COMMENT DUE DATE:
March 17, 2017
DATE:
March 7, 2017
Mitzi Lee, Policy Liaison Child Care Services (405) 521-2556
Dena Thayer, Legal Services - Policy, Programs Administrator(405) 521-4326
Nancy Kelly, Legal Services - Policy, Policy Specialist (405) 522-6703
RE:
Non-APA WF 17-C
The proposed policy is Non-APA . This proposal is not subject to Administrative Procedures Act
SUBJECT:CHAPTER 110. LICENSING SERVICES
Instructions to Staff (ITS) Only Amended
Subchapter 1. Licensing Services – Child Care
340:110-1-8.3 [AMENDED]
340:110-1-8.6 [AMENDED]
340:110-1-8.10 [AMENDED]
340:110-1-9.2 [AMENDED]
340:110-1-13 [AMENDED]
340:110-1-21 [AMENDED]
Part 3. Licensing Services – Residential Care and Agencies
340:110-1-47 [AMENDED]
340:110-1-47.1 [AMENDED]
340:110-1-54.1 [AMENDED]
(Reference WF 17-C)
SUMMARY:
Subchapter 1. Licensing Services – Child Care
Oklahoma Administrative Code (OAC) 340:110-1-8.3 is amended to clarify on-going monitoring of quality rating criteria.
OAC 340:110-1-8.10 ITS is amended to identify approved program environment assessment tools.
OAC 340:110-1-9.2 ITS is amended to clarify complaint process and procedures involving:(1) coordination with Office of Inspector General and local law enforcement agencies; (2) discussion of allegations; (3) interviews and documentation of interviews; and (4) grievance timeframe notification.
OAC 340:110-1-13 ITS is amended to clarify unlicensed complaint process when coordinating with Child Welfare Services (CWS).
OAC 340 110-1-21 ITS is amended to clarify quality assurance training when findings have been identified.
Part 3. Licensing Services – Residential Care and Agencies
OAC 340:110-1-47 ITS is amended to clarify proper documentation when conducting partial or full monitoring visits.
OAC 340:110-1-47.1 ITS is amended to clarify complaint process and procedures involving:(1) referral documentation; (2) discussion of allegations; (3) interviews and documentation of interviews; (4) confidential information; and (5) grievance timeframe notification.
OAC 340:110-1-54.1 ITS is amended to clarify unlicensed compliant documentation.
SUBCHAPTER 1. GENERAL PROVISIONS
PART 1. LICENSING SERVICES-CHILD CARE
340:110-1-8.3. Certification of programs to receive a differential quality rating and improvement level
Revised 11-1-16 ITS Only
(a) Purpose.The differential quality rating and improvement system was developed to improve the overall quality of care by increasing the professional development and education of child care providers and to provide the public with a method to evaluate child care.Certification is required for a provider to receive a differential quality rate for children whose families are receiving subsidized child care benefits through the Oklahoma Department of Human Services (DHS).
(b) Criteria for child care centers and homes certification levels.The certification process and quality rating and improvement criteria for child care programs is described in Oklahoma Administrative Code (OAC) 340:110-1-8.3 through 340:110-1-8.10.
(c) Request for star certification process.The following process is required for certification.
(1) Criteria for one star centers and homes.A program operating on a permit or license is automatically designated as a one star program.
(2) Criteria for one star plus centers and homes.To be approved as a one star plus program, the owner must complete and submit Form 07LC025E, Request for Child Care Center Star Certification, or Form 07LC027E, Request for Family Child Care Home Star Certification, and meet all criteria described in (b) of this Section.
(3) Criteria for two star centers and homes.To be approved as a two star program, the owner must either:
(A) complete Form 07LC025E or Form 07LC027E, and meet all one star plus and two star criteria described in (b) of this Section; or
(B) complete Form 07LC025E or Form 07LC027E, meet licensing status and compliance per OAC 340:110-1-8.4, and provide documentation the program is:
(i) accredited by a national accrediting body approved by Child Care Services (CCS); or¢ 1
(ii) a Head Start grantee and compliant with Head Start Performance Standards.
(4) Criteria for three star centers and homes.To be approved as a three star program, the owner must:
(A) complete Form 07LC025E or Form 07LC027E; and
(B) meet one star plus and two star criteria described in (b) of this Section, and either be:
(i) accredited by a national accrediting body approved by CCS; or¢ 1
(ii) a Head Start grantee and compliant with Head Start Performance Standards.
(d) Approval for certification for centers and homes.The procedures contained in this subsection are followed for initial approval for certification and requests for higher certification level.
(1) The owner submits Form 07LC025E, or Form 07LC027E, and required documentation to CCS.¢ 2 & 3
(2) The stars outreach specialist determines whether the certification criteria have been met by reviewing the case record and documentation submitted.If it has been four months since the last monitoring visit, the stars outreach specialist requests licensing staff make a monitoring visit.The stars outreach specialist reviews all information and consults with licensing staff and the stars program administrator or designee as needed, prior to approval.
(A) The monitoring visits and substantiated complaints for the last 24 months of operation are reviewed to determine whether the program meets the compliance criteria.¢ 4If, within the 24-month period reviewed, there are numerous, repeated, or serious non-compliance per OAC 340:110-1-8.4 or a single serious incident resulting in injury or imminent risk of harm to a child, the request may be denied.¢ 5
(B) If the program meets the criteria, the stars outreach specialist sends a letter confirming the approval and the effective date and updates the licensing database.¢ 6If numerous, repeated, or serious non-compliance was identified during review of the case for the star certification, the letter includes a statement that these non-compliances are considered, and may result in reduction of the star certification if subsequent serious non-compliances occur.
(C) If the program fails to meet the criteria, the stars outreach specialist sends a letter identifying criteria not being met.The request for star certification is also reviewed by the stars outreach specialist to determine if another certification level can be met and updates the licensing database accordingly.¢ 7
(D) The owner may reapply at any time the criteria are met.If the request for a higher certification level is denied due to numerous, repeated, or serious non-compliance with licensing requirements, the program is not approved for a higher certification level for six months after the date of the denial of the request.The six-month waiting period may only be reduced by the regional programs manager (RPM) upon evaluation of the licensing record, written documentation of corrective actions taken, and observation and documentation by licensing staff of substantial improvement in compliance.The RPM provides written notification of the decision to the program.
(E) The owner may withdraw the request for star certification prior to denial.
