COMMENT DUE DATE:
March 3, 2017
DATE:
February 1, 2017
Mitzi Lee, Child Care Services 405-521-2556
Dena Thayer, Programs Administrator 405-521-4326
RE:
APA WF 17-04
The proposed policy is Permanent . This proposal is subject to Administrative Procedures Act
It is important that you provide your comments regarding the draft copy of policy by the comment due date.Comments are directed to STO.LegalServices.Policy@okdhs.org.The proposed policy is permanent.
SUBJECT:TITLE 340. DEPARTMENT OF HUMAN SERVICES
CHAPTER 110. LICENSING SERVICES
Subchapter 1. General Provisions
Part 1. Licensing Services - Child Care
OAC 340:110-1-6 [AMENDED]
OAC 340:110-1-9 [AMENDED]
OAC 340:110-1-9.3 [AMENDED]
OAC 340:110-1-15 [AMENDED]
Part 3. Licensing Services - Residential Care and Agencies
OAC 340:110-1-45 [AMENDED]
OAC 340:110-1-47.2 [AMENDED]
OAC 340:110-1-54 [AMENDED]
Subchapter 3. Licensing Standards for Child Care Facilities
Part 15. Requirements for Child Care Centers, Day Camps, Drop-In Programs, Out-of-School Time Programs, Part-Day Programs and Programs for Sick Children
OAC 340:110-3-309 [AMENDED]
(Reference WF 17-04)
SUMMARY:The proposed revisions to Chapter 110, Subchapter 1, Parts 1 and 3 amend Child Care Services (CCS) policy and licensing procedures.Amendments reflect clarifying CCS practice and licensing procedures regarding the application process, monitoring of licensed programs and agencies, non-compliance with licensing requirements, and grievances.Licensed child care programs and agencies impacted by the proposed amendments include:(1) family child care homes; (2) child care centers; (3) day-camps; (4) drop-in programs; (5) out-of-school time programs; (6) part-day programs; (7) programs for sick children; (8) residential programs; and (9) child-placing agencies.
The proposed revisions to Chapter 110, Subchapter 3, Part 15 amend licensing requirements for out-of-school time programs.
PERMANENT APPROVAL:Permanent rulemaking is requested.
LEGAL AUTHORITY:Director of Human Services; Section 162 of Title 56 of the Oklahoma Statutes (O.S. 56 § 162).Rule Impact Statement
To:Programs administrator
Legal Services - Policy
From:Lesli Blazer, Director
Child Care Services
Date:January 3, 2017
Re: TITLE 340. DEPARTMENT OF HUMAN SERVICES
CHAPTER 110. LICENSING SERVICES
Subchapter 1. General Provisions
Part 1. Licensing Services - Child Care
OAC 340:110-1-6 [AMENDED]
OAC 340:110-1-9 [AMENDED]
OAC 340:110-1-9.3 [AMENDED]
OAC 340:110-1-15 [AMENDED]
Part 3. Licensing Services - Residential Care and Agencies
OAC 340:110-1-45 [AMENDED]
OAC 340:110-1-47.2 [AMENDED]
OAC 340:110-1-54 [AMENDED]
Subchapter 3. Licensing Standards for Child Care Facilities
Part 15. Requirements for Child Care Centers, Day Camps, Drop-In Programs, Out-of-School Time Programs, Part-Day Programs and Programs for Sick Children
OAC 340:110-3-309 [AMENDED]
(Reference WF 17-04)
Contact: Mitzi Lee, Programs Manager, 405-521-2556
A.Brief description of the purpose of the proposed rule:
The proposed revisions to Chapter 110, Subchapter 1, Parts 1 and 3 amend Child Care Services (CCS) policy and licensing procedures.Amendments reflect clarifying CCS practice and licensing procedures regarding the application process, monitoring of licensed programs and agencies, non-compliance with licensing requirements, and grievances.Licensed child care programs and agencies impacted by the proposed amendments include:(1) family child care homes; (2) child care centers; (3) day-camps; (4) drop-in programs; (5) out-of-school time programs; (6) part-day programs; (7) programs for sick children; (8) residential programs; and (9) child-placing agencies.
The proposed revisions to Chapter 110, Subchapter 3, Part 15 amend licensing requirements for out-of-school time programs.
Strategic Plan Impact.
The proposed rule amendments achieve Oklahoma Department of Human Services (DHS) goals by continuously improving systems and processes impacting licensed child care programs and agencies.
Substantive changes.
Subchapter 1. General Provisions
Part 1. Licensing Services - Child Care
Oklahoma Administrative Code (OAC) 340:110-1-6 is amended to:(1) align CCS terminology; (2) clarify the type of foster care approved in a licensed family child care home; and (3) establish timeframes for programs to remain on application status without caring for children.
OAC 340:110-1-9 is amended to reflect the monitoring of Quality Rating and Improvement System (QRIS) criteria during ongoing monitoring visits.
OAC 340:110-1-9.3 is amended to align CCS terminology.
OAC 340:110-1-15 is amended to establish grievance timeframes.
Part 3. Licensing Services - Residential Care and Agencies
OAC 340:110-1-45 is amended to establish timeframes for residential programs and child-placing agencies to remain on application status without caring for children or conducting child-placing activity.
OAC 340:110-1-47.2 is amended to clarify situations requiring supervisor notification and include licensing procedures for residential programs and child-placing agencies to request an alternative method of compliance.
OAC 340:110-1-54 is amended to establish grievance timeframes.
Subchapter 3. Licensing Standards for Child Care Facilities
Part 15. Requirements for Child Care Centers, Day Camps, Drop-In Programs, Out-of-School Time Programs, Part-Day Programs and Programs for Sick Children
OAC 340:110-3-309 is amended to reflect an exemption for directors counting as a master teacher as it relates to licensed capacity in out-of-school time programs.
Reasons.
Chapter 110, Subchapter 1, Parts 1 and 3:The proposed amendments address needed clarifications of CCS practice and licensing procedures regarding the application process, monitoring of licensed programs and agencies, non-compliance with licensing requirements, and grievances.Licensed child care programs and agencies impacted by the proposed amendments include:(1) family child care homes; (2) child care centers; (3) day-camps; (4) drop-in programs; (5) out-of-school time programs; (6) part-day programs; (7) programs for sick children; (8) residential programs; and (9) child-placing agencies.
Chapter 110, Subchapter 3, Part 15.The proposed amendment allows for directors of out-of-school time programs to count as master teachers regardless of the licensed capacity.This aligns with the QRIS criteria exemption for these programs.
Repercussions.
Chapter 110, Subchapter 1, Parts 1 and 3:The proposed amendments address needed clarifications for CCS staff when licensing child care programs and child-placing agencies.Clarifications provide consistent interpretation of CCS practice and provide better service for licensed child care programs and child-placing agencies.
Chapter 110, Subchapter 3, Part 15.The proposed amendment allows for directors of out-of-school time programs to count as master teachers regardless of the licensed capacity.This aligns with the QRIS criteria exemption for these programs.
Legal authority.
Director of Human Services; Section 162 of Title 56 of the Oklahoma Statutes (O.S. 56 § 162).
Permanent rulemaking approval is requested.
Permanent rulemaking is requested effective November 1, 2017.
B.A description of the classes of persons who most likely will be affected by the proposed rule, including classes that will bear the costs of the proposed rule, and any information on cost impacts received by the Agency from any private or public entities:The classes of persons most likely to be affected by the proposed rules are CCS staff, licensed family child care homes, child care centers, day-camps, drop-in programs, out-of-school time programs, part-day programs, programs for sick children, residential programs, child-placing agencies, and families and children utilizing child care.
C.A description of the classes of persons who will benefit from the proposed rule:The classes of persons most likely to benefit by the proposed rules are CCS staff, licensed family child care homes, child care centers, day-camps, drop-in programs, out-of-school time programs, part-day programs, programs for sick children, residential programs, child-placing agencies, and families and children utilizing child care.
D.A description of the probable economic impact of the proposed rule upon the affected classes of persons or political subdivisions, including a listing of all fee changes and, whenever possible, a separate justification for each fee change:There is no anticipated economic impact of the proposed rules for family child care homes, child care centers, day-camps, drop-in programs, out-of-school time programs, part-day programs, programs for sick children, residential programs, or child-placing agencies.
E.The probable costs and benefits to the Agency and to any other agency of the implementation and enforcement of the proposed rule, the source of revenue to be used for implementation and enforcement of the proposed rule and any anticipated effect on state revenues, including a projected net loss or gain in such revenues if it can be projected by the Agency:There are no costs anticipated to DHS to implement the proposed rules as training will be provided to CCS by state office personnel.
F.A determination whether implementation of the proposed rule will have an impact on any political subdivisions or require their cooperation in implementing or enforcing the rule:Implementation of the proposed rules will have a positive impact on the health, safety, and welfare of children receiving child care in licensed facilities.Proposed rules provide for a consistent application of CCS policy and procedure for licensed family child care homes, child care centers, day-camps, drop-in programs, out-of-school time programs, part-day programs, programs for sick children, residential programs, and child-placing agencies.
G.A determination whether implementation of the proposed rule will have an adverse economic effect on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act:There is no economic impact to licensed family child care homes, child care centers, day-camps, drop-in programs, out-of-school time programs, part-day programs, programs for sick children, residential programs, or child-placing agencies as amendments clarify CCS practice and licensing procedures.
H.An explanation of the measures the Agency has taken to minimize compliance costs and a determination whether there are less costly or nonregulatory methods or less intrusive methods for achieving the purpose of the proposed rule:There are no less costly, non-regulatory, or less intrusive methods for achieving the purpose of the proposed rules.
I.A determination of the effect of the proposed rule on the public health, safety, and environment and, if the proposed rule is designed to reduce significant risks to the public health, safety, and environment, an explanation of the nature of the risk and to what extent the proposed rule will reduce the risk:Implementation of the proposed rule revisions allow consistent application of CCS policy and procedure for licensed family child care homes, child care centers, day-camps, drop-in programs, out-of-school time programs, part-day programs, programs for sick children, residential programs, and child-placing agencies as CCS monitors licensed programs for compliance with licensing requirements addressing health and safety of children.
J.A determination of any detrimental effect on the public health, safety, and environment if the proposed rule is not implemented:If the proposed rule revisions are not implemented, CCS practice and licensing procedures will not be clarified and consistent application of licensing procedures could impact health and safety of children.Out-of-school time programs could experience an undue financial hardship if proposed rules were not implemented.
K.The date the rule impact statement was prepared and, if modified, the date modified:Prepared May 24, 2016; modified July 25, 2016; modified October 11, 2016; modified January 3, 2017.
SUBCHAPTER 1. GENERAL PROVISIONS
PART 1. LICENSING SERVICES - CHILD CARE
340:110-1-6. Application Request for license process
Revised 7-1-1211-1-17
(a) Application Request for license.The licensing staff provides Form 07LC004E, Request for License - Child Care Facility Program, to persons individuals interested in licensure.¢ 1
(1) If requested, a family child care home application is filed and When requested a license may be issued to a primary caregiver and spouse.References are obtained for both persons individuals, and both must demonstrate compliance with requirements.A primary caregiver must be identified and meet all primary caregiver requirements.¢ 2
(2) Proof of ownership must be provided according to Oklahoma Department of Human Services (OKDHS) (DHS) Appendix L-7, Ownership Proof Chart, for a:
(A) child care center; or
(B) family child care home.
