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Audit of the Department of Early Education and Care (November 25, 2024)

November 25, 2024 · Department of Early Education and Care · Read the full official report on mass.gov ↗

Published November 25, 2024 Audit covers January 1, 2021 – December 31, 2022 Under Diana DiZoglio · 2023–present

In plain English
The audit found serious gaps in how Massachusetts oversaw some child care and residential programs, including late visits, missed investigations, and missing background checks.
source
“EEC cannot ensure the safety of children in its residential programs if it does not complete background record checks for all employees from those programs in a timely manner or at all.”
Read the plain-English breakdown
What is this?

This is a State Auditor performance audit of the Department of Early Education and Care, covering January 1, 2021 through December 31, 2022.

“In accordance with Section 12 of Chapter 11 of the Massachusetts General Laws, the Office of the State Auditor has conducted a performance audit of the Department of Early Education and Care (EEC) for the period January 1, 2021 through December 31, 2022.”
Why was it audited?

Auditors checked whether EEC was doing key safety and oversight work, including site visits, abuse and neglect investigations, background checks, language access, training, and support for LGBTQ youth.

“The purpose of the audit was to determine the following:”
Why it matters

These programs care for children, so weak oversight can mean safety problems are missed or handled too slowly.

“Delays in investigating 51A Reports could potentially place children at risk of abuse and neglect.”
What's in it for me?

If you are a parent, guardian, taxpayer, child care worker, or Massachusetts resident, this matters because EEC oversees thousands of programs serving children every day.

“EEC licenses approximately 9,000 childcare-related programs that support an average of 55,000 children daily.”
The bottom line

The audit found that EEC fell short in several important areas, including required residential licensing visits, abuse and neglect investigations, background checks, language access updates, training oversight, and LGBTQ youth inclusivity recommendations.

“EEC did not update its language access plan every two years.”
What happens next

The report recommends that EEC tighten oversight, complete required visits and checks, investigate reports itself, update plans, improve training, and implement inclusivity recommendations.

“EEC should conduct all licensing visits to residential programs within required timeframes.”
Why it's significant

The findings are significant because they involve basic safeguards for children: inspections, abuse and neglect investigations, background checks, staff training, and inclusive treatment of youth.

“The incomplete implementation of these recommendations limits the effectiveness of EEC’s efforts to ensure a fully inclusive and supportive environment for LGBTQ youth and families in its programs.”
Jargon, unpacked

A 51A Report means a report alleging child abuse or neglect. LEAD is EEC’s database for licensing, background checks, complaints, and investigations.

“The Licensing Education Analytical Database (LEAD) is the platform EEC staff members and programs use to document childcare licensing and investigation actions.”

What the Auditor checked

What the Auditor found

EEC did not conduct licensing visits to residential programs within required timeframes.
licensing/inspectionsinternal controlspublic safety

Why it matters: EEC cannot ensure that residential programs operate in safe and healthy environments.

Standard: EEC’s Differential Licensing Residential Handbook ( EEC’s Differential Licensing Residential Handbook )

2 recommendations
  • EEC should conduct all licensing visits to residential programs within required timeframes.agency: already implemented
  • EEC should follow its self-imposed policies for the timelines of residential licensing visits.agency: already implemented
Agency response & Auditor reply
Agency: "Annual visits are currently being conducted in accordance with EEC’s Differential Licensing Residential Handbook."
Auditor: "EEC did not provide any reason for not following its policies for residential licensing visits after June 15, 2021."
EEC did not review or initiate investigations of all suspected child abuse and neglect reports in licensed programs.
public safetyinternal controlsrecordkeeping/documentation

Why it matters: EEC cannot determine whether children are at risk or ensure reported incidents are addressed.

Standard: 606 CMR 3.04(5)(c) and Section 9(c) of Chapter 15D of the General Laws ( Section 3.04(5)(c) of Title 606 of the Code of Massachusetts Regulations; Section 9(c) of Chapter 15D of the General Laws )

1 recommendation
  • EEC must perform its own investigations of all 51A Reports that it receives from the Department of Children and Families.agency: agreed
Agency response & Auditor reply
Agency: "EEC will conduct investigations of all 51A Reports under its jurisdiction for residential programs."
EEC compromised high-risk investigations by assigning licensors instead of investigators.
public safetyinternal controlslicensing/inspections

Why it matters: Licensors may lack the specialized skills and training needed to investigate critical child safety violations.

Standard: EEC’s Internal Policy Handbook for EEC Childcare Operations Staff ( EEC’s Internal Policy Handbook for EEC Childcare Operations Staff, effective September 7, 2021 )

3 recommendations
  • EEC should ensure that its investigators are assigned to investigations of high-risk complaints.
  • EEC should review the coding procedures with its employees to ensure that all investigations are coded correctly.
  • When EEC must use licensors or interpretation services for investigations of high-risk complaints, it should still assign EEC investigators to conduct these investigations.
Agency response & Auditor reply
Agency: "The nine (9) cases identified by the Auditor were investigated by EEC."
Auditor: "EEC’s claim that these high-risk cases were misclassified is, at best, inaccurate."
EEC did not complete all required background record checks for residential program employees.
public safetyrecordkeeping/documentationinternal controls

Why it matters: EEC cannot ensure the safety of children in residential programs if required background checks are missing or late.