(F) The owner of a center or home may request a reduction in star status at any time.The request must be made in writing to CCS.The stars outreach specialist sends a letter documenting the request for reduction, including the effective date of the new star level, and updates the licensing database with theprogram's new star level.A reduction request does not constitute a reduction in certification level per (h) of this Section.
(e) Complaint investigations.Pending complaint investigations may impact the decision to approve the request for star certification.¢ 4 & 5
(f) Ongoing review.The procedures contained in this subsection are followed for ongoing review.
(1) Program notification to CCS.The owner, director, or primary caregiver is required to notify CCS in writing within five program- business days of any change in information affecting the program's star certification, such as loss of a master teacher.If CCS has not been notified of changes and certification criteria have not been met for over 90-calendar days, the case is reviewed by CCS staff.Referrals may be made to the stars program administrator or designee and the certification level may be reduced per (h) of this Section.
(2) Periodic certification reviews.CCS staff completes a full star certification review using Form 07LC026E, Child Care Center Star Certification Review, or Form 07LC028E, Family Child Care Home Star Certification Review, during a minimum of three periodic monitoring visits annually verifying certification criteria is current and accurate.Programs operating less than a full year or having a cooperative licensing agreement with a tribal program are required to have a minimum of two periodic certification reviews annually.¢ 8
(3) Non-compliance.If a program has serious non-compliance with licensing requirements, within a 24-month period, a serious incident resulting in injury or imminent risk of harm to a child or violations with other star criteria, the star level of one star plus, two, or three star programs may be reduced.¢ 4 & 5
(4) Violations.If violations of certification criteria are documented, or when the program notifies CCS in writing of any change, the procedures in (A) through (C) of this paragraph are followed.
(A) CCS staff provides written notification to the director or primary caregiver and owner documenting the violations, including a statement that a reduction in the star certification level may occur when:
(i) the program has serious non-compliances with licensing requirements;
(ii) a serious incident occurs resulting in injury or imminent risk of harm to a child;
(iii) violations are not corrected in the agreed-upon time frame; or
(iv) an Emergency Order or notice of proposed denial or revocation of license is issued.
(B) The statement informs the director or primary caregiver, he or she may request an extension of time to comply, per (g) of this Section.
(C) The program submits a written plan to CCS to correct the violations within an agreed-upon time frame.The plan cannot exceed 90-calendar days from the date the violation occurred or the date a program was notified of a substantiated complaint.¢ 8 & 9 & 10
(5) Follow up of violation of criteria.CCS staff is responsible for verifying violations of star criteria are corrected as determined by the approved plan of correction.
(6) Written notice.CCS staff provides written notice to the owner that certification criteria are not being met when:¢ 1011
(A) there is serious non-compliance with requirements, per OAC 340:110-1-8.4;
(B) a serious complaint that may place the health, safety, or well-being of children at imminent risk of harm is substantiated; and/or
(C) CCS staff have knowledge the program is not meeting certification criteria, such as having an insufficient number of master teachers.
(g) Extension of time to comply.
(1) A request for an extension of time to comply may be submitted when violations of star criteria cannot be corrected within the agreed-upon plan of correction time.
(2) A request for an extension of time to comply to meet licensing requirements, such as director qualifications is not approved.
(3) The owner, director, or primary caregiver submits Form 07LC074E, Request for Extension of Time to Comply, and supporting documentation to the stars program administrator or designee 30-calendar days prior to the expiration of the agreed-upon time frame for the correction of the violations.
(4) The decision to approve or deny an extension of time to comply is made by the stars program administrator or designee.One or more discretionary extensions of time to comply may be granted.Approval of an extension of time to comply does not set a precedent and each request is independently evaluated.The director or primary caregiver is notified of the decision in writing.¢ 1112
(h) Reduction in one star plus, two, and three star certification levels.
(1) A reduction in one star plus, two, and three star certification levels occurs when CCS issued a written Emergency Order or notice of denial or revocation of license.¢ 1213
(2) A reduction may occur when:
(A) the program has serious non-compliance with licensing requirements within a 24-month time frame;¢ 4 & 5
(B) a serious incident occurs resulting in injury or imminent risk of harm to a child;
(C) violations are not corrected within the agreed-upon time frame; or
(D) a program fails to employ a qualified director for a period of six months or more.
(3) The procedures in this subsection are followed if a reduction is warranted.
(A) Licensing staff reviews the case with the supervisor and RPM.The decision on whether to make a referral to the stars program administrator or designee is made by the RPM and referrals are made in writing to the stars program administrator or designee.The RPM may enter into an agreement for an alternative settlement with the owner of a program in lieu of reduction.The alternative settlement documents how the program will go above and beyond minimum licensing requirements and ensure a higher standard or quality of care.It is the RPM's decision to accept or deny the alternative settlement.¢ 1314
(B) If a reduction is warranted, the stars program administrator or designee sends a certified letter to the primary caregiver or director and owner documenting the reduction in certification level and notifying the provider of the right to request an administrative review of the decision.
(C) The certified mail delivery receipt card is addressed to return to the CCS director or designee.
(D) In order to receive an administrative review, the owner must submit a written request to the CCS director or designee within 15-calendar days of receipt of the reduction notification letter.
(E) The request must include written documentation stating the provider's grounds for appeal.
(4) Licensing staff updates any changes in the star status level and star payment rate following verification of receipt of the certified letter and the administrative review, if requested.¢ 1415
(5) The purpose of the administrative review process is to determine if the reduction of the star certification level was in accordance with DHS policy and whether the reduction is substantially supported by the evidence.The procedures in (A) through (C) of this paragraph are followed when an administrative review is requested.
(A) Within 30-calendar days of receipt of the request for an administrative review, a letter is sent notifying the provider of the date of the administrative review.The letter is sent to the provider's last known address.The provider is given at least, 14-calendar days written notice prior to the administrative review.Additional documentation may be presented prior to, or at the beginning of, the administrative review, with copies provided to all representatives.The provider may submit written documentation and appear at the administrative review.
(B) The review is conducted by the stars review panel, consisting of two DHS staff not involved in the decision to reduce the certification level and one member of the Child Care Advisory Committee having no relationship to the program.
(C) When possible, the review panel makes a determination to either affirm or reverse the CCS decision on the date of the administrative review and announces the decision.Time constraints or the complexity of issues may require the panel to take a matter under advisement.Written findings are completed within 10-calendar days from the review date.
(6) The owner may reapply for a higher certification level any time the criteria are met.If the certification level is reduced due to serious non-compliance with licensing requirements, the program is not approved for a higher certification level for six months after the receipt of the certified reduction letter.
(i) Change in ownership.When there is a change in ownership or change in form of business entity of a family child care home, child care center, part-day, or out-of-school time program, the case is closed and the star status is removed, unless otherwise determined per OAC 340:110-1-9.To be approved for a higher star level, the new owner completes and submits Form 07LC025E, Request for Child Care Center Star Certification, or Form 07LC027E, Request for Family Child Care Home Star Certification, meeting all the requirements applicable to the star level requested.
(j) Change in location.If the location of a program changes, licensing staff completes Form 07LC026E, Child Care Center Star Certification Review, or Form 07LC028E, Family Child Care Home Star Certification Review, to verify compliance with the criteria at the new location.
(k) Record-keeping.Periodic review and certification request forms and supporting documentation are maintained in the official licensing file or in a separate file as part of the open record.When maintained, photographs of children are kept confidential.
INSTRUCTIONS TO STAFF 340:110-1-8.3
Revised 11-1-164-1-17
1.Approved national accrediting bodies are the:
(1) Association of Christian Schools International's Preschool Accreditation (ACSI);
(2) National Academy of Early Childhood Programs (NAEYC);
(3) National Early Childhood Program Accreditation (NECPA);
(4) Council on Accreditation (COA);
(5) National Accreditation Commission for Early Care and Education Programs (NAC);
(6) Accredited Professional Preschool Learning Environment (APPLE);
(7) Commission on Accreditation of Rehabilitation Facilities (CARF); and
(8) National Association of Family Child Care (NAFCC).
2.It is the program owner's responsibility to initiate the certification process and provide required documentation.Programs are not required to have a current provider contract to request certification.
3.The stars outreach specialist notifies licensing staff when Form 07LC025E, Request for Child Care Center Star Certification, or Form 07LC027E, Request for Family Child Care Home Star Certification, is received.The stars outreach specialist determines whether the if certification criteria have been are met by reviewing the case record and documentation submitted by the program.
4.The program's licensing record of up to 24 months is considered when one exists including the licensing record from previous licenses, if any.When a program files a grievance per Oklahoma Administrative Code (OAC) 340:110-1-15, the violation is not considered as part of an approval, or reason for denial or reduction while pending agency an Oklahoma Department of Human Services decision.
5.(a) When making the determination to deny or reduce the certification, licensing staff considers:
(1) the number of serious non-compliances or substantiated complaints;
(2) the duration of the non-compliance;
(3) the degree of risk to children;
(4) whether the provider could have prevented the non-compliance;
(5) timeliness and effectiveness of the provider's response; and
(6) whether notice was given regarding denial or reduction of star certification.
(b) Numerous non-compliances during the initial licensing visit, prior to permit, may be disregarded when evaluating compliance, if when all items were corrected in a timely manner.
6.The Form 07LC025E or Form 07LC027E and the professional development summary must be maintained in the official licensing file, but other documentation may be returned to the program.
7.Documentation of the reason(s) for denial of the request for star certification is kept and the originals are returned to the program.
(1) When Child Care Services (CCS) staff is contacted by the program contacts Child Care Services (CCS) to discuss concerns regarding the denial of the request for star certification, attempts are made to resolve the matter by making the appropriate referrals based on the reason for denial.
(2) If When the matter is not resolved, CCS staff advises of the right to file a grievance per Oklahoma Administrative Code (OAC) 340:110-1-15 and sends a copy of the grievance procedure, if when requested.
(3) If When it is determined the program meets a different certification level other than applied for, the stars outreach specialist notifies the owner, director, or primary caregiver and documents the discussion on Form 07LC080E, Licensing Services Supplemental Information.The director, primary caregiver, or owner may also update current Form 07LC025E or Form 07LC027E; or complete a new Form 07LC025E or Form 07LC027E for the different certification level.
8.Periodic certification reviews.
(1) At each periodic stars monitoring review the following criteria is reviewed, when applicable:
(A) compliance with minimum licensing requirements;
(B) master teacher qualifications;
(C) required number of master teachers;
(D) primary caregiver qualifications;
(E) interest and activity areas;
(F) professional development for any director hired since the last monitoring review; and
(G) any criteria violations from the previous monitoring review.
(2) When monitoring visits for minimum licensing requirements are reduced, stars periodic certification reviews may also be reduced.At least annually, all applicable stars certification criteria must be reviewed.
89.The time frame for correcting violations is negotiated between the owner, director, primary caregiver, or personnel in charge,and CCS staff.Time frames are based on the time needed to correct the violation and level of risk to children.Licensing staff may only offer or accept one plan of correction per violation.
(1) For example, if when the program no longer has a resource area, a reasonable time frame for correction could be 14-calendar days.If When not corrected within the time frame, the certification level could be reduced per OAC 340:110-1-8.3(h).If When the program no longer meets certification requirements because personnel with master teacher qualifications are no longer employed, it is reasonable to allow the program up to 90-calendar days to find replacements.
(2) When serious violations of licensing requirements occur, the stars program administrator or designee may reduce the certification level before the full 90-calendar days.
910.If When information is received regarding a program not meeting certification criteria, and no written documentation exists, CCS staff documents the violation on Form 07LC080E, Licensing Services Supplemental Information.Licensing staff contacts by phone phones or visits the program and completes Form 07LC026E, Child Care Center Star Certification Review, or 07LC028E, Family Child Care Home Star Certification Review, documenting and documents the violation and plan of correction.
1011.Documentation considered to be a notice for star criteria not being met includes:
(1) Form 07LC028E, Family Child Care Home Star Certification Review, or Form 07LC026E, Child Care Center Star Certification Review;
(2) Form 07LC037E, Notice to Comply; or
(3) inclusion of the statement regarding star reduction in a letter or in the documentation of an office conference documentation:"A reduction in star certification may occur when:
(A) the program has serious non-compliance with licensing requirements;
(B) serious substantiated complaints, or a serious incident occurs resulting in injury or imminent risk of harm to a child;
(C) violations are not corrected in the agreed-upon time frame; or
(D) an Emergency Order, notice of proposed revocation, or denial of license is issued."
1112.Criteria taken into consideration in considered when determining whether
to approve or deny an extension request, include:
(1) if the request was received timely;
(2) the program's record of compliance;
(3) the length of time needed to meet the criteria;
(4) the evidence of effort or actions on the part of the provider to correct the violations or to meet criteria;
(5) the impact on available care in the area for children whose care is subsidized; and/or
(6) the proximity of the program to services, classes, and resources.
1213.When a reduction in one star plus, two, and or three star levels is initiated due to the issuance of a written Emergency Order, notice of denial, or revocation of license, a request for a separate appeal of the star level reduction may not be made.Rather, any Procedures in OAC 340:110-1-9.4 and 340:110-1-10 are followed for requests or appeals addressing the action taken regarding the license, follow procedure per OAC 340:110-1-9.4 and 340:110-1-10.
1314.Licensing staff is responsible for monitoring compliance with the alternative settlement.If When the decision to refer the case to the stars program administrator or designee is made, the documentation attached to the referral is:
(1) a copy of Form 07LC025E or Form 07LC027E, and Form 07LC004E, Request for License Child Care Program, and supporting proof of ownership;
(2) copies of monitoring visits and complaints where serious non-compliance and substantiated complaints were documented;
(3) all pertinent or applicable documentation, including letters, notices to comply, supplemental pages, and complaint summaries; and
(4) all additional information needed to make a decision.
1415.Per Form 08CC001E, Child Care Provider Contract, the rate of payment is reduced to the appropriate star level at the expiration of four months, from the first day of the month, immediately following receipt of the certified letter.
340:110-1-8.6. Director, personnel, and primary caregiver qualifications for differential quality rating and improvement certification criteriaITS Only
Issued 11-1-16
(a) Master teacher and primary caregiver qualifications for two and three star levels.Master teachers and primary caregivers must be employed on-site on a full-time basis and trained in Oklahoma's Early Learning Guidelines.An individual is not counted as a master teacher, director, or primary caregiver at more than one program, unless the programs do not operate concurrently at any given time.¢ 1
(1) Master teachers meet and maintain one of the requirements in (2)(A) through (H) of this subsection.
(2) Primary caregivers meet and maintain one of the requirements in (A) through (I) of this paragraph.
(A) Occupational child care competency certificate for master teacher or lead teacher through an Oklahoma technology center and three months of satisfactory full-time experience in a licensed or legally exempt child care setting.
(B) Current Child Development Associate (CDA) or Certified Childcare Professional (CCP) credential.
(C) Certificate of Mastery in early childhood education or child development from an accredited Oklahoma college or university.¢ 2
(D) Thirty-college credit hours from an accredited college or university, including 15-credit hours in early childhood education, child development, or other coursework supporting working with children.
(E) Four-year degree from an accredited college or university with six-college credit hours in early childhood education, child development, or other coursework supporting working with children.
(F) Two- or four-year degree from an accredited college or university in early childhood education or child development.
(G) A valid teaching certificate in early childhood education from the Oklahoma State Department of Education.
(H) Current Oklahoma Professional Development Ladder (OPDL) certificate of Level 3, specifically met by an Oklahoma Competency Certificate with a Master Teacher emphasis or Level 4 or higher.
(I) If approved prior to June 1, 2004, the provider may continue to meet this criteria if the provider maintains 120 hours of job-related professional development within the last five years, five years of full-time experience in a licensed or legally exempt child care setting, and every two years receives a minimum score of 5.0 on the Family Child Care Environment Rating Scale - Revised.¢ 3
(b) Out-of-school time master teacher qualifications.In programs licensed as out-of-school time programs, the master teacher must be employed and on-site at least 50 percent of the weekly operating hours.The master teacher must currently meet and maintain either:
(1) one of the qualifications in (a) of this Section; however, a degree or coursework in (a)(2)(C) through (G) may also be in elementary education, recreation, or other coursework supporting working with children, families, and the community; or
(2) 120-clock hours of professional development within the last five years, one year of full-time experience in a licensed or legally exempt out-of-school time program, and every two years receive a minimum score of 5.0 on the School-Age Environment Rating Scale Updated Edition (SACERS-U), in a classroom where the master teacher is the lead teacher.¢ 4 & 5
(c) Master teachers required for two and three star centers.There is a full-time master teacher for every 30 children of the licensed capacity.
(1) Programs licensed as out-of-school time programs must have a master teacher for every 40 children of the licensed capacity.
(2) An individual is not counted as a master teacher, director, or primary caregiver in more than one program or considered a master teacher in one program and a director of another program, unless the programs do not operate concurrently at any given time.
(d) Director as master teacher.The director may be counted as a master teacher only when the licensed capacity is 30 or less.The director may be counted as a master teacher in programs licensed as out-of-school time programs.
(e) Master teacher responsibilities.Master teachers work directly with children and support other teaching personnel with responsibilities, such as program development, weekly lesson plans, use of space and equipment, interactions with parents, and program evaluation.
INSTRUCTIONS TO STAFF 340:110-1-8.6
Issued 11-1-164-1-17
1.(a) Employment on a full-time basis is generally 30 hours a week during aprogram's operating hours.For employment at family child care homes, use 80 percent of the operating hours, and for part-day programs, use 50 percent of the weekly operating hours.
(b) In collaborations between Head Start, public schools, or child care programs, personnel is counted as a master teacher when the individual:
(1) meets employment outlined in Instructions to Staff # 1(a);
(2) has personnel records on file; and
(3) fills the role of master teacher per Oklahoma Administrative Code (OAC) 340:110-1-8.6(e).
2.An accredited college or university is a college or university whose accreditation is accepted by the United States Secretary of Education and recognized and accepted by Child Care Services.
3.If When a primary caregiver was approved for two or three star status prior to June 1, 2004, and qualifies per OAC 340:110-1-8.6(a)(2)(I), the primary caregiver may continue to meet the qualifications with these criteria by maintaining 120 160 hours of professional development every five years and a score of 5.0 or higher on the Family Child Care Environment Rating Scale-Revised (FCCERS-R) every two years.When a primary caregiver using this option to qualify for two star receives less than a 5.0 on FCCERS-R, the primary caregiver may be given one additional FCCERS-R to achieve a minimum score of 5.0.A score of 4.5 or higher may be rounded up to meet the criteria.When an existing two or three star home closes, is reduced, or obtains another primary caregiver qualification, the primary caregiver may not use the 120/5/5 option to meet the home provider qualifications.Family Child Care Environment Rating Scale-Revised (FCCERS-R) scores are not transferable from one program to another.
4.When an out-of-school time program uses previously qualified using the School-Age Care Environment Rating Scale Updated Edition (SACERS-U) score to qualify personnel as a master teacher, the master teacher may continue to meet qualifications with these criteria by maintaining 120 160 hours of professional development every five years and a score of 5.0 or higher on SACERS-U every two years.When a teacher using this option to qualify for two star receives less than a 5.0 on the SACERS, and cannot provide documentation of meeting qualifications with another option, the teacher may be given one additional SACERS-U.A score of 4.5 or higher may be rounded up to meet the criteria.Effective November 2, 2016, use of the SACERS-U in meeting master teacher qualification is no longer offered.SACERS-U scores are not transferable from one program to another.