(3) Care may be provided in a location other than the primary caregiver's primary residence.¢ 3 and 4 through 5
(4) Contact When permission to operate has not been granted, contact is made by phone every two months and documented on Form 07LC080E, Licensing Services Supplemental Information, when no permission to operate has been granted.
(b) Permission to Operate operate.The facility program may be granted permission to operate on application status if when the licensing staff determines that an applicant is temporarily unable to comply with all licensing requirements, but the services are needed and the non-compliance does not place children at risk of imminent harm.These situations are staffed with the regional programs manager for permission to operate.Permission to operate cannot exceed 30-calendar days.¢ 56
(c) Child care provider contract.The licensing staff advises the child care facility program of the opportunity to contract with OKDHS DHS for the care of children whose families receive subsidized child care benefits, per OAC Oklahoma Administrative Code (OAC) 340:40-13-5.The licensing staff documents that a child care contract promotional flyer is provided to the facility with contact information for the county child care liaison program.¢ 67
(d) Reopening a family child care home case.If When a family child care home has been closed for less than one year 12 months and had a record of compliance prior to closure, the licensing staff obtains a new application Form 07LC004E and may recommend license issuance after one compliant monitoring visit,. utilizing previous Previous references may be utilized.Prior to issuance of the license, background investigations must be conducted per OAC 340:110-1-8.1.
(e) Reopening a child care center, day camp, drop-in, out-of-school time, part-day children's program, or school-age program for sick children.If When a child care center program has been closed and the same owner wishes requests to reopen, a new application must be Form 07LC004E is completed.¢ 78
(1) Fire and health inspections completed within the last 12 months may be used, unless concerns exist.
(2) If When the facility program has been closed less than one year 12 months:
(A) previously obtained director references may be used;
(B) background investigations must be conducted per OAC 340:110-1-8.1; and
(C) with a record of compliance prior to closure, the licensing staff may recommend license issuance after one compliant monitoring visit.
(f) Computer checks on license applicants.Computer checks to identify prior involvement with OKDHS DHS are completed on required persons individuals per OAC 340:110-1-8.1(g).¢ 89
(g) Family child care homes approved to provide foster care.A primary caregiver approved to provide kinship foster care may be licensed as a family child care home.No other foster care placement will be approved.The primary caregiver cannot be licensed if when approved for therapeutic foster care per OAC 340:75-7-19.The approval for dual service is made by the licensing supervisor in writing prior to each child placement, based upon the recommendation of the licensing staff and DHS foster care staff of the child-placing agency.Licensing staff complete Form 07LC099E, Dual Approval Request for Foster Care Placement.When a joint consensus is not achieved, either division may request a review by the dual approval committee for a final decision.¢ 910 The decision for approval is:
(1) based upon the number, ages, and specific needs of children potentially eligible for child care and foster care and receipt of a written agreement from the primary caregiver stating the individual(s) from whom the child was removed will not be present during the hours of child care;
(2) documented in the case record; and
(3) reviewed with the provider primary caregiver and foster care worker at least once per year every 12 months or more often if when concerns exist.
(h) Withdrawal of application request for license.If a child care facility When an applicant:
(1) wishes requests to withdraw the application request for license prior to issuance of an initial permit the licensing staff:
(1)(A) documents this request on Form 07LC080E, Licensing Services Supplemental Information;
(2)(B) confirms that no children are in care; and
(3)(C) may close the case, unless negative action is warranted.¢ 10 & 11
(2) has not had children in care for more than 12 months, the applicant is requested to withdraw the request for license.When the applicant:
(A) agrees to withdraw the request, licensing staff:
(i) documents this discussion on Form 07LC080E;
(ii) provides a letter notifying the applicant of withdrawal of request for license; and
(iii) proceeds with case closure; or
(B) does not agree to withdraw the request, licensing staff; or
(i) documents this discussion on Form 07LC080E;
(ii) provides a letter notifying the applicant of case closure within 10-calendar days of receipt of letter; and
(iii) proceeds with case closure.¢ 11 & 12
INSTRUCTIONS TO STAFF 340:110-1-6
Revised 7-1-1211-1-17
1.(a) Upon receipt of a complete application Form 07LC004E, Request for License - Child Care Program, the licensing staff conduct a search of Child Care Restricted Registry for the applicant per OAC Oklahoma Administrative Code (OAC) 340:110-1-10.1(c).
(b) The licensing staff enters available information into in the database, including a monitoring frequency plan of six and obtains a case number.An application A request for license is considered complete when the following procedures are met:
(1) all necessary items of information are complete on the application Form 07LC004E; and
(2) all supporting documentation has been provided.
(c) Licensing staff verifies identification for family child care home applicants by observing photo identification.A copy of the photo identification is requested and placed in the public licensing record with any confidential information purged.
(d) For a family child care home applicant operating as a sole proprietor, the license is issued in the primary caregiver's legal name as it appears on the primary caregiver's Social Security card, as verified by licensing staff.
2.When the license is issued to a primary caregiver and spouse, it is not required that both caregivers be present in the home and providing care at all times, provided two adults are not needed to meet the required adult-child ratio.
3.When care is provided in a structure on the same property as the primary caregiver's residence, an alternative compliance is not required.If any When part of the main residence is used for child care, the monitoring visit includes the main residence.
4.If When a primary caregiver wishes requests to provide care in a location that is not a residential family home, an alternative method of compliance must be requested.
5.If When a primary caregiver wishes requests to provide care in a residential family home other than the primary caregiver's permanent residence, an alternative method of compliance is not required, and the procedures in (1) through (7) apply.
(1) The primary caregiver provides an application that indicates Form 07LC004E indicating the location of care and the permanent resident address of the primary caregiver.
(A) Household members who reside residing at the location of care are listed on the application Form 07LC004E and all adults are required to sign.The primary caregiver's spouse who resides residing at the permanent address residence is not required to sign the application Form 07LC004E.
(B)If When the spouse's signature is obtained, a computer check to identify prior involvement with Oklahoma Department of Human Services (OKDHS) (DHS) is completed.
(C) If When the application request for license is a change of address for an existing license; refer to OAC 340:110-1-9(g)(f).
(2) Licensing staff documents an explanation of this arrangement on Form 07LC080E, Licensing Services Supplemental Information.
(3) The primary caregiver signs an agreement that stating child care will not be provided at the primary caregiver's permanent address residence.
(4) Documentation of criminal background checks is obtained on all adults who reside residing in the home where child care is provided and on other adults who have having access to children in care on a regular basis.
(5) Any child Children 12-years of age-old or younger who does not live living in the home where care is provided is are counted in the capacity if the child is when present during the hours of child care.
(6) This alternative residence is not approved for child care if when it is approved for foster care.
(7) Overnight care is not approved in an alternative residence.
56.A monitoring frequency plan of 12 is entered into in the database.
67.The Family Support Services (FSS) child care liaison Adult and Family Services (AFS) provides training to the provider operator on the claims process and offers may offer a contract to the provider operator.If there is information regarding a criminal conviction or fiscal mismanagement such as inaccurate reporting to OKDHS or other agencies, a copy of the report is sent to the FSS child care liaison.Refer to OAC 340:110-1-8.1(g).
78.If When the location and the ownership remain the same, the same case number may be used.The record clearly reflects the closure and reopening of the facility.
89.Licensing staff conduct an OKDHS a DHS computer check on applicable persons individuals prior to permission to operate being given.
910.The dual approval committee consists of representatives from State Office Children and Family Services Division, Field Operations Division, Child Welfare Services, AFS, and Oklahoma Child Care Services.
1011.When a withdrawal of application request for license is requested, the licensing specialist mails staff provides a copy of the application Form 07LC004Eto the facility program and the original application Form 07LC004Eis maintained in the facility case file.
1112.When an application a request for license can not cannot be approved due to a facility program not meeting minimum licensing requirements, licensing staff discuss with the facility program the withdrawal of their application the request for license.If When a facility program declines to withdraw, licensing staff refer to supervisor for appropriate action.Written request from the facility program for withdrawal is not required; however, licensing staff document in a letter or on Form 07LC080E:
(A) specific requirements that are not met;
(B) licensing's request for the withdrawal of their application request for license; and
(C) facility's program's response to request for withdrawal.
340:110-1-9. Case management
Revised 11-1-1611-1-17
(a) Periodic monitoring visits.Child Care Services (CCS) licensing staff makes a minimum of three unannounced monitoring visits to programs operating a full-year program and two unannounced monitoring visits annually to programs operating less than a full year.¢ 1Licensing staff varies the time of monitoring visits to include lunch observation and an evening visit to child care centers with extended hours.¢ 2
(b) Ongoing monitoring.During monitoring visits, licensing staff observes the entire facility, including the outdoor play space and vehicles used for transportation, when available.¢ 3At, or subsequent to each visit, licensing staff checks:
(1) compliance with licensing requirements;
(2) compliance with stars criteria per Oklahoma Administrative Code (OAC) 340:110-1-8.3;
(2)(3) records for new personnel including personnel sheets and compliance with background investigations per Oklahoma Administrative Code (OAC) OAC 340:110-1-8.1;¢ 4 & 5
(3)(4) personnel professional development records;¢ 6
(4)(5) the Oklahoma Department of Human Services (DHS) data base database on applicable individuals per OAC 340:110-1-8.1(g);
(5)(6) fire and health inspections within the last 24 months, when applicable;¢ 7
(6)(7) Form 07LC092E, Insurance Verification, within the last 12 months, or posting of Form 07LC093E, Insurance Exception Notification; and
(7)(8) other documentation requiring renewal.
(c) Technical assistance and consultation.Licensing staff provides:
(1) technical assistance to licensees to assist them in meeting minimum requirements; and
(2) consultation on various aspects of quality child care.
(d) Agreements with tribal licensing programs and other monitoring agencies.DHS may enter into a cooperative licensing agreement with a tribal licensing program or other monitoring agency.¢ 8
(e) Equipment inventory.Licensing staff completes Form 07LC006E, Equipment Inventory for Child Care Programs, prior to a license being issued.Licensing staff or the program may complete the appropriate equipment inventory prior to a change in class and prior to an increase in licensed capacity in a child care center, day camp, drop-in, out-of-school time, part-day program, and program for sick children.The purpose of the inventory is to document the equipment available and items needed to comply with the equipment requirements.Licensing staff may conduct a complete inventory any time concern exists about the availability of required equipment.¢ 9
(f) Change of address.Specific procedures are followed when a program moves to a new address.
(1) When a program moves to a new address, licensing staff:
(A) obtains an updated Form 07LC004E, Request for License Child Care Program;
(B) conducts a monitoring visit to verify the new location meets licensing requirements;
(C) obtains new fire and health inspections, when applicable, for a child care center, day camp, drop-in, out-of-school time, part-day program, and program for sick children;¢ 10
(D) obtains Oklahoma Department of Environmental Quality approval, when applicable;
(E) completes Form 07LC057E, Physical Plant, with required calculations; and
(F) requests a permit or license be issued reflecting the new address.
(2) When a change of address involves care provided in a location other than the primary caregiver's primary residence, refer to OAC 340:110-1-6(a)(3).
