care rating systems, but this is one of the first studies to pinpoint what improves quality.