Managing Legal Risks in Early Childhood Programs: How to Prevent Flare‐Ups from Becoming Lawsuits, by Holly Elissa Bruno and Tom Copeland, addresses the need for early childhood programs to be proactive in their approach to problems with potential legal consequences. Both Bruno and Copeland have law degrees, and serve as voices of experience and reason regarding legal risks, reducing potential lawsuits, and examining ethical issues that arise when children, families, and caring professionals are involved.
The authors “set a framework” (p. xiv) for how directors/administrators can “legally and ethically resolve conflicts with families and staff” (p. xiv) by identifying, analyzing, and offering solutions to “potential legal dilemmas using case studies” to assist with resolving challenges, including “sample policies, procedures and best practices” (p. xiv) from experts in the field. Each author covers five chapters of the book, with Bruno covering Chapters 1, 4, 6, 8, and 9; and Copeland writing Chapters 2, 3, 5, 7, and 10. While they each have distinct voices and approaches in the topics they cover, their expertise in each area comes through and seamlessly blends to cover a wide variety of topics. They provide a clear disclaimer in the Introduction, stating that the book is not a “substitute for a lawyer” and that the “authors and publishers are not engaged in rendering legal or other professional advice” (p. xiv).
The chapters in the book guide the reader through the steps in developing a program that is resistant to lawsuits, ethically sound, and professionally managed. Chapter 1 guides directors to make intelligent choices in challenging situations. Chapter 2 takes these choices a step further by setting up a framework for incorporating “legal, regulatory, and ethical standards” (p. 15) into daily decisions. Chapter 3 addresses effective contracts and policies, including the “antidiscrimination, price fixing, and state early childhood regulations” (p. 33) to consider. Building on Chapter 3, Chapter 4 looks at partnering with families to clarify shared expectations and address complications as they arise. Chapter 5 delves into children's safety, specifically legal requirements, caring for sick or injured children, keeping children safe, and preventing child abuse. The rights of minorities are addressed in Chapter 6, while issues around privacy and confidentiality in the internet age are discussed in Chapter 7. Chapters 8 and 9 focus on personnel guidance, in hiring and supervision of employees. Chapter 10 covers insurance recommendations, including types of coverage, liability, and waivers.
Each chapter contains vignettes or case studies of possible legal or ethical issues. “Think About It” questions are sprinkled throughout each chapter, asking the reader to think about past experiences and possible solutions to the issue being discussed. At the end of each chapter, resources for addressing the issue in that chapter are listed, with bulleted questions to consider. In addition, links to helpful web sites are listed throughout the book and in the Appendix (p. 153).
As early childhood professionals, we often hear “that's not fair” when speaking to children in conflict. The same can apply to the adults who work in early childhood, and the families they serve. Chapter 1 addresses fairness, and due process, when creating or modifying policies and making the right decision. Looking at the “letter of the law” or the “spirit of the law” when making decisions “calls for a leader's intellectual savvy and skillful ability to perceive the underlying emotional dynamics” (p. 5). In addition, being aware of potential resistance to decisions, how our brains make rational decisions, and considering codes of ethics (specifically, NAEYC's Code of Ethical Conduct and Statement of Commitment, 2005) guide the reader to consider all sides before making a decision.
Chapter 2 introduces the three standards that a decision maker (owner, director, administrator) should consider when attempting to prevent a lawsuit. Federal laws such as the Americans with Disabilities Act (ADA), the IRS, privacy and first amendment laws all apply to early childhood programs and must be followed. In addition, state regulations regarding child care (licensing, nutrition programs, child care subsidy) change regularly and are monitored by state licensing offices (in most cases). While following laws and regulations is crucial, a “commitment to following ethical standards that will benefit children, families, staff and the broader community you serve” (p. 19) is voluntary, but important. A case study involving different religious beliefs is contained in this chapter, involving a family who are Jehovah's witnesses and do not celebrate birthdays or Christmas. The case study provides a look at possible outcomes and implications of the decisions made in this instance. Finally, the authors suggest guidance on when and how to find legal help when necessary.
Having strong policies and an enforceable contract in place is vital to every early childhood program. In Chapter 3, the author makes the case for having both a set of policies and a contract. Using the framework established in Chapter 2 (laws, regulations, and ethics), issues such as price fixing (directors of different centers working together to charge the same rate to families), payment schedules and rate structures are examined as a program establishes the policies and contract. The purpose of policies, according to Copeland, is to “facilitate communication with families” (p. 42), reducing problems and conflicts. The reality is that problems do arise, parents do not always pay tuition or fees on time, nor do they follow written policies to the letter. Keeping those policies and contracts up‐to‐date is as important as having them, as is enforcing and defending them should you have to go to court.