5.When a program closes, is reduced, or the master teacher leaves the program, the program or personnel may not use the 120/5/5 option to meet master teacher qualifications.
340:110-1-8.10. Program evaluation differential quality rating and improvement certification criteria
Issued 11-1-16 ITS Only
(a) Criteria one star plus centers and homes.Program evaluation criteria listed in (1) - (2) of this subsection is required for family child care homes.Program evaluation criteria listed in (2) of this subsection are required for all child care programs.In addition, program evaluation criteria listed in (3) of this subsection is required for part-day programs.
(1) Health and safety checklists for both indoor and outdoor spaces are completed annually and kept on file at the facility.
(2) Personnel and parents are surveyed annually to identify strengths and weaknesses of the program and evaluate the program's effectiveness in meeting the needs of children, parents, and personnel.
(3) An equipment inventory is conducted annually using the appropriate Oklahoma Department of Human Services (DHS) form and kept on file at the center.
(b) Criteria two and three star centers and homes.Program evaluation criteria listed in (a) of this Section is required.All methods of program evaluation as described in (1) through (4) of this subsection must be completed within one year of receiving two star status and repeated as required.
(1) The program is assessed every three years using an assessment tool approved by Child Care Services (CCS).¢ 1This assessment is not required for programs accredited by a CCS approved national accrediting body.¢ 2 & 3
(2) Program goals are established and updated annually based on information gathered from the completed health and safety checklists, parent and personnel surveys, and a CCS approved assessment tool.
(3) The program has a written plan for meeting established goals including professional development and educational needs of personnel or the provider and assistant as well as program policy and procedures.
(4) Personnel participate in program evaluation and the established goals are shared with personnel.
INSTRUCTIONS TO STAFF 340:110-1-8.10
Issued 11-1-16Revised 4-1-17
1.The Oklahoma Department of Human Services Child Care Services (CCS)- approved assessment tools include, the: tool is the Oklahoma Quality Child Care Program Scale:Self-assessment.
(1) Early Childhood Environment Rating Scale Revised (ECERS-R), or Early Childhood Environment Rating Scale, Third Edition (ECERS-3);
(2) Infant/Toddler Environment Rating Scale Revised (ITERS-R);
(3) Family Child Care Environment Rating Scale Revised (FCCERS-R);
(4) School-Age Care Environment Rating Scale, Updated Edition (SACERS-U);
(5) Child and Caregiver Interaction Scale (V6);
(6) Arnett Caregiver Interaction Scale;
(7) Early Language and Literacy Classroom Observation (ELLCO);
(8) Program Administration Scale (PAS); and
(9) Classroom Assessment Scoring System (CLASS).
2.Approved national accrediting bodies are the:
(1) Association of Christian Schools International's Preschool Accreditation (ACSI);
(2) National Academy of Early Childhood Programs (NAEYC);
(3) National Early Childhood Program Accreditation (NECPA);
(4) Council on Accreditation (COA);
(5) National Accreditation Commission for Early Care and Education Programs (NAC);
(6) Accredited Professional Preschool Learning Environment (APPLE);
(7) Commission on Accreditation of Rehabilitation Facilities (CARF); and
(8) National Association of Family Child Care (NAFCC).
3.A head start grantee compliant with Head Start Performance Standards is not required to complete a CCS-approved assessment tool.
340:110-1-9.2. Complaint investigations ITS ONLY
Revised 7-1-13
(a) Legal basis.The Child Care Facilities Licensing Act (Act) [10 O.S. § 406] mandates the Oklahoma Department of Human Services (OKDHS) conduct a full investigation of a complaint alleging a violation against the Act or any licensing requirement.
(b) Receipt of the complaint.Complaints may be made to licensing in writing, in person, by telephone, or electronically.¢ 1
(c) Complaint information.Licensing staff obtains as much relevant information as possible from the complainant.¢ 2
(d) Screening complaints.Licensing staff accepts a complaint for investigation when it alleges:¢ 3
(1) non-compliance with licensing requirements;
(2) operation of an unlicensed facility in violation of the Act; or
(3) abuse or neglect of a child in care.
(e) Complaint risk levels.Risk levels are determined by licensing staff based upon the degree of harm or danger to children in care.Risk levels are used to ensure that investigations occur in a timely manner and to track types of complaints.
(1) Risk level I complaints.Risk level I complaints indicate a child is in imminent risk of serious physical harm.The level of risk is not influenced by the removal of a child from the facility if other children remain in care.Investigations are initiated immediately or no later than 24 hours after receipt of the complaint by licensing staff unless awaiting investigation by Child Welfare Services (CWS) or law enforcement.This does not include weekends and holidays when the facility is closed.Examples of risk level I complaints include:
(A) alleged physical or sexual abuse;
(B) presence or use of illegal drugs while children are in care;
(C) distribution of drugs;
(D) children left alone in the facility or in a vehicle;
(E) extreme facility temperatures;
(F) an infant placed on the stomach for sleeping;
(G) threatening or impaired behavior of a caregiver;
(H) severe understaffing or over licensed capacity;
(I) unlicensed facility;
(J) violating an Emergency Order;
(K) required staff without current cardio-pulmonary resuscitation and first aid training;
(L) failure to obtain background investigations; or
(M) knowingly permitting access to children by persons identified as restricted or registrants.
(2) Risk level II complaints.Risk level II complaints do not indicate there is imminent risk of harm, but without intervention, a child may not be safe.Investigations are initiated within 15 calendar days of receipt of the complaint by licensing staff, or sooner depending on the degree of risk, unless advised by CWS or law enforcement to delay the investigation.Examples include:
(A) leaving children with an underage staff person;
(B) alleged physical abuse from a staff person no longer working in the facility;
(C) inappropriate discipline where no injury is reported;
(D) broken playground equipment;
(E) injury caused by lack of supervision; or
(F) minor understaffing.
(3) Risk level III complaints.Risk level III complaints do not indicate imminent risk of harm and there are no injuries alleged.Investigations are initiated within 30 calendar days of the date of receipt of the complaint by licensing staff or immediately if a telephone investigation is appropriate.Examples include:
(A) inadequate meal service;
(B) lack of play equipment;
(C) inappropriate use of television or videos; or
(D) inadequate cleanliness of the facility.
(f) The investigation.Licensing staff conducts a full investigation, obtaining sufficient information to make a finding.¢ 4
(g) Telephone investigation.With supervisory approval, licensing staff may investigate a complaint by telephone.The discussion and, if necessary, an agreed-upon plan of correction, is documented on Form 07LC080E, Licensing Services Supplemental Information.A copy is sent to the operator.A complaint may be investigated by telephone only when:
(1) the alleged non-compliance does not place children at risk of harm, for example, the facility did not serve milk one day or children have head lice;
(2) the facility has not had numerous, repeated, or serious non-compliance; and
(3) a monitoring visit has been made in the last three months during which substantial compliance was documented.
(h) Procedure for investigating an allegation of operating an unlicensed facility.When a complaint alleging operation of an unlicensed facility is received, the procedure per OAC 340:110-1-13 is also followed.
(i) Child abuse and neglect complaints.Upon receipt of a complaint alleging abuse or neglect of a child in care, licensing staff immediately notifies the licensing supervisor and makes a referral to CWS.If the allegation involves child abuse or neglect or a report indicating that a child is in imminent risk of serious physical harm, the licensing regional programs manager is also notified.¢ 5
(j) Findings.After the investigation is completed, the licensing staff, in consultation with the licensing supervisor, as appropriate, makes a finding as to whether the complaint is substantiated, unsubstantiated, or ruled out.
(1) Substantiated.A finding of substantiated is made when a weighing of the information obtained during the investigation clearly indicates the facility violated any licensing requirement or the Act.
(2) Unsubstantiated.A finding of unsubstantiated is made when the information does not lead to a definite conclusion, for example:
(A) there is insufficient or conflicting information on which to conclude that a violation occurred; or
(B) information needed to make a finding is unavailable.
(3) Ruled out.A finding of ruled out is made when a weighing of the information clearly indicates that there was not a violation of any licensing requirement or the Act.
(k) Documentation of findings.Upon completion of the investigation, licensing staff:
(1) documents the findings;¢ 6
(2) notifies the provider of the complaint allegations and findings by sending a complaint findings cover letter, Form 07LC081E, Licensing Complaint Report Summary, and if applicable, Form 04CP004E, Child Welfare Investigative Summary Notification to Child Care Licensing Services;¢ 7
(3) enters the complaint information on the licensing database using complaint key words; and
(4) updates and closes the complaint tracking screen.
(l) Use of Notice to Comply.When a complaint allegation has been substantiated, licensing staff advises the facility to correct the violations immediately and requests the facility complete Form 07LC037E, Notice to Comply, following the procedure in OAC 340:110-1-9.3(d)(7).
(m) Summary of facts.Facility owners, directors, or primary caregivers may submit a written request for a summary of the facts used to evaluate and determine the licensing complaint findings.¢ 78
(n) Complaint overview.Licensing staff complete an overview of completed complaint investigations on Form 07LC080E.This overview provides a summary of the investigation, how the complaint findings were determined, and is filed in the confidential section.¢ 89
INSTRUCTIONS TO STAFF 340:110-1-9.2
Revised 7-1-134-1-17
1.When the complaint is made in person or by telephone phone, licensing staff assists the complainant by:
(1) advising the complainant which of complaint allegations represent representing non-compliance and are enforceable;
(2) responding to the complainant's concerns; and
(3) discussing confidentiality, for example, the identity of the complainant is kept confidential unless legal action or a referral to law enforcement officials becomes necessary;
(4) eliciting appropriate information.When subjective terms, such as "drunk" or "crazy" are used, licensing staff tries to obtain and record specific information on the behavior observed by the complainant;
(5) informing the complainant about what action will be taken, such as licensing staff will make making an unannounced visit or a referral of child abuse will be made to Child Welfare Services (CWS) for investigation;
(6) requesting a signed, statement from the complainant when serious violations are involved or a negative action may result; and
(7) interviewing the complainant's children, if whennecessary and appropriate.
2.The information requested is recorded on Form 07LC012E, Licensing Complaint, and entered on the complaint tracking system.Complaint allegations are not released to the public until the findings have been are determined.The information requested includes the:
(1) date and time the complaint was received;
(2) facility name, address, and telephone phone number;
(3) complainant's name, address, telephone phone number, and relationship to the facility program, such as employee, parent of a child in care, or neighbor;
(4) complainant's source of information, for example, personal observation or information from another person individual; and
(5) specific information regarding the complaint allegations, including:
(A) a description of the circumstances;
(B) the name or identity of staff personnel involved;
(C) the name and age of a child(ren) involved or affected by the alleged non-compliance and their age(s);
(D) the date(s), and time(s), and place(s) the alleged non-compliance(s) occurred;
(E) the names of other persons individuals with relevant information; and
(F) whether if the complaint has been was discussed with the director.
3.Licensing staff makes one of the dispositions in this Instruction.
(1) Complaints or concerns that do not meet meeting the criteria in OAC per Oklahoma Administrative Code (OAC) 340:110-1-9.2(d) are discussed with the complainant, and ifwhen appropriate, a referral is made to another entity, such as law enforcement, Adult and Family Services (AFS), or the Office for Civil Rights.
(2) A complaint alleging violation of licensing requirements or operation of an unlicensed facility is investigated by licensing staff.This information is recorded as a complaint, regardless of the caller's purpose of the caller.Licensing staff in whose the area where the facility is located, is notified as soon as possible, and Form 07LC012E, Licensing Complaint, is forwarded to licensing staff.
(3) A complaint alleging child abuse or neglect is immediately referred to CWS, with a copy of Form 07LC012E.The referral is documented on the bottom of the form.IfWhen an immediate response to the referral is not received, licensing staff follows up the next working Oklahoma Department of Human Services (DHS) business day to obtain a response.
(A) Complaints referred to CWS include those that allege alleging harm or threatened harm to a child's safety that occur occurring through non-accidental physical or mental injury, sexual abuse, neglect, or failure or omission to provide protection from harm or threatened harm.
(B) IfWhen licensing staff is unsure whether if a complaint meets the criteria for investigation by CWS investigation criteria, the complaint is referred to CWS and the decision to accept the referral is made by CWS staff.
(C) Sex play between children is referred to CWS for investigation.Licensing investigates this type of allegation with regard to supervision of children.
(4) When a complaint alleging illegal activity is received, all referral information including the complainant's name, is forwarded to appropriate entities.the The guidelines contained in (A) through (D) of this paragraph are followed.
(A) A complaint alleging commission of a crime is immediately referred to local law enforcement officials where the facility is located.The referral is followed up in writing, a copy is filed in the facility program record, and the licensing supervisor is notified.It is the responsibility of licensing Licensing staff to is responsible for follow up with local law enforcement officials to determine and document the outcome of the investigation.
(B) If When the complaint includes allegations of illegal drug activity, the licensing staff obtains as much information from the complainant, including behaviors the individual was exhibiting when allegations of being under the influence of drugs is also alleged.The complaint is referred to local law enforcement officials and the Office of Inspector General (OIG) when the program has a provider contract, even when the activity occurred when children were not in care.If the facility has a provider contract, the complaint is also referred to the Oklahoma Department of Human Services (OKDHS) Office of Inspector General (OIG).Licensing staff is responsible for follow up with law enforcement officials regarding their involvement prior to submission of the complaint to OIG.However, when a response is not received from law enforcement officials within 48 hours from the receipt of the complaint, licensing staff forwards the complaint to OIG.The OIG referral to OIG is made on Form 19MP001E, Referral Form, and includes date, and contact, including attempted contact, information regarding the referral to local law enforcement officials and a copy of Form 07LC012E.Upon receipt of the referral, OIG contacts the local law enforcement agency to determine whether if the agency or OIG will conduct the investigation or whether if a joint investigation will be conducted.It is the responsibility of licensing Licensing staff to is responsible for follow up with OIG to determine and document the outcome of the investigation.
(C) Licensing specialists inform staff informs OIG prior to any visits to the facility program and consults with them regarding the restrictions of any individuals involved in the allegation.
(D) Complaints alleging the use of illegal drugs during the hours of child care may be addressed with the caregiver after consultation with law enforcement officials and OIG.Complaints alleging illegal activity of a more serious nature, such as drug trafficking, are not investigated by licensing staff.
(5) A complaint alleging violation of a person's an individual's civil rights is discussed with the complainant.The complainant is referred to the facility program in efforts to resolve the issue.If When the complaint remains unresolved, licensing staff refer refers the complainant to the Office for Civil Rights and document documents the referral on Form 07LC080E, Licensing Services Supplemental Information.
(6) Information in a complaint received from another division within OKDHS DHS or an agency responsible for monitoring child care facilities, such as OIG or the local health or fire department, may be deemed valid ifwhen documented in writing by the agency representative.It is licensing staff's responsibility to determine whether Licensing staff determines if the observation is a non-compliance.The facility program is advised of the report, and is requested to complete Form 07LC037E, Notice to Comply, when applicable, following the procedure in per OAC 340:110-1-9.3(d)(7) and given an opportunity to respond.
(7) The licensing supervisor is notified of any complaint complaints:
(A) in which the alleged non-compliance caused or could cause serious harm to a child in care;
(B) when the facility program has numerous, repeated, or serious non-compliance with requirements;
(C) when the alleged non-compliance has been addressed was previously addressed on Form 07LC037E;
(D) referred to CWS or law enforcement officials; or
(E) receiving special attention, such as from the media or a legislator.
(8) When a director or owner self-reports an allegation made by a parent, licensing staff informs the supervisor and consults with the regional program manager (RPM), when necessary, to determine if when potential harm to children warrants an investigation.
4.The investigation generally includes:
(1) a review of the complaint allegations to ensure that investigating staff is thoroughly familiar with the details and specific information, and whenever possible, a review of all appropriate OKDHS DHS records to obtain other preliminary information, as appropriate, prior to making the initial contact;
(2) an unannounced visit to the facility.The purpose of the visit and the nature of the complaint description of the allegations using "key words" are initially discussed with the operator.Prior to the conclusion of the investigation, the full allegation of the complaint is explained and discussed with the director or primary caregiver.Licensing staff does not identify the complainant;
(3) a review of available records, such as the licensing record, attendance records, injury logs, medical and transportation permission records, child care subsidy records, food program records, or police law enforcement reports;
(4) interviews with the complainant and complainant's children, ifwhen applicable, and others who may have relevant information, such as facility staff program personnel or food program employees.An interview:
(A) is conducted when it appears it would provide more complete or accurate information than by observation alone;
(B) is scheduled at a time and location as to not present an undue hardship for the interviewee;
(B)(C) is generally a face-to-face contact between licensing staff and the person individual who may have relevant information.If a person's When an individual's comments and signature are recorded on Form 07LC080E, the person individual is given provided a copy of the report form.A copy of the report is not provided to the operator;.All interviews are maintained in a confidential manner;
(C)(D) is usually conducted in private and with one person individual at a time.An exception may be made when:
(i) a witness accompanies licensing staff;
(ii) the parent wishes to be present when the child is interviewed; or
(iii) a person an individual elects to have his or her attorney present;
(D)(E) may be conducted outside of the facility if when the director is uncooperative, if an on-site interview places the interviewee at risk, or if information must be gathered prior to discussion with the operator.Interviews with persons individuals outside of the facility are documented on Form 07LC080E, and the interviewed person is given with a copy of the report; provided to adult interviewees; and
(E)(F) with a child, takes licensing staff considers the age and verbal ability of the child is taken into consideration, and, preferably, a witness accompanies licensing staff.
(i) Parental permission prior to interviewing a child in care is not required when investigating a complaint alleging non-compliance with licensing requirements.
(ii) OKDHS DHS Publication no. No. 05-57, Parent Notification of Child Interview, is provided for parents when a child is interviewed regarding complaint allegations of violations of licensing requirements violations.Documentation of providing thispublication to facilities operators is made on Form 07LC080E.
(iii) When licensing staff accompanies CWS as part of a joint abuse and neglect investigation, interviews are conducted by the CWS worker, specialist per OAC 340:75-3-8.2;.Licensing staff documents CWS interviews on Form 07LC080E.Adult interviewee and CWS specialist signatures are obtained, when applicable and a copy is mailed to the adult interviewee's residence;
(G) of children or parents associated with a family child care home is not conducted at the facility unless approved by the RPM; and
(H) may be conducted at the child's school.However, this location is not preferable and requires parental permission prior to the interview;
(5) observations at the facility.
(A) IfWhen an investigation is associated with a specific time of day, such as early-morning understaffing, the visit to the facility is made at the time the incident is alleged to have occurred.Licensing staff documents observations by citing the specific conditions observed, for example, such as the director refused to allow licensing staff to view the facility's program's records of staff criminal history investigations or there were nine 2-year-olds with one staff.