Standard: 606 CMR 14.05(1), Section 7(a)(i) of Chapter 15D of the General Laws, and EEC Background Record Check Unit Policy Number 19–009 ( 606 CMR 14.05(1); Section 7(a)(i) of Chapter 15D of the General Laws; EEC’s Background Record Check Unit Policy Number: 19–009 )

2 recommendations
  • EEC should actively monitor the process to ensure that it completes and renews background record checks for all residential program employees as required.agency: already implemented
  • EEC should not rely solely on the residential programs to track and manage the renewal of background record checks for their employees but should instead implement its own oversight to ensure compliance.agency: already implemented
Agency response & Auditor reply
Agency: "Currently, EEC is responsible for completing all background record checks and suitability determinations for employees in licensed residential programs."
Auditor: "EEC acknowledges in its response that it is ultimately responsible for ensuring compliance with background record check requirements and determining a candidate’s suitability."
EEC did not conduct required background record checks for FCC providers and household members.
public safetyrecordkeeping/documentationinternal controls

Why it matters: Without accurate background checks, EEC cannot ensure children’s safety in FCC programs.

Standard: 606 CMR 14.05(2) ( 606 CMR 14.05(2) )

2 recommendations
  • EEC should require FCC programs to submit signed affidavits to EEC immediately upon any change to the program’s household members.agency: already implemented
  • EEC must ensure that all relevant individuals related to FCC programs receive background record checks and renewed background record checks every three years.agency: already implemented
Agency response & Auditor reply
Agency: "Currently, EEC requires that all relevant individuals related to FCC programs receive background record checks and renewed background record checks every three years."
Auditor: "EEC’s self-reported inability to maintain accurate records and effectively oversee background record checks is a serious concern, as relying on outdated or incorrect information could compromise the safety of children in FCC programs."
EEC did not update its language access plan every two years.
internal controls

Why it matters: EEC’s ability to communicate with and serve non-English speaking populations may be limited.

Standard: Section IV(a) of the Office of Access and Opportunity’s Language Access Policy and Implementation Guidelines ( Section IV(a) of the Office of Access and Opportunity’s Language Access Policy and Implementation Guidelines, effective March 20, 2015 )

1 recommendation
  • EEC should update its language access plan as soon as possible and every two years thereafter.agency: already implemented
Agency response & Auditor reply
Agency: "EEC finalized its updated Language Access Plan in February 2024."
Auditor: "We are pleased that EEC has taken steps to address this issue by finalizing its updated Language Access Plan."
EEC did not ensure training on recognizing and preventing abduction, sexual exploitation, or human trafficking.
public safetyinternal controlsrecordkeeping/documentation

Why it matters: Sexual exploitation or human trafficking may go undetected for children in EEC care.

Standard: Massachusetts Interagency Human Trafficking Policy Task Force 2013 report recommendations

2 recommendations
  • EEC should require residential programs to include trainings for staff members to recognize the signs of, and screen to prevent, sexual exploitation or human trafficking of children in their care.
  • EEC should monitor residential program staff members to ensure that they are completing the recommended trainings.
Agency response & Auditor reply
Agency: "EEC is also currently in the process of revising its residential program regulations, including proposed regulatory changes and updates in this area."
Auditor: "By not requiring residential programs to include this specific training for their staff members, EEC may be missing critical opportunities to protect children who are at risk."
EEC did not implement LGBTQ youth inclusivity recommendations.
internal controls

Why it matters: EEC’s efforts to ensure inclusive and supportive environments for LGBTQ youth and families were limited.

Standard: Massachusetts Commission on LGBTQ Youth fiscal year 2021 Report and Recommendations ( Massachusetts Commission on LGBTQ Youth’s Fiscal Year 2021 Report and Recommendations )

1 recommendation
  • EEC should implement the inclusivity recommendations from the Massachusetts Commission on LGBTQ Youth.
Agency response & Auditor reply
Agency: "EEC’s current administration is committed to inclusion related to LGBTQ Youth."
Auditor: "While we are encouraged by EEC’s proposed initiatives planned for fiscal years 2024 and 2025, the lack of implementation during the audit period limited EEC’s effectiveness in ensuring a fully inclusive and supportive environment for LGBTQ youth and families in its programs."
EEC did not ensure timely corrective action plans for noncompliant funded programs.
reporting timelinessinternal controlsgrants management

Why it matters: Untimely corrective action and lack of evidence may compromise EEC Essentials training and endanger children in EEC care.

Standard: EEC Essentials Training Requirements and Applicability Policy, effective October 1, 2019 ( EEC Essentials Training Requirements and Applicability Policy, effective October 1, 2019 )

2 recommendations
  • EEC should develop policies for funded programs to follow during and after a state of emergency.
  • Because individuals working in funded programs can complete the training online, EEC should ensure that programs follow the 14-day requirements during a state of emergency and under normal conditions.
Agency response & Auditor reply
Agency: "No corrective action plans are missing, and all trainings were completed."
Auditor: "Accepting plans without such evidence compromises the effectiveness of the training program and could potentially endanger children in EEC care due to unaddressed noncompliance."

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