Chapter 4 focuses on parents as the customer of early childhood programs. Without parents, many tuition‐based programs would not exist. Often, when a teacher bonds with a child in an early childhood program, they become a part of that family's support system, and the lines between being a teacher/caregiver/babysitter can blur. Early childhood programs must have clear policies regarding babysitting outside of the center. Other problematic family issues could include authorized lists for pickup, step‐parenting and custody agreements, safe‐departure policies (what if a child is released to a family member that does not have a car seat in use?), and instances where a child is not picked up on time, or at all. Having written and enforced policies on these issues can stave off crisis situations and legal headaches in the future.
Safety is a concern for all early childhood programs, and reducing the risk of accidents and possible lawsuits is a priority. Chapter 5 touches on issues such as medication administration, immunizations, biting, preventing injuries, and day‐to‐day safety procedures. It also addresses concerns about child abuse, as every child care worker is a mandated reporter of child abuse or neglect. A section on how to be prepared for a child abuse investigation, along with a checklist of questions to be prepared to answer is included.
Chapter 6 broaches the topic of minority rights, and balancing the “rights of a few vs. the rights of the many” (p. 81). Throughout this chapter, the reader is invited to consider different responses to situations such as immigrants, children whose first language is not English, children of lesbian, gay, bi‐sexual and transgendered (LGBT) individuals, and children with disabilities. The legal rights, how to translate the legal mandates into everyday reality, and the responsibilities of early childhood professionals are addressed for each of these situations. Three case studies are presented to help the reader think through the concerns they may have when presented with a child or family who deserves to be treated as one of the “many”.
Privacy and confidentiality in early childhood programs is expected, and must be maintained, as covered in Chapter 7. In the internet age, it is important that early childhood programs have policies to protect children and families in their care, protect their employees, and the program itself. Employees may use social media in ways that could violate privacy. The program's web site, used as a tool to recruit and inform families, could possibly violate confidentiality by posting a picture of a child whose parents have not signed a release form. Dissatisfied parents and/or employees may use the internet as a tool to slander the program. A sample privacy policy, internet policy, and staff confidentiality policy is included in this section.
Finding qualified, trained, and dedicated teachers and caregivers to work in early childhood programs is an ongoing challenge, with staff turnover rates as high as 40‐50 percent in some areas of the USA. One way to ensure a good hire is to conduct a thorough background and reference check, which can be challenging when employers can only ask certain questions of references. The author suggests a “Hold Harmless Consent” form for each employee, which allows the employee to indicate what areas of their performance may be shared. Often a “would you hire this person again” question does not give a potential employer enough information about a candidate to make an educated decision. This chapter also contains guidance on changes to the ADA which affect disabilities and reasonable accommodations for potential and new hires.
Chapter 9, “Supervision challenges: stepping up to the plate”, examines supervising employees who are “underperforming, resistant, or otherwise behaving inappropriately” (p. 123). The previous chapters have outlined effective policies, hiring practices, and communication with both families and staff, which can prevent or avert challenges with supervision. Based on the fact that 80 percent of early childhood leaders are not comfortable with confrontation, supervision can be problematic. Bruno, the author of this chapter, guides the reader through the steps of working with a resistant employee, using the probationary period, what “employment at will” really means, and how to implement progressive discipline. In addition, possible suggestions on addressing gossip, hearsay, and confidentiality in early childhood settings are discussed, along with issues that could result in immediate termination. The ADA guidelines to be considered when disciplining or terminating employees are covered on page 141.
The final chapter reviews the variety of insurance policies needed to adequately protect an early childhood program from legal risks. At a minimum, a program needs “adequate liability insurance, workers’ compensation insurance, property insurance and commercial car insurance.” The author lists specific items to look for within each of these types of coverage, along with suggestions on directors/officers insurance, covering visitors to your program, how to shop for and select an insurance agent, and policy limits needed. As Copeland says, “very few people enjoy reviewing their insurance policies”; but doing so on a regular basis will ensure a program is properly protected.
Ms Bruno and Mr Copeland have written a valuable, timely, and thorough guide to help early childhood programs be prepared for the inevitable legal issues that arise when caring for young children. The book is easy to follow, provides step‐by‐step guides, case studies, and multiple questions to consider when confronted with difficult situations. It also contains helpful web sites, other books, and articles for additional information. Managing Legal Risks in Early Childhood Programs is written in a way that supports and affirms the dedication needed to deliver a caring, quality, professional early childhood program. Every director, administrator, owner, resource and referral professional, licensing worker, and even local/state policy makers would benefit from having a copy of this book in their professional library.