(g) Change in program name.When there is a change in program name, licensing staff verifies there is no change in ownership, and documents the name change in the case record and database.A new Form 07LC004E reflecting the program name change is completed.Licensing staff requests a permit or license be issued reflecting the new program name.¢ 11
(h) Change in director.When there is a change in director, licensing staff:
(1) verifies the new director meets qualifications;
(2) obtains the applicable page of Form 07LC004E, completed by the new director;
(3) obtains references;
(4) obtains an appropriate, complete Form 07LC117E, Compliance Review for Child Care Programs, from the director, when the director has no previous director experience;
(5) notifies the new director of current personnel who were granted a waiver; and¢ 12
(6) documents the information on Form 07LC080E, Licensing Services Supplemental Information.
(i) Change in primary caregiver.When there is a change in primary caregiver, licensing staff:
(1) verifies the primary caregiver meets qualifications;
(2) obtains the applicable page of Form 07LC004E completed by the new primary caregiver;
(3) obtains references;
(4) notifies the new primary caregiver of current personnel who were granted a waiver; and
(5) documents the information on Form 07LC080E.
(j) Change in household.All changes in household members living in a facility are documented on the monitoring summary.Form 07LC096E, Criminal History Review Request for Programs, must be submitted prior to a new adult residing in the facility.When there is a new adult residing in a facility, the required documentation includes:
(1) the applicable page of Form 07LC004E completed by the new adult;
(2) background investigations per OAC 340:110-1-8.1; and
(3) a DHS database search.
(k) Change in ownership.When there is a change in ownership or change in form of business organization of a family child care home, child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children child care program, the case is closed and a new Form 07LC004E is obtained.Prior to the issuance of a permit or license, the program must be in compliance with background investigations per OAC 340:110-1-8.1.A permit may be issued when a monitoring visit without numerous, repeated, or serious non-compliances was conducted at the program within the past 60-calendar days.A full monitoring visit is conducted within 14-calendar days of change of ownership to verify the new owner is able to meet minimum licensing requirements.¢ 13
(l) Change in class.When a program requests a change in class, the procedures contained in this subsection are followed.
(1) The case is closed and a new Form 07LC004E is required when a:
(A) family child care home converts to a child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children; or
(B) child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children converts to a family child care home.
(2) Any other Other request for change in class does not require case closure and documentation includes:¢ 14
(A) a request in writing from the provider;
(B) a new Form 07LC004E, with updated information;
(C) documentation the program meets the requirements for the requested class type;¢ 14
(D) the appropriate equipment inventory, when applicable;
(E) a current approved fire inspection, when applicable;
(F) a current approved health inspection, when applicable; and
(G) database updates to the appropriate class and monitoring frequency plan.¢ 1
(m) Procedure for increasing or decreasing capacity.When a program requests an increase or decrease in licensed capacity, it is documented on Form 07LC080E, Licensing Services Supplemental Information, and must be approved by the licensing supervisor.The program must not have a history of numerous, repeated, or serious non-compliance, and must provide:¢ 15
(1) the reason for the increase;
(2) an updated floor plan on Form 07LC057E reflecting adequate indoor and outdoor space, toilets, and sinks for the increase and any other changes;
(3) fire department approval of any space not previously inspected;
(4) health approval of any additional food preparation space not previously inspected;
(5) an updated equipment inventory reflecting adequate equipment for the increase; and
(6) verification of the number of required master teachers.
(n) Inactive cases.A program is determined to be in inactive status when care has not been provided for more than 90-calendar days.¢ 16
(1) A program wanting to remain open after 90-calendar days submits a request in writing including a statement the owner will notify licensing when prior to resuming care is resumed.Licensing staff verify compliance with requirements prior to resuming care.
(2) The program is contacted by licensing staff, a minimum of every four months by phone, letter, or email to update program status including new household members, or other program changes, per (j) of this Section.
(3) When the program is a child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children voluntary closure is discussed with the owner and an agreement to close is reached if when possible.
(4) When care has not been provided for 12-consecutive months or more, licensing staff sends provides a letter to notify the owner of case closure within 10-calendar days of receipt of letter, unless CCS is notified care has resumed.
(5) Licensing staff visits the inactive program, at least once a year during the 12 month timeframe to verify compliance with licensing requirements until closure is final.
(6) When a change of address occurs during the time a program is in inactive status, a monitoring visit is required and change of address is followed per (f) of this Section.
(o) Closure of an inactive program.Procedures (1) - (4) of this subsection are followed when closing an inactive program.
(1) Licensing staff contacts the owner of a family child care home and large child care home during the 12th month of inactive status to verify case status.
(2) Licensing documents the case status on Form 07LC080E, Licensing Services Supplemental Information, and notifies the owner the case will be closed should care not resume, prior to the end of the 12th month.
(3) When care has not been provided for 12-consecutive months or more, licensing staff sends provides a letter to notify the owner of case closure within 10-calendar days of receipt of letter, unless CCS is notified care has resumed.
(4) The case is closed and the owner must reapply and be approved for a license prior to resuming care, per OAC 340:110-1-6.
(p) Response to a child death.When notified of death of a child while in child care, licensing staff completes Form 07LC079E, Child Death Report, and forwards it to the statewide licensing coordinator or designee.When notified of a death, licensing staff visits the program as soon as possible, unless advised otherwise by law enforcement.¢ 17
(q) Serious incident reports.The licensing supervisor submits reports of serious incidents to the licensing regional programs manager, county director, and statewide licensing coordinator a report of any serious incident.¢ 18
(r) Self-reported incidents.When a provider self-reports a non-compliance incident, Form 07LC080E is completed and the licensing database is updated.A letter to include a copy of Form 07LC080E is provided to the program.¢ 19
INSTRUCTIONS TO STAFF 340:110-1-9
Revised 11-1-1611-1-17
1.Monitoring visits.
(1) Staff safety.Safety concerns regarding program monitoring are staffed with a supervisor for appropriate action.Appropriate action may include the utilization of a witness and/or coordination with law enforcement officials.
(2) Requirements.After each monitoring visit, licensing staff enters the monitoring frequency plan reflecting the required number of annual visits per year on the licensing database.Any changes Changes in the monitoring frequency plan must be reviewed with the supervisor.Examples of the required number of visits include:
(A) one visit per year annually for inactive child care centers, day camp, drop-in, out-of-school time, part-day program, programs for sick children or family child care home;
(B) two visits per year annually for part-year programs;
(C) three visits per year annually for programs with a history of compliance;
(D) six visits per year annually for request for licenses, six-month permits, and changes in class except a large family child care home changing to a family child care home; and
(E) 12 visits per year annually for programs with a pattern of numerous, repeated, or serious non-compliances.
(3) Frequency of visits.
(A) Programs operating part-year require only two visits annually.
(B) Programs operating a full-year program, including those offering only part-time care during the week, require three visits annually.
(C) When licensing staff visits a program between monitoring visits for purposes, such as picking up paperwork, consultation on a specific issue, verifying a repair was made, or needed items were purchased, a full monitoring visit is not required.
(i) The visit may be is documented on Form 07LC080E, Licensing Services Supplemental Information.
(ii) This information is entered on the licensing database, but the visit is not counted toward the required number of visits.
(iii) When numerous, repeated, or serious non-compliance is observed during this visit, a complete A full monitoring visit is conducted when numerous, repeated, or serious non-compliance is observed during this visit.
(D) Partial visits also include documentation regarding:
(i) completion of the first page, including staff-child ratios;
(ii) weapons;
(iii) child welfare involvement, criminal history, and new household members;
(iv) involvement with tribal agencies; and
(v) special needs certifications.
(4) Reduced visits.When caseloads prevent licensing staff from conducting the required number of monitoring visits, the supervisor consults with licensing staff on case management, and the number of required visits may be reduced when approved by the regional programs manager (RPM).This adjustment is approved and documented in the case record by the supervisor.Required visits to compliant licensed programs may be reduced by one visit per year; however, for no longer than a one-year 12-month period.
(5) Verifying staff-child ratio.When the only purpose of a visit is to provide or receive materials, staff-child ratios may not need to be verified.Staff-child ratios are to be verified during partial and full monitoring and other visits involving partial and full monitoring, follow-up visits, complaint investigations, equipment inventories, or stars monitoring.
(6) Documentation of requirements not reviewed during monitoring visits.Licensing staff indicate on the monitoring checklist any area of requirements not reviewed during partial or full monitoring visits.
(7) Case files.Case files are maintained in the Oklahoma Department of Human Services (DHS) office where licensing staff are located.Files are complete and information filed in the appropriate order.
(8) Confidential information.Confidential information, such as identifying child information, including initials, is documented on Form 07LC080E and placed in the confidential section of the case file.
2.Monitoring visits to:
(1) a center with extended hours are made between 8 p.m. and 10 p.m. unless extenuating circumstances exist, such as a complaint regarding a different time period or an unsafe neighborhood.
(2) programs for lunch observation typically occur between 11 a.m. and 1 p.m.; however, lunch may be observed outside of these timeframes.
(2)(3) programs with limited hours of operation, such as weekends or evenings, are made only during program hours of operation, unless complaint allegations require other observation times or concerns exist.Varying times of visits are not required.Specific hours of operation are documented in on the case record monitoring checklist.
3.Licensing staff:
(1) documents observations and discussions on the appropriate monitoring checklists, enters the information from the monitoring checklists onto in the licensing database, provides copies of the monitoring summary to the program's owner/operator, and files the original in the program's file in the local Oklahoma Department of Human Services (DHS) office;
(2) when visiting a family child care home:
(A) is cognizant it is a private home and demonstrates respect for the family's privacy;
(B) is thorough and asks to be shown throughout the entire house and outdoors;
(C) looks in drawers and closets, flushes toilets, or checks water temperature when concerns exist; and
(D) monitors vehicles, annually and when concerns exist; and
(3) when visiting a child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children, monitors vehicles, when available, during routine monitoring visits.
4.Licensing maintains program personnel sheets in the case file for one year 12 months after employment has ended.Personnel sheets must be purged prior to public viewing of the case file.Licensing staff verifies documentation of non-registration on the Child Care Restricted Registry on applicable individuals per Oklahoma Administrative Code (OAC) 340:110-1-10.1.
5. Licensing staff documents personnel Social Security name changes on 07LC080E, attaches it to the personnel sheet, and notifies the Licensing Records Office (LRO) to update the database.Completion of a new personnel information sheet is not required.When the director's name changes, due to director credential implications, licensing also notifies the Center for Early Childhood Professional Development.
6.Licensing staff checks for one-time and annual professional development requirements at the time of the annual professional development review or when concerns exist.Professional development is verified for program personnel and home providers, according to specific licensing requirements.
7.Licensing reviews on-going fire and health inspections and copies are not required for the case file.When the inspection has licensing violations, it is documented as a non-compliance and a copy is maintained in the licensing case file.
8.Cooperative licensing agreement.When there is a cooperative licensing agreement with a tribal licensing program or other monitoring program, the procedures listed in (1) through (5) of this Instruction are followed.
(1) After each monitoring visit, licensing staff sends provides a copy of the completed monitoring checklist and summary to the tribal licensing worker or agency representative assigned to the program.
(2) Reports of monitoring visits conducted by the tribal licensing worker or agency representative are sent to licensing staff who enters the visit into the licensing database identifying it as a visit conducted by the tribe or other monitoring agency.The monitoring visits count toward the required number of visits made to the program.
(A) All tribal visits are considered case history.A minimum of two visits per year annually must be conducted by DHS Child Care Services (CCS) licensing staff.
(B) Case action approvals are based only on licensing monitoring information.
(3) All information in the licensing file, including confidential information except for Child Welfare Services (CWS) reports, is made available to the tribal licensing worker or agency representative upon request.
(4) Licensing staff coordinates, when appropriate, with the tribal licensing worker or agency representative to conduct complaint investigations, complaint follow-up, non-compliance follow-up, and office conferences.
(5) The RPM is responsible for evaluating the effectiveness of the agreement and ensuring collaboration.
9.Equipment inventory.The date of the inventory and any needed equipment is documented on the monitoring checklist.Only the initial inventory of a new program and a subsequent inventory to increase capacity are filed in the program's file.
10.Change of address.
(1) When the new address is outside of licensing staff's area, the case is transferred to appropriate licensing staff, who conducts the monitoring visit.
(2) When licensing staff is notified of the address change, licensing staff advises the owner to also report the address change to Adult and Family Services (AFS) Child Care Subsidy at childcarecontracts@okdhs.org.
(3) The new Form 07LC004E, Request for License Child Care Program, is for information purposes only.The case is not closed and reopened and the license number remains the same.
(4) A narrative report reflecting the new address is submitted to the licensing staff's supervisor, the supervisor of the receiving licensing staff, and AFS Child Care Subsidy, at childcarecontracts@okdhs.org.The address, licensing staff, and licensing supervisor are changed on the licensing database by the receiving licensing staff.Critical information on non-compliant cases is shared with the receiving licensing staff and supervisor.
(5) Licensing staff notifies the statewide licensing coordinator of the address change.The statewide licensing coordinator or designee issues a new license to the program reflecting initial license date and a copy is sent to licensing staff.
(6) When a child care center, day camp, drop-in, out-of-school time, part-day program, program for sick children, or family child care home has a change of address, current program personnel do not acquire a new employment date or a new background check.
11.Licensing staff notifies the statewide licensing coordinator of the name change.The statewide licensing coordinator or designee issues a new license reflecting initial license date to the program and a copy is sent to licensing staff.
12.When requested, directors are provided a copy of the waiver notice that is required to be placed in the compliance file.
13.(a) Changes of ownership are staffed with regional programs managers for appropriate action.
(b) Licensing staff advises the owner Form 08CC001E, Child Care Provider Contract, is canceled when the program's case is closed.The owner is referred to AFS Child Care Subsidy, at childcarecontracts@okdhs.org to request a new contract so child care is not disrupted for families receiving subsidized child care benefits.
(c) When a family child care home changes business entity, licensing staff consults with licensing supervisor to determine when a six-month permit is required.
(d) When a change of ownership results in the issuance of a six-month permit, fire and health inspections conducted within the last 12 months are accepted.
(e) When a change of business entity results in the issuance of a license, fire and health inspections conducted within the last 24 months are accepted.
(f) Any new New facility construction, addition of square footage not previously included in licensed capacity, or kitchen alterations affecting food service requires new fire and health inspections.
(g) Copies of previous inspections as specified in (d) and (e) of this Instruction are maintained in the new program file.
14.Change in class.
(1) Change in class includes a family child care home becoming a large child care home, or a child care center, day camp, drop-in, out-of-school time, part-day, or program for sick children becoming a different program type.
(2) When a small home currently on a six-month permit requests a change in class to a large family child care home, three monitoring visits must be made after the change and prior to license issuance.
15.Change in capacity.The procedure for increasing or decreasing capacity of a facility is outlined in (1) through (4) of this Instruction.
(1) Increase.When a program requests an increase in capacity, licensing staff:
(A) verifies current fire and health inspections and notifies the fire department to determine if whenanother inspection or further evaluation is required.The contact is documented on Form 07LC080E;
(B) ensures the director completes and submits Form 07LC006E, Equipment Inventory for Child Care Program Programs, reflecting adequate equipment for the increase; and
(C) does not recommend to increase capacity when the program has numerous, repeated, or serious non-compliance with requirements.When the only serious non-compliance was the facility exceeded capacity, the request for increase is staffed with the RPM for appropriate action.
(2) Decrease.When decreasing capacity, licensing staff updates the floor plan on Form 07LC057E, Physical Plant, indicating rooms available for use by children.
(3) Recommendations to increase or decrease capacity.A recommendation to increase or decrease capacity may be made at any time by submitting a narrative report to the licensing supervisor.
(4) Approval.When change in capacity is approved, the statewide licensing coordinator or designee issues a new license to the program reflecting the new capacity and initial license issuance date.A copy of the license is sent to licensing staff.
16.Inactive care.
(1) Licensing staff notifies emails:
(A) appropriate stars outreach specialist via email; and
(B) AFS Child Care Subsidy via email at childcarecontracts@okdhs.org regarding the status of inactive care.The email includes:
(i) the reason for inactive status;
(ii) the effective date of the inactive status;
(iii) the length of time the program indicates they anticipate being inactive; and
(iv) a request for AFS Child Care Subsidy to notify Child Care Services (CCS) CCS of the decision to either cancel the contract or deactivate the point of service machine; and
(C) AFS Child Care Subsidy via email regarding the date care was resumed.
(2) A full visit is conducted 12 months from the last full visit, not from the time the program was considered inactive.This visit may be announced to ensure someone is present.
(3) When a family child care home primary caregiver is working outside of the home during inactive status, the case remains open.Licensing staff documents on Form 07LC080E the providers understanding that when care resumes, working outside of the home during the hours of care is prohibited.
17.Child death.When notified of a child death while in child care, licensing staff:
(1) determines and documents what occurred.Documentation includes:
(A) the number, ages, and names of children and personnel present at time of incident;
(B) what supervision was provided during this time;
(C) when the caregiver last checked on the child;
(D) the caregiver's response upon finding the child; and
(E) the names of personnel involved; and
(2) notifies the licensing supervisor, county director, RPM, statewide licensing coordinator, and CCS director of the death; and
(3) considers whether the death is possibly related to Sudden Infant Death Syndrome (SIDS) or other sleep related causes, and if so when related to an infant death:
(A) documents:
(i) how the child was dressed at the time of the incident;
(ii) where the child was sleeping and the sleep position;
(iii) the condition of the rest equipment; and
(iv) observations regarding the bedding and other items in the sleeping area;
(B) provides the caregiver DHS Publication No. 94-01, SIDS – What Child Care Providers and Other Caregivers Should Know;
(C) notifies the licensing supervisor, county director, RPM, statewide licensing coordinator, and CCS director;
(D) notifies the Oklahoma State Department of Health Maternal and Child Health Safe Sleep/SIDS coordinator; and
(E) obtains verbal or written verification by the appropriate authority confirming the cause of death.
18.Serious incident.
(1) Serious incidents include, but are not limited to, incidents:
(A) resulting in the serious injury or death of a child, such as a shaken baby, a drowning or near drowning, or a traffic accident resulting in serious injury;
(B) placing a child at a high risk for death or injury, such as a child leaving a program without personnel's knowledge, a child left at a location away from the program, a child left unattended in a vehicle, or a child left alone in a program; and
(C) such as fire, flood, or tornado resulting in significant damage to a facility.
(2) A serious incident report includes:
(A) the name and age of the child(ren) seriously injured or killed;
(B) the date and time of the incident;
(C) a description of the injuries to the child(ren) or damage to the facility;
(D) the caregiver's account of the incident;
(E) a summary of contacts made with other agencies involved in the investigation of the incident, such as CWS or law enforcement;
(F) any pertinent information regarding the caregiver's history, such as prior CWS involvement or a history of numerous, repeated, or serious non-compliance with licensing requirements; and
(G) the names of involved personnel.
19.Only owners, directors, personnel acting in the role of director, or primary caregivers can self-report.When other program personnel self-report non-compliances, the self-reports are considered complaints.
(1) When a self-reported incident requires an abuse or neglect referral to CWS per OAC Oklahoma Administrative Code (OAC) 340:110-1-9.2(i) and CWS accepts the referral for investigation, licensing considers the self-reported incident a complaint.
(2) Form 07LC080E is not maintained in the program's compliance file; however, the letter is maintained in the program's compliance file and states:
(A) the date of the report;
(B) the description of the non-compliance;
(C) the program's plan of correction;
(D) the program is requested to complete Form 07LC037E, Notice to Comply, when applicable, per OAC 340:110-1-9.3(d)(7); and
(E) "a self-reported serious non-compliance may be considered when reviewing the case for an Emergency Order, denial of a request for license, revocation of a license, or a stars reduction."
(3) Licensing staff's response to a self-reported non-compliance, per OAC 340:110-1-9.3, is based on the degree of risk to children, whether the provider could have prevented the non-compliance, and the timeliness and effectiveness of the provider's response.
(4) When a phone conversation with the program operator determines a follow-up visit is not required as a non-compliance did not occur, licensing staff: documents the discussion on Form 07LC080E.A letter including a copy of Form 07LC080E is provided to the program.When a follow-up phone call is conducted, it is entered in the data system as "other contacts."
(A) documents the discussion on Form 07LC080E;
(B) provides a letter to the program, including a copy of Form 07LC080E; and
(C) enters the phone call in the database as "other contacts."
(3) Licensing staff's response to a self-reported non-compliance, per OAC 340:110-1-9.3 is based on the degree of risk to children, whether the provider could have prevented the non-compliance, and the timeliness and effectiveness of the provider's response.
(4) When a monitoring visit is not required and licensing determines non-compliances occurred, licensing staff:
(A) documents the discussion on Form 07LC080E;
(B) provides a letter to the program, including a copy of Form 07LC080E stating:
(i) date of the self-report;
(ii) description of the non-compliance;
(iii) program's plan of correction;
(iv) the program is requested to complete Form 07LC037E, Notice to Comply, when applicable, per OAC 340:110-1-9.3(d)(7);
(v) "a self-reported serious non-compliance may be considered when reviewing the case for an Emergency Order, denial of request for license, revocation of a license, or a stars reduction"; and
(C) enters the phone call in the database as "other contacts."
(5) When a follow-up visit is required and licensing determines non-compliances occurred, all necessary documentation is entered on the monitoring report checklist and summary.Any type of additional follow-up, including a letter is based on the seriousness of the non-compliance.The visits are entered as monitoring visits on in the data base system database.
340:110-1-9.3. Non-compliance with requirements
Revised 7-1-1311-1-17
(a) Documentation of non-compliance.Licensing staff documents clearly and concisely areas of non-compliance and the discussion with the operator on the monitoring report checklist and summary.¢ 1
(1) A plan of correction, including a specific agreed-upon time period for correction of the each non-compliance, is documented for each non-compliance on the monitoring report checklist.If When a previous non-compliance was not corrected by the agreed-upon time period, the non-compliance is documented again with a shorter plan of correction date.¢ 2
(2) Immediate correction is required when the non-compliance has a direct impact on the health, safety, or well-being of one or more children in care.
(3) Licensing staff requests the operator sign the monitoring report, summary and explains the operator's signature indicates acknowledgment of information recorded.
(4) If When the person operator or individual in charge refuses to sign, the refusal is documented on the report.
(5) The operator is given a copy of the completed monitoring report summary.
(b) Referrals to fire and health officials.If When non-compliance regarding fire or health requirements places children at risk or remains uncorrected, licensing staff requests an inspection by a fire, health, or Oklahoma Department of Environmental Quality official.If When there is non-compliance regarding smoke detectors, the child care provider is given a copy of the Smoke Detector Law, Section 324.11A of Title 74 of the Oklahoma Statutes.If When the non-compliance is not corrected by the third monitoring visit or is frequently repeated, copies of the monitoring reports summaries are sent provided with a cover letter to the appropriate fire official for enforcement of the law.
(c) Numerous, repeated, and serious non-compliance.
(1) Numerous non-compliance is any monitoring visit visits with:
(A) five or more items documented as non-compliant on the monitoring report checklist for a family child care home or large child care home;
(B) six or more items documented as non-compliant on the monitoring report checklist for a child care center, day camp, drop-in, out-of-school time, part-day children's program, or school-age program for sick children with a licensed capacity of less than 60; or
(C) seven or more items for a child care center, day camp, drop-in, out-of-school time, part-day children's program, or school-age program for sick children with a licensed capacity of 60 or more.¢ 3
(2) Repeated non-compliance is three or more documented incidents of non‑compliance with the same requirement within the last 12 months.For missing immunizations to be considered a repeat non‑compliance, they must be regarding the same child.
(3) Serious non-compliance is a non-compliance with licensing requirements that exposes exposing children to conditions that present presenting an imminent risk of harm.Imminent risk of harm must be assessed based on the child's age of the child, the amount of time the caregiver was out of compliance, and the caregiver's efforts to mitigate the risk.Serious non-compliances are identified through licensing observations, confirmed complaint investigations, and/or self-reported incidences.Some examples of non-compliance that may be considered as serious are:
(A) staff-child ratio;
(B) supervision of children;
(C) infant sleep environments;¢ 4
(D) prohibited disciplinary actions;
(E) licensed capacity;
(F) use of passenger restraints;
(G) water activities;
(H) pools and other water hazards;
(I) multiple hazards;
(J) weapons;
(K) reporting child abuse;
(L) knowingly permitting access to children by persons individuals identified as restricted or Child Care Restricted Registry registrants;
(M) failure to obtain background investigations or Child Care Restricted Registry searches;
(N) administering medication to children;
(O) room temperatures;
(P) heat sources and loss of any utility service;
(Q) compliance file and or posting;
(R) cardio-pulmonary resuscitation and first aid training;
(S) liability insurance; and
(T) vehicle liability insurance.
(d) Case management responses to non-compliant facilities.When there is numerous, repeated, or serious non‑compliance, one or more of the actions in (1) through (12) is taken.¢ 5
(1) Technical assistance.Technical assistance is offered along with referrals to consultants or training resources, if when necessary, to assist the operator in meeting and maintaining licensing requirements.
(2) Follow-up phone call.Follow-up phone calls to the program are made, and documented on Form 07LC080E, Licensing Services Supplemental Information.A copy of the documentation is mailed provided to the facility program.
(3) Non-compliance letters.A non-compliance letter may be written to the operator.A copy of the non‑compliance letter is sent to the owner or registered agent, if when applicable, with a copy of the monitoring report summary.¢ 6
(4) Return monitoring visit.A return monitoring visit may be made if when there is numerous, repeated, or serious non-compliance with licensing requirements or when non-compliance places children at imminent risk of harm.¢ 7If When the non‑compliance is associated with a specific time of day, such as understaffing after school or a lack of early morning supervision, the return visit is made at that approximate time.
(5) Use of witnesses.Licensing staff may be accompanied by a witness during monitoring visits if when the facility has program had numerous, repeated, or serious non‑compliances or if denial of request for licenseor revocation of the license is under consideration.The witness may be an Oklahoma Department of Human Services (OKDHS) (DHS) employee or a representative from the health or fire department, or law enforcement.The witness signs the monitoring report in the space provided summary.
(6) Increased monitoring visits.Licensing staff may increase the frequency of monitoring when there has been numerous, repeated, or serious non‑compliance or when the need for additional technical assistance is indicated.¢ 7
(7) Notice to comply.Licensing staff provides the facility program with Form 07LC037E, Notice to Comply, on which the facility and the program documents the plan of correction.Immediate correction may be required if when the non-compliance places the health, safety, or well‑being of one or more children in care at risk.¢ 8
(A) If When the plan submitted by the operator is unacceptable to licensing staff, licensing staff negotiates and documents a revised plan.
(B) If When Form 07LC037E is not submitted within the specified time period, licensing staff contacts the operator and documents the conversation.
(C) When non-compliances continue to place children at risk, licensing staff sends provides a letter stating the non-compliances and/or continued failure to correct non-compliances may result in revocation of license, denial of the application request for license, filing of an injunction, or Emergency Order.
(8) Office conference.Licensing staff may schedule an office conference with the owner and/or operator of the facility.The licensing supervisor is present at the office conference.The licensing regional programs manager (RPM) is informed of the office conference and may be present, if when necessary.
(A) Areas Program status, areas of non-compliance and progress toward meeting the plan(s) of correction are reviewed and technical assistance is offered.
(B) The conference is documented on Form 07LC080E, which and is signed by licensing staff, the operator, and any witnesses present.This documentation includes a list of every person who is individual present, the purpose of the conference, and verification of correct documentation regarding ownership.
(C) Form 07LC037E is completed if when one addressing these issues has not been completed recently.
(9) Consent agreement.OKDHS Child Care Services (CCS) and the facility owner may enter into a consent agreement whereby the facility program owner agrees to specific conditions in lieu of license denial of request for licenseor license revocation, per OAC Oklahoma Administrative Code (OAC) 340:110-1-9.5.
(10) Revocation or denial.Licensing staff may recommend the application to become licensed request for license be denied or the license be revoked when numerous, repeated, or serious non-compliance with requirements has been observed and documented or the facility program failed to adequately protect children, per OAC 340:110-1-10.¢ 9
(11) Voluntary cease care.With CCS State Office approval, the owner is asked to voluntarily cease caring for children.The RPM is notified of every situation involving a request for voluntary cease care.
(12) Voluntary closure.With CCS State Office approval, the owner is asked to voluntarily close the facility, per OAC 340:110-1-11.
(e) Case management responses when children are at risk.When licensing staff documents non-compliance with requirements or is investigating a complaint that may place the health, safety, or well-being of children at imminent risk of harm, options to consider during consultation with the operator and licensing supervisor are outlined in this subsection.¢ 10
(1) The operator is asked to immediately correct the non-compliance, for example, the staff person program personnel will not work be present or work alone with children at the facility pending the outcome of an investigation.
(2) The With CCS State Office approval, the owner is asked to discontinue voluntarily cease child care until the non-compliance is corrected or the investigation is complete.
(3) The With CCS State Office approval, the owner is asked to voluntarily close the facility.
(4) Licensing staff requests an Emergency Order, per OAC 340:110-1-9.4, when immediate action is needed to protect children in a child care facility.
(5) The owner and CCS agrees to enter into a consent agreement whereby the facility program owner agrees to specific conditions in lieu of license denial of request for licenseor license revocation, per OAC 340:110-1-9.5.
(6) Licensing staff may recommend the application request for license be denied or license be revoked when numerous, repeated, or serious non-compliance with requirements was observed and documented or the facility program failed to adequately protect children, per OAC 340:110-1-10.
(7) An injunction may be requested when a child care facility is:
(A) unlicensed;
(B) on application status;
(C) licensed;
(D) violating an Emergency Order;
(E) operating during an appeal following denial of request for licenseor revocation or denial and children are at risk; or
(F) violating the notice to cease and desist care following denial of request for licenseor revocation or denial of license.
(f) Notification to supervisor when children are at risk.If When during a monitoring visit licensing staff is concerned the health, safety, or well-being of children is at imminent risk, the licensing supervisor or OCCS CCS State Office staff is contacted immediately for an appropriate response.¢ 11
(g) Alternative method of compliance.OCCS CCS may approve an alternative method of compliance to a minimum licensing requirement.An alternative method of compliance may be authorized if when licensing determines the alternative method of compliance offers equal protection of health, safety, and well-being to children, meets the basic intent of the requirements for which the alternative compliance was being requested, and does not violate statutory requirements.
(1) An applicant or licensee may submit a written request with any supporting documentation on Form 07LC061E, Alternative Compliance Request, to the licensing specialist staff.A separate alternative method of compliance request is submitted for each requirement for which that an alternative method of compliance is requested.¢ 12
(2) Licensing specialist staff completes Form 07LC105E, Alternative Compliance Referral, and submits all documentation to the statewide licensing coordinator or designee for authorization.
(3) Approval of an alternative method of compliance does not set a precedent, and is independently evaluated on the merits of each request.
(4) The facility's program's record of compliance is taken into consideration in determining whether to approve the request.
(5) An alternative method of compliance is not authorized for critical items affecting the health and safety of a child, such as exceeding licensed capacity or staff-child ratios, fire safety violations, or behavior and guidance violations.
(6) Written notice from OCCS, Form 07LC075E, Notice of Alternative Compliance, stating the nature of the exception, is posted with the license.¢ 13
INSTRUCTIONS TO STAFF 340:110-1-9.3
Revised 7-1-1311-1-17
1.Timeframes for filing a grievance are provided on the monitoring summary.Refer to grievance procedures per Oklahoma Administrative Code (OAC) 340:110-1-15.When documenting non-compliance on the monitoring report checklist, licensing staff:
(1) documents what is observed rather than what is needed.For example, the licensing staff writes "milk was not served with lunch" instead of "milk must be served at lunch."; and
(2) does not document names of personnel associated with non-compliance on the monitoring checklist.Personnel names may be included in the discussion area of the monitoring summary and in the plan of correction as provided by the director or primary caregiver.
2.If When the time period suggested by the operator for correction of non-compliance is unacceptable to licensing staff, licensing staff states the expectation and negotiates an acceptable time period.Due dates of corrections are realistic.The following statement may be utilized when facilities are not meeting their plan of correction timeframes:"The facility program continues to be in non-compliance without an acceptable plan of correction."Discuss concerns with the regional programs manager or assistant licensing coordinator.
3.Non-compliance.
(1) Each numbered item that has been marked as non-compliant on the monitoring report checklist is counted once when there is more than one non‑compliance included in that item.
(2) A non-compliance may qualify in more than one category in determining numerous, repeated, or serious non-compliance.
(3) If When a non-compliance is documented a second time during an agreed-upon plan of correction for licensing, it is not considered again in determining numerous, repeated, or serious non-compliance.
4.Sleep environment may include:
(1) sleep equipment;
(2) bedding and blankets;
(3) infant sleep position; and
(4) infants in cribs with:
(A) bottles; or
(B) soft products or toys.; or
(C) other restricted items per licensing requirements.
5.Licensing staff must assess both the number and type of non-compliance observed during monitoring visits or substantiated as a result of a complaint investigation.
(1) Licensing staff responses go beyond documentation of the non-compliance and plan of correction on the monitoring report summary for any visit that has visits having numerous, repeated, or serious non-compliance.
(2) Licensing staff advises the supervisor of the planned response and, if the supervisor disagrees, the case history is staffed and a different or additional response may be utilized.
(3) The response is based on the seriousness of the non-compliance and the demonstrated ability and willingness of the provider to comply.
6.Non-compliance letters are sent provided within 10-Oklahoma Department of Human Services (DHS) business days, and include the monitoring visit date, and areas of non-compliance, and grievance timeframes.If When a critical non-compliance remains uncorrected at the next monitoring visit, a letter documenting both visits and a follow-up visit are required.
7.The timing of return visits is determined by the risk level to children, per OAC 340:110-1-9.2(e).A return visit does not routinely result in a change in the monitoring frequency plan.However, if when subsequent visits require a follow-up, increased monitoring is discussed with the supervisor.When a return visit is conducted, licensing documents staff-child ratios and correction of previous non-compliances on the monitoring report checklist.A full visit is completed if when numerous, repeated, and/or serious non-compliances are observed.
8.When Form 07LC037E, Notice to Comply, is completed, the plan of correction on the monitoring report summary is also completed.If When an acceptable Form 07LC037E is completed during a visit, it does not need to be included with the non-compliance letter.Form 07LC037E may be completed for numerous, or repeated non-compliances; however, completion is necessary for:
(1) serious non-compliances;
(2) substantiated complaint allegations; and/or
(3) additional non-compliances found during a complaint investigation.
9.Procedure and documentation for denial of request for license or revocation of license.Licensing staff:
(1) ensures that the non-compliance and a plan of correction are clearly documented on monitoring reports summaries, as well as the facility's program's action to implement any previous plans of correction;
(2) notes documents on the monitoring report that summary failure to correct the non-compliance may result in revocation of the license, denial of application request for license, filing of an injunction, or issuance of an Emergency Order, as applicable; and
(3) conducts monitoring visits at least monthly if when children are in care to monitor compliance and the plan(s) of correction.The same witness accompanies licensing staff on monitoring visits whenever possible.
10.The local resource and referral agency is notified, when the application request for licensure license is denied, or the license is revoked, or if when an Emergency Order is issued, by the statewide licensing coordinator.
11.Situations that might warrant supervisory contact include severe overcapacity, a caregiver is incapacitated or appears under the influence of alcohol or drugs, or children appear to be left alone.
12.Licensing specialist staff reviews all submitted documentation and may request any additional relevant information.
13.An alternative method of compliance does not replace plans of correction negotiated between licensing staff and providers.Providers Operators are not encouraged to request alternative methods of compliance if when the non‑compliance can feasibly be corrected in a reasonable time frame.
340:110-1-15. Grievance and complaint policy and procedure
Revised 1-1-1611-1-17
(a) Grievance and complaint policy.The owner or director of a licensed program may file a grievance or complaint regarding the application of any written or unwritten policy, rule, or regulation of the Oklahoma Department of Human Services (DHS) Child Care Services (CCS) or any decision by a DHS CCS employee affecting the program.Grievances must be requested within 30-calendar days of the documented non-compliance, violation of star criteria, or substantiated complaint allegation.A grievance or complaint is not accepted concerning an Emergency Order, denial of request for licenseor revocation of a child care facility license.The procedure for appealing this action is provided in Section 407 of Title 10 of the Oklahoma Statutes, the Oklahoma Child Care Facilities Licensing Act.
(b) Grievance or complaint procedure.Individuals wanting to file a grievance or complaint are encouraged to seek informal resolution of his or her concerns by contacting the appropriate licensing supervisor, who attempts to resolve the matter.¢ 1
(1) When a resolution cannot be reached at the local level or through verbal conversation with CCS State Office staff, the grievant or complainant is requested to file a written request with the licensing supervisor within 15-calendar days of this communication.
(2) The licensing supervisor notifies the licensing regional programs manager (RPM) and statewide licensing coordinator that a formal grievance or complaint was filed and efforts were made to resolve the issue.The licensing supervisor responds to written grievances or complaints within 10-Oklahoma Department of Human Services (DHS) DHS business days of receipt.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.¢ 2 through 4
(3) When the grievant or complainant is not satisfied with the proposed resolution, he or she may appeal to request review by the RPM.The RPM responds to written grievances or complaints within 10-DHS business days of receipt.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.¢ 3 & 4
(4) When the grievant or complainant is not satisfied with the proposed resolution, he or she may appeal to request review by the Child Care Advisory Committee (CCAC) statewide licensing coordinator.The grievant is informed he or she may request review by the Peer Review Board of the Child Care Advisory Committee (CCAC), prior to review by the statewide licensing coordinator.The statewide licensing coordinator forwards information to the Peer Review Board, when applicable or proceeds with the review.The CCAC responds within 10 DHS business days of receipt to the statewide licensing coordinator with advisement for resolution.
(5) When applicable, the Peer Review Board responds to the statewide licensing coordinator with advisement for resolution within 10-DHS business days of receipt.
(5)(6) The statewide licensing coordinator notifies the grievant or complainant of the Child Care Service (CCS) CCS decision within 10-DHS business days or when applicable 10-DHS business days of receipt of the CCAC Peer Review Board advisement.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.¢ 3 & 4
(6)(7) When the grievant or complainant is not satisfied with the proposed resolution, he or she may appeal to request review by the CCS director, Adult and Family Service (AFS) director, and Director of Human Services (Director), respectively.The CCS director, AFS director, and Director each respond within 10-DHS business days of receipt and the Director's decision is final.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.The Director's decision is final.¢ 4
(7)(8) The grievant or complainant is requested to file only one written complaint grievance.Referrals for resolution are made by the DHS staff involved in the response.
INSTRUCTIONS TO STAFF 340:110-1-15
Revised 1-1-1611-1-17
1.When the supervisor determines the non-compliance is accurate, grievance tracking information is entered in the database.When the supervisor is able to determine a non-compliance should not have been documented:
(1) the supervisor ensures the non-compliance is removed from the database, if when applicable;
(2) documents the decision on 07LC080E, Licensing Services Supplemental Information; and
(3) mails provides a copy of 07LC080E to the program.
2.When a written grievance or complaint is submitted, the supervisor:
(1) removes the non-compliance or complaint finding in question from the database until a final decision is reached; and
(2) documents the removal on 07LC080E.
3.When the grievance or complaint decision is reached at each level, correspondence indicating the decision and grievance timeframes is mailed are provided to the grievant or complainant.Grievance tracking information is entered in the database.
4.When the final grievance or complaint decision is reached:
(1) correspondence indicating the decision is mailed provided to the grievant or complainant and when applicable, the correspondence is forwarded to CCS Child Care Services;
(2) copies of the correspondence are placed in the program file; and
(3) appropriate action is taken to reflect the decision on in the database.
PART 3. LICENSING SERVICES - RESIDENTIAL CARE AND AGENCIES
340:110-1-45. Application process Request for license process
Revised 7-1-1011-1-17
(a) Application Request for license packets.Application Request for license packets, which include including the appropriate licensing requirements and application request for license forms, are provided to potential licensees upon request.¢ 1This The packet includes:
(1) Form 07C040E 07LC040E, Request for License – Child Placing Agency, Residential Child Care, and Children's Shelter Request for License Child-Placing Agency and Residential Child Care;
(2) Form 07LC041E, Staff Information - Child Care Facility Personnel Information; and
(3) Form 07LC043 07LC043E, Child Placing Agency Compliance Review, or Form 07LC056E, Residential Child Care Facility Compliance Review Compliance Review-Residential Child Care Facility, as applicable.; and ¢ 2
(4) Appendix L-7, Ownership Proof Chart.
(b) Receipt of application request for license.Upon receipt of the application request for license packet to by Oklahoma Child Care Services (CCS), the case is assigned a license number and a file is created.¢ 3Contact When permission to operate has not been granted, contact is made by phone every two months and documented on Form 07LC080E, Licensing Services Supplemental Information, when children have not been accepted into care.¢ 4
(c) Permission to operate.The facility program may be granted permission to operate on application status.If When the licensing staff determines that an applicant is temporarily unable to comply with all licensing requirements, but the services are needed and the non-compliance does not place children at risk of imminent harm, these situations are staffed with programs manager for permission to operate.Permission to operate can not cannot exceed 30-calendar days.¢ 5
(d) Reopening a residential child care facility program or child-placing agency.A new application request for license must be completed when a residential facility program or child-placing agency that has been closed is reopened.Prior to the issuance of the license, background investigations must be conducted per OAC 340:110-1-5 Oklahoma Administrative Code (OAC) 340:110-1-8.1.
(e) Computer checks. Computer checks to identify prior involvement with the Oklahoma Department of Human Services are completed on required persons individuals per OAC 340:110-1-51 340:110-1-8.1.¢ 6
(f) Withdrawal of application request for license.If When a residential child care facility program or child-placing agency applicant;:
(1) wishes requests to withdraw the application request for license prior to issuance of an initial permit, the licensing staff:
(1)(A) documents this request on Form 07LC080E;
(2)(B) confirms that no children are in care, or no child-placing activity is being conducted; and
(3)(C) may close the case unless negative action is warranted.; and ¢ 7 & 8
(2) has not had children in care or conducted child-placing activity for more than 12 months, the program or agency is requested to withdraw the request for license.When the program or agency:
(A) agrees to withdraw the request, licensing staff:
(i) documents this discussion on Form 07LC080E;
(ii) provides a letter notifying the applicant of withdrawal of request for license; and
(iii) proceeds with case closure; or
(B) does not agree to withdraw the request, licensing staff:
(i) documents this discussion on Form 07LC080E;
(ii) provides a letter notifying the applicant of case closure within 10-calendar days of receipt of letter; and
(iii) proceeds with case closure.¢ 7 & 8
INSTRUCTIONS TO STAFF 340:110-1-45
Revised 7-1-1111-1-17
1.If When the applicant operates a facility program for residential care, the Office of the State Fire Marshal and local health department are notified in writing to request an inspection of the premises.
2.Child-placing agencies use Form 07LC043E, Child Placing Agency Compliance Review;, andresidential child care facilities programs use Form 07LC056E, Residential Child Care Facility Compliance Review Compliance Review-Residential Child Care Facility.
3.Upon receipt of a complete application Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care, the licensing staff conduct a search of the Child Care Restricted Registry for the applicant per OAC Oklahoma Administrative Code (OAC) 340:110-1-10.1(c).An application A request for license is considered complete when:
(1) all necessary items of information are complete on the application Form 07LC040E; and
(2) all supporting documentation has been provided.; and
(3) proof of ownership according to Oklahoma Department of Human Services (DHS) Appendix L-7, Ownership Proof Chart.
4.The licensing staff makes an appointment to inspect the facility program, measure the square footage, draw a floor plan, and determine the licensed capacity.If When the facility program does not begin operating within six months, the licensing staff contacts the facility program or child-placing agency to determine whether the application will remain open or be withdrawn.A monitoring frequency plan of six is entered into in the database.
5.A monitoring frequency plan of 12 is entered into in the database.
6.Licensing staff conduct an OKDHS a DHS computer check on applicable persons individuals prior to permission to operate being given.
7.When a withdrawal of application request for license is requested, the licensing specialist mails staff provides a copy of the application Form 07LC040E to the facility program and the original application is maintained in the facility program file.
8.When an application can not a request for license cannot be approved due to a facility program not meeting minimum licensing requirements, licensing staff discuss with the facility discusses the withdrawal of their application the request for license with the program.If When a facility program declines to withdraw, refer licensing staff refers to the programs manager for appropriate action.Written request from the facility program for withdrawal is not required; however, licensing staff document in a letter or on Form 07LC080E, Licensing Services Supplemental Information, documents:
(A) specific requirements that are not met;
(B) licensing's request for the withdrawal of their application request for license; and
(C) facility's the program's response to request for withdrawal.
340:110-1-47.2. Non-compliance with requirements
Revised 11-1-1611-1-17
(a) Documentation of non-compliance.Licensing staff documents clearly and concisely areas of non-compliance and the discussion with the operator on the monitoring report checklist and summary.¢ 1
(1) A plan of correction, including an agreed-upon time period for correction of the non-compliance, is documented on the monitoring report for each checklist.Each non-compliance or documentation indicates a plan of correction will be submitted by the executive or program director.When a previous non-compliance was not corrected by the agreed-upon time period, the non-compliance is documented again with a shorter plan of correction date.¢ 2
(2) Immediate correction is required when the non-compliance has a direct impact on the health, safety, or well-being of a child(ren) in care.
(3) Licensing staff requests the operator sign the monitoring report summary, explaining the operator's signature indicates acknowledgment of the recorded information.
(4) When the operator or individual in charge refuses to sign, the refusal is documented on the report summary.
(5) The operator is given a copy of the completed monitoring report summary.
(b) Referrals to fire and health officials.When non-compliance regarding fire or health requirements places children at risk of harm or remains uncorrected, licensing staff requests an inspection by a fire, health, or Oklahoma Department of Environmental Quality (ODEQ) official.
(c) Case management responses to non-compliant facilities.The responses in this subsection may be used when there is repeated, numerous, or serious non-compliance.¢ 3
(1) Technical assistance.Technical assistance is offered along with referrals to consultants or professional development resources, when necessary, assisting the operator in meeting and maintaining licensing requirements.
(2) Follow-up phone call to the program.Phone calls are documented on Form 07LC080E, Licensing Services Supplemental Information, and a copy is mailed to the program.
(3) Non-compliance letter.A non-compliance letter may be written to the operator.Licensing staff sends provides a copy of the monitoring report checklist and non-compliance letter to the governing board or owner, when applicable.¢ 4
(4) Return monitoring visit.A return monitoring visit may be made when there is repeated, numerous, repeated, or serious non-compliance with licensing requirements or when non-compliance places children at imminent risk of harm.When the non-compliance is associated with a specific time of day, such as understaffing after school or a lack of early morning supervision, the return visit is made at that the approximate time.¢ 5
(5) Use of witnesses.Licensing staff may be accompanied by a witness during monitoring visits when the program has had numerous, repeated, or serious non-compliances or when license denial of request for license or revocation of a license is being considered.The witness may be an Oklahoma Department of Human Services (DHS) employee, or a representative from the fire or health department, or law enforcement.The witness signs the monitoring report summary in the space provided.
(6) Increased monitoring visits.Licensing staff may increase the frequency of monitoring when there has been numerous, repeated, or serious non-compliance or when the need for additional technical assistance is indicated.
(7) Notice to comply.Licensing staff provides the program with Form 07LC037E, Notice to Comply, on which and the program documents the plan of correction.Immediate correction may be required when the non-compliance places the health, safety, or well-being of a child(ren) one or more children in care at risk.¢ 6
(A) When the plan submitted by the operator is unacceptable to licensing staff, licensing staff negotiates and documents a revised plan.
(B) When the operator does not submit Form 07LC037E within the specified time period, licensing staff contacts the operator and documents the conversation.
(C) When non-compliances continue to place children at risk, licensing staff sends provides a letter stating non-compliances and/or continued failure to correct non-compliances may result in revocation of license, denial of the request for license, filing of an injunction, or issuance of an Emergency Order.
(8) Office conference.Licensing staff may schedule an office conference with the owner of the program owner or operator.The programs manager is present at the office conference.Areas Program status, areas of non-compliance and progress toward meeting the plan(s) of correction are reviewed and technical assistance is offered.The office conference is documented on Form 07LC080E and signed by licensing staff, the operator, and witnesses present.This documentation includes a list of the individuals present, purpose of the conference, and verification of correct documentation regarding ownership.Form 07LC037E is completed when one addressing these issues has not been completed recently.
(9) Consent agreement.DHS Child Care Services (CCS) and the program owner may enter into a consent agreement whereby the program owner agrees to specific conditions in lieu of license denial of request for license or revocation of a license.
(10) Revocation or denial.Licensing staff may recommend the request for license be denied or the license revoked when numerous, repeated, or serious non-compliance with requirements has been observed and documented or the program failed to adequately protect children.¢ 7
(11) Voluntary cease care.With CCS State Office approval, the owner is asked to voluntarily cease caring for children or child-placing activity.The programs manager is notified of every situation involving a request for voluntary cease care or child-placing activity.
(12) Voluntary closure.With Child Care Services (CCS) state office CCS State Office approval, the owner is asked to voluntarily close the program.
(d) Case management responses when children are at risk.When licensing staff documents non-compliance with requirements or is investigating a complaint that children may be at imminent risk of harm, options to consider during consultation with the operator and the programs manager are outlined in this subsection.
(1) The operator is asked to immediately correct the non-compliance; for example, the personnel will not work be present or work alone with children at the program or be present at the facility pending the outcome of an investigation.
(2) The operator is asked to voluntarily cease care until the non-compliance is corrected or the investigation is complete.
(3) The With CCS State Office approval, the owner is asked to voluntarily close the program.
(3)(4) Licensing staff requests an issuance of an Emergency Order when immediate action is needed to protect children in a child care program on permit, licensed, on notice of revocation or denial, or operating during an appeal following revocation or denial.
(4)(5) The CCS and the owner agrees to may enter into a consent agreement whereby the program owner agrees to specific conditions in lieu of license denial of request for license or revocation of a license.
(5)(6) Licensing staff may recommend the request for license be denied or license be revoked when numerous, repeated, or serious non-compliance with requirements was observed and documented or the program failed to adequately protect children.
(6)(7) An injunction may be requested when the residential program or child-placing agency is:
(A) unlicensed;
(B) on application status;
(C) licensed;
(D) violating an Emergency Order;
(E) operating during an appeal following revocation or denial of request for license or revocation of a license and children are at risk of harm; or
(F) violating the notice to cease and desist care following denial of request for license or revocation of license.
(e) Notification to supervisor when children are at risk.When licensing staff, during a monitoring visit is concerned the health, safety, or well-being of children is at imminent risk, the licensing supervisor or CCS State Office staff is contacted immediately for an appropriate response.¢ 8
(f) Alternative method of compliance.CCS may approve an alternative method of compliance to a minimum licensing requirement.An alternative method of compliance may be authorized when licensing determines the alternative method of compliance offers equal protection of health, safety, or well-being to children, meets the basic intent of the requirements for the alternative compliance being requested, and does not violate statutory requirements.
(1) An applicant or licensee may submit a written request with supporting documentation on Form 07LC061E, Alternative Compliance Request, to licensing staff.A separate alternative method of compliance request is submitted for each requirement that an alternative method of compliance is requested.¢ 9
(2) Licensing staff completes Form 07LC105E, Alternative Compliance Referral, and submits all documentation to the statewide licensing coordinator or designee for authorization.
(3) Approval of an alternative method of compliance does not set a precedent, and is independently evaluated on the merits of each request.
(4) The program's record of compliance is taken into consideration in determining whether to approve the request.
(5) An alternative method of compliance is not authorized for critical items affecting the health and safety of a child, such as exceeding licensed capacity of a residential program, staff-child ratios, fire safety violations, or behavior and guidance violations.
(6) Form 07LC075E, Notice of Alternative Compliance, stating the nature of the exception, is posted with the license.¢ 10
INSTRUCTIONS TO STAFF 340:110-1-47.2
Revised 11-1-1611-1-17
1.Timeframes for filing a grievance regarding non-compliance with requirements are provided on the monitoring summary.Refer to grievance procedures per Oklahoma Administrative Code (OAC) 340:110-1-54.When documenting non-compliance on the monitoring report checklist, licensing staff:
(1) documents what is observed rather than what is needed.For example, licensing staff writes "milk was not served with lunch" instead of "milk must be served at lunch";
(2) does not document names of personnel associated with non-compliance on the monitoring checklist.Personnel names may be included in the discussion area of the monitoring summary and in the plan of correction as provided by the operator;
(2)(3) discusses areas of non-compliance with the operator and documents the discussion in writing on the monitoring report checklist;
(3)(4) provides a copy of the monitoring report summary to the operator and governing board or owner, as applicable; and
(4)(5) documents on the report when the operator or individual in charge refuses to sign the monitoring report checklist.
2.Plan of correction.
(1) When the time period suggested by the operator for correction of non-compliance is unacceptable to licensing staff, licensing staff states his or her expectation and negotiates an acceptable time period.Due Correction due dates of corrections are realistic.The following statement may be utilized when facilities are not meeting the plan of correction timeframes:"The program continues to be in non-compliance without an acceptable plan of correction," however, the program must meet and comply with licensing requirements.Licensing staff discuss any concerns with the programs manager.
(2) The plan of correction may include an agreement by the administrator or director to specific conditions, such as agreeing to restrict an individual convicted of child abuse from the premises, or agreeing not to allow certain staff to transport children because of a prior conviction for driving under the influence (DUI).The agreement:
(A) is placed in a prominent location in the program's file, such as stapled inside the front cover, so it is readily seen by anyone individuals reviewing the case record; and
(B) includes conditions that must be complied with, but does not include confidential information.
3.Licensing staff assesses both the number and type of non-compliance observed during monitoring visits or substantiated as a result of a complaint investigation.Response is based on the seriousness of the non-compliance and the demonstrated ability and willingness of the provider operator to comply.
(1) Licensing staff response goes beyond documentation of the non-compliance and a plan of correction on the monitoring report checklist when a monitoring visit involves:
(A) 10 or more areas of non-compliance, with each numbered item marked as a non-compliance on the monitoring report checklist, counted once when there is more than one non-compliance included in that item;
(B) areas of non-compliance repeated three or more times during a 12-month period; or
(C) non-compliance that is serious or places children in imminent risk of harm.
(2) Licensing staff advises the residential and child-placing agency programs manager of the planned response and, when the supervisor disagrees, the case history is staffed and a different or additional response may be utilized.
4.Licensing staff sends provides a non-compliance letter within 10-agency Department of Human Services (DHS) business days, and includes the monitoring visit date, and the area(s) of non-compliance, and grievance timeframes.When a non-compliance remains uncorrected at the next monitoring visit, a letter documenting both visits and a follow-up visit are required.
5.The timing of a return visit is determined by the risk level to children per OAC 340:110-1-47.2.A return visit does not routinely result in a change in the monitoring frequency plan.When subsequent visits require a follow-up, increased monitoring is discussed with the programs manager.When a return visit is conducted, licensing documents staff-child ratios and correction of previous non-compliance on the monitoring report checklist.A full visit is completed when numerous, repeated, or serious non-compliances are observed.
6.When Form 07LC037E, Notice to Comply, is completed, the plan of correction on the monitoring report summary is also completed.When an acceptable Form 07LC037E is completed during a visit, it does not need to be included with the non-compliance letter.Form 07LC037E may be completed for numerous or repeated non-compliances; however, completion is necessary for:
(1) serious non-compliances;
(2) substantiated complaint allegations; or
(3) additional non-compliances found during a complaint investigation.
7.Procedure and documentation for denial of request for license or revocation of license.Licensing staff:
(1) Licensing staff ensures the non-compliance and a plan of correction are clearly documented on the monitoring report checklist, and the program's action to implement any previous plans of correction.It is noted on the monitoring report summary that failure to correct the non-compliance may result in denial of request for license, revocation of license, filing an injunction, or issuance of an Emergency Order, as applicable.; and
(2) Licensing staff conducts monitoring visits at least monthly to monitor compliance and the plan(s) of correction.The same witness accompanies licensing staff on monitoring visits whenever possible.
8.Situations that might warrant supervisory contact include severe overcapacity, a caregiver is incapacitated or appears under the influence of alcohol or drugs, or children appear to be left alone.
9.Licensing staff reviews all submitted documentation and may request additional information.
10.An alternative method of compliance does not replace plans of correction negotiated between licensing staff and operators.Operators are not encouraged to request alternative methods of compliance when the non-compliance can feasibly be corrected in a reasonable time frame.
340:110-1-54. Grievance and complaint policy and procedure
Revised 1-1-1611-1-17
(a) Grievance and complaint policy.The owner, director, or administrator of a licensed child care program or agency may file a grievance or complaint regarding the enforcement of any written or unwritten policy, rule, or regulation of the Oklahoma Department of Human Services (DHS) Child Care Services (CCS) or any decision by a DHS CCS employee affecting the program.Grievances must be requested within 30-calendar days of the documented non-compliance or substantiated complaint allegation.A grievance or complaint is not accepted concerning an Emergency Order, denial of request for license or revocation of a child care facility program license.The procedure for appealing requesting a review of this action is provided for in the Oklahoma Child Care Facilities Licensing Act, 10 O.S. § 407.
(b) Grievance or complaint procedure.Individuals wanting to file a grievance or complaint are encouraged to seek informal resolution of his or her concerns by contacting the programs manager, who attempts to resolve the matter.¢ 1
(1) When a resolution cannot be reached at the local level or through verbal conversation with CCS State Office staff, the grievant or complainant is requested to file a written request with the programs manager within 15-calendar days of this communication.
(2) The programs manager notifies the statewide licensing coordinator a formal grievance or complaint was filed and efforts were made to resolve the issue.The programs manager responds to written grievances or complaints within 10-Department of Human Services (DHS) business days of receipt.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.¢ 2 through 4
(3) When the grievant or complainant is not satisfied with the proposed resolution, he or she may appeal to the statewide licensing coordinator.The statewide licensing coordinator responds to written grievances or complaints within 10 DHS business days of receipt.¢ 3 & 4
(4) When the grievant or complainant is not satisfied with the proposed resolution, he or she may appeal to request review to the Child Care Advisory Committee (CCAC) statewide licensing coordinator.The grievant is informed he or she may request review by the Peer Review Board of the Child Care Advisory Committee (CCAC), prior to review by the statewide licensing coordinator.The statewide licensing coordinator forwards information to the Peer Review Board, when applicable or proceeds with the review.The CCAC responds within 10 DHS business days of receipt to the Child Care Services (CCS) director with advisement for resolution.
(4) When applicable, the Peer Review Board responds to the statewide licensing coordinator with advisement for resolution within 10-DHS business days of receipt.¢ 3 & 4
(5) The CCS director statewide licensing coordinator notifies the grievant or complainant of the CCS decision within 10-DHS business days or when applicable 10-DHS business days of receipt of the CCAC Peer Review Board advisement.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.¢ 3 & 4
(6) When the grievant or complainant is not satisfied with the proposed resolution, he or she may appeal request review to the CCS director, Adult and Family Service (AFS) director and DHS Director of Human Services (Director), respectively.The CCS director, AFS director and Director each respond within 10-DHS business days of receipt and the Director's decision is final.The grievant is informed the request for additional reviews must be submitted within 15-calendar days of the correspondence date.The Director's decision is final.¢ 4
(7) The grievant or complainant is requested to file only one written complaint grievance.Referrals for resolution are made by the DHS staff involved in the response.
INSTRUCTIONS TO STAFF 340:110-1-54
Revised 1-1-1611-1-17
1.When the programs manager determines the non-compliance is accurate, grievance tracking information is entered in the database.When the programs manager is able to determine a non-compliance should not have been documented:
(1) the programs manager insures the non-compliance is removed from the database, if when applicable;
(2) documents the decision on 07LC080E, Licensing Services Supplemental Information; and
(3) mails provides a copy of the 07LC080E to the program.
2.When a written grievance or complaint is submitted, the programs manager:
(1) removes the non-compliance or complaint finding in question from the database until a final decision is reached; and
(2) documents the removal on 07LC080E.
3.When the grievance or complaint decision is reached at each level, correspondence indicating the decision and grievance timeframes is mailed are provided to the grievant or complainant.Grievance tracking information is entered in the database.
4.When the final grievance or complaint decision is reached:
(1) correspondence indicating the decision is mailed provided to the grievant or complainant and when applicable, the correspondence is forwarded to CCS Child Care Services;
(2) copies of the correspondence are placed in the program file; and
(3) appropriate action is taken to reflect the decision on in the database.
340:110-3-309. Addendum requirements for out-of-school time programs
Issued 1-1-16Revised 11-1-17
(a) Out-of-school time programs.Out-of-school time programs operate when school is not in session, such as before- and after-school and school breaks and serve 3-year-olds and older who are attending or have completed pre-kindergarten or above.
(b) Common requirements.Programs are required to meet the common requirements in Oklahoma Administrative Code (OAC) 340:110-3-275 through 340:110-3-305, unless the addendum requirements in this Section state otherwise.
(c) Posted records and documentation.Programs are exempt from or may vary posted requirements according to requirements listed in (1) and (2) of this subsection.Posted:
(1) hand washing procedures per OAC 340:110-3-281.1(g) are not required when the program is in a school and different hand washing procedures are posted by the school; and
(2) ratios and group sizes, daily classroom schedule, and weekly lesson plans, per OAC 340:110-3-281.1(i)(4) through (6) may be maintained in a portable method with the teaching personnel.The remainder of the posted in classroom items in (i) may be posted in a prominent location when a large area, such as a gymnasium or cafeteria, is used as classrooms.
(d) Immunization records.Programs operated by a school may use the school's immunization records to meet the requirement per OAC 340:110-3-281.4(b).
(e) General professional development.Personnel are exempt from the Entry Level Child Care Training (ELCCT) or equivalent requirement per OAC 340:110-3-284(d).
(f) Director qualifications.Directors are exempt from:
(1) the Oklahoma Director's Credential requirement per OAC 340:110-3-284.1(b).However, directors obtain at least an Oklahoma Professional Development Ladder (OPDL) certificate per OAC 340:110-3-284(b) and have:
(1)(A) a high school diploma, General Educational Development (GED), or Licensing approved equivalent and two years of full-time experience in an out-of-school time, educational, or child care setting;
(2)(B) a high school diploma, GED, or Licensing approved equivalent and 12 college credit hours in child development, elementary or secondary education, or a closely related subject and one year of satisfactory experience in an out-of-school time, educational, or child care setting; or
(3)(C) an associate or bachelor's degree with at least 12 college credit hours in child development, elementary or secondary education, or a closely related subject.; and
(2) licensed capacity requirements when counting as master teachers per OAC 340:110-3-284.2(b).Directors meeting master teacher qualifications may count as master teachers regardless of licensed capacity.
(g) Director responsibilities.Directors are free from direct care responsibilities one hour per day rather than three hours per day per OAC 340:110-3-284.1(b).
(h) Director professional development.Directors meet the continuing professional development requirements per OAC 340:110-3-284(d) to maintain at least 20 clock-hours every 12 months.The clock-hours meet the criteria identified in the footnotes per OAC 340 Appendix FF - Oklahoma Professional Development Ladder.
(i) Master teacher qualifications.Master teachers are exempt from position specific educational and OPDL requirements per OAC 340:110-3-284.2(b).However, master teachers have at least:
(1) a high school diploma, GED, or Licensing approved equivalent and one year of satisfactory full-time experience in an out-of-school time, educational, or child care setting;
(2) a high school diploma, GED, or Licensing approved equivalent and 12 college credit hours in child development, elementary or secondary education or a closely related subject; or
(3) an associate degree with at least six college credit hours in child development, early childhood, elementary or secondary education or a closely related subject.
(j) Teacher qualifications.Teachers hired on or before September 1, 1997, are exempt from the position specific educational requirements per OAC 340:110-3-284.2(c).
(k) Groups and classrooms.Programs are exempt for kindergarten and older children from the:
(1) one group per classroom requirement per OAC 340:110-3-286(b); and
(2) classroom requirements per OAC 340:110-3-286(b) provided the area is divided into interest areas, including portable means such as tables and area rugs.
(l) Weekly lesson plans.Programs are exempt from the lesson plan for each classroom requirement per OAC 340:110-3-289(d) for children who are attending or have completed kindergarten or above.However, the lesson plans for these children are at least by the activity type, such as art and science.
(m) Play equipment accessibility.Play equipment may be stored on open storage or in cabinets, closets, or similar storage, provided children may easily access the equipment when desired.
(n) Rest time.Programs are exempt from the scheduled rest time requirement per OAC 340:110-3-296(c) for 4-year-olds and younger who had an afternoon rest time in a pre-kindergarten program.
(o) Required meals and snacks.In addition to the required meals and snacks requirement per OAC 340:110-3-298(a) programs that provide care:
(1) before 7:00 a.m. serve a morning meal or snack; and
(2) in the afternoon serve an afternoon snack.
(p) Electrical outlets.Programs are exempt from the unused electrical outlet requirement per OAC 340:110-3-300(f) for 5-year-olds.
(q) Toileting and hand washing facilities.Programs are exempt from the one toilet and sink quantity requirement per OAC 340:110-3-300(m) and (n) for children who are attending or have completed kindergarten provided one of these options is met:
(1) one toilet and sink for every 25 children; or
(2) one toilet and sink for every 50 children, with a minimum of two toilets and sinks and at least one restroom for males and one for females.
(r) Food service area hand washing sink.Programs licensed before September 1, 1997, in a facility originally designed as a family residence may meet the separate hand washing sink requirement for the food service area per OAC 340:110-3-300(n) with a sink in a restroom on the same floor as the food service area, unless the program changes locations.
(s) Indoor square footage.Programs are exempt from having to divide large areas into classrooms in order to count them toward the licensed capacity per OAC 340:110-3-301(b).
(t) Fencing.When the program is in a school, Licensing may grant an exception to the enclosed outdoor play area requirement per OAC 340:110-3-301(c) for 4-year-olds when the safety of children is ensured.The fencing exception per OAC 340:110-3-301(c) applies at all times, rather than only during a scheduled occasional supervised activity.
(u) Equipment.Programs are required to meet the indoor basic and play equipment type and quantity requirements per OAC 340 Appendix MM - Equipment, according to these requirements.
(1) For 3-year-olds, the 3-year-old equipment chart is used.
(2) For 4-year-olds, the 4- and 5-year-old equipment chart is used.
(3) For 5-year-olds and older, the 6-year-old and older equipment chart is used.
(4) Book quantity requirements do not apply provided programs at least have:
(A) five books for one to 10 children;
(B) 10 books for 11 to 20 children;
(C) 15 books for 21 to 30 children; and
(D) 20 books for 31 to 40 children.
(5) The program may require parents provide, for their children, rest equipment and bedding that meets the requirements.