(B) When investigating a complaint at a facility, a complete full monitoring visit is not required unless one is due.Staff-child ratios and supervision are checked at each visit and documented on the monitoring report checklist.Should When numerous, repeated, and/or serious non-compliance be are observed, a full monitoring visit is conducted; and
(6) obtaining documentary evidence.Documentary evidence is information that is recorded, such as a CWS report, medical and police records, signed statements, or photographs.When documentary evidence is obtained, it is entered in the facility program record.
5.Licensing staff procedure.
(1) Whenever possible, licensing staff accompanies the CWS worker specialist on the complaint investigation.However, the licensing staff's role and responsibility is to investigate alleged non-compliance of licensing requirements or the Child Care Facilities Licensing Act.Licensing staff documents on Form 07LC080E the name, address, and Social Security number of any an alleged perpetrator in a CWS complaint investigation on Form 07LC080E.
(2) IfWhen the CWS worker specialist cannot initiate or conclude an investigation within a reasonable period of time, licensing staff requests approval from the licensing supervisor and consults with the CWS supervisor before proceeding with an investigation.A reasonable period of time means, the CWS investigation of a report that:
(A) a child is in imminent danger or at risk of serious physical harm, and is initiated within 24 hours; or
(B) does not indicate imminent riskof harm to a child and no injuries are alleged, and is initiated no later than 15-calendar days after the report is accepted for investigation.
(3) Licensing staff interviews the alleged victim and his or her parents, usually in their the alleged victim's home, following the guidelines outlined in Instructions to Staff # 4(4)(E) of these Instructions this Section.Licensing staff advises the CWS supervisor of the findings, and CWS completes its investigation.
(4) IfWhen sufficient information is obtained through interviews, observations, or documentary evidence that supports supporting the allegation, and with State Office approval, licensing staff asks the owner to voluntarily cease care or prohibit the alleged perpetrator from any contact with children pending the outcome of the investigation.The RPM is notified of all situations involving a request for voluntary cease care.The owner is advised of the possibility of an injunction or an Emergency Order if when the owner refuses; and children are considered at imminent risk of harm.
(5) IfWhen there is a finding of confirmed or substantiated child abuse or neglect, a copy of the report is sent to the RPM and statewide licensing coordinator or designee.
(6) Following completion of the CWS investigation, licensing staff sends provides a letter to the operator that includes including the findings of the investigation and notice of further action that will be taken, when indicated.
6.After initiating the complaint, licensing staff continues to make progress in efforts to complete the investigation within 45-calendar days of receipt.Extended time frames are staffed with RPM and documented on Form 07LC080E.Licensing staff enters the findings on the complaint tracking system and completes Form 07LC081E, Licensing Complaint Report Summary, using specific language that is informative to parents.
(1) When a non-compliance other than the original complaint allegation(s) is identified, licensing staff document documents the non-compliances:
(A) on the complaint summary above the plan of correction citation as "additional non-compliances found during the investigation";
(B) on the licensing database in investigative comments; and
(C) in the plan of correction.
(2) When a specific allegation within a key word is unsubstantiated, but a different non-compliance(s) within a key word category is identified, staff unsubstantiates the specific allegation and document documents the new non-compliance.Confirm understaffing Understaffing is confirmed even if understaffing when it is in an age group that is different from the allegation.Document Refer to (1) of this Instruction to document this circumstance as in (1) of this Instruction.
(3) On Form 07LC081E, names Names or identifying information of the complainant, facility program staff, children, and their the children's families are not included on Form 07LC081E.
(4) When a child abuse investigation has been was conducted by CWS, Form 07LC081E, contains a summary of complaint allegations and findings that does not disclose disclosing the identity of the alleged perpetrator or victim, but does allow parents to evaluate the facility program.For example, descriptors, such as male staff and 2-year-old female are not used.
(5) Form 07LC081E, the monitoring report summary, a complaint findings cover letter, and Form 07LC037E, Notice to Comply, when applicable, are made a part of the open record.Form 07LC012E, Licensing Complaint, and Form 07LC080E, are placed in a confidential file.Interviews with staff personnel, children, collateral witnesses, and complainants are not made part of the public record.
(6) IfWhen information regarding a complaint is requested by the public prior to completion of the investigation, licensing staff explains that information regarding the allegation and findings will be released after the investigation is complete and the provider has been notified in writing of the findings.After the database is updated, indicating completion of the investigation, complaint information including drug activity is available to the public per OAC 340:110-1-14.
7.Form 07LC081E informs programs of grievance timeframes.
78.When requested in writing, the written summary of facts is provided on OCCS CCS letterhead and indicates documents reviewed and the total number of persons individuals interviewed while identifying their relationship to facility the program, such as, parents, staff, children, and collateral, or other agency personnel.Information is provided while protecting confidentiality of all parties individuals.CWS reports are identified as an agency a DHS document.Supervisor approval is necessary before providing the written summary to the facility program.
89.When findings of the complaint are included in the reason for a reduction in star status, the overview is also submitted with the reduction referral.The overview is used for review by supervisors and state office personnel and includes:
(1) used for review by supervisors and State Office personnel and includes the:
(1)(A) number of persons individuals interviewed and their relationship to the facility program;
(2)(B) observations regarding the complaint allegations;
(3)(C) documents and records reviewed; and
(4)(D) information used to determine the findings.; and
(2) submitted with the reduction referral, when complaint findings are included in the reason for a reduction in star status.
340:110-1-13. Unlicensed facilities ITS ONLY
Revised 7-1-12
(a) Legal basis and authority.Pursuant to Section 405 of Title 10 of the Oklahoma Statutes, no child care facility may be operated or maintained in this state, unless licensed or given permission to operate by the Oklahoma Department of Human Services (OKDHS).
(b) Procedure for investigating the operation of an unlicensed facility.When information is received regarding the operation of an unlicensed facility, staff conducts a full monitoring visit no later than three facility business days to assess the necessity of a license.¢ 1 through 910
(1) If care is being provided, staff informs the facility they have not been given permission to operate and they are in violation of the Oklahoma Child Care Facilities Licensing Act.During the visit the facility is informed on Form 07LC095E, Notice Regarding Unlicensed Care, that:
(A) care must cease by the end of the current business day unless imminent risk indicates the need for the facility to cease care immediately; or
(B) permission to operate may be granted when the facility:
(i) is in compliance with health and safety requirements without serious non-compliances as referenced in OAC 340:110-1-9.3;
(ii) has submitted a completed application in accordance with OAC 340:110-1-6;¢ 1011
(iii) provides all required background information per OAC 340:110-1-8.1; and
(iv) has staff present who meet the following licensing requirements:
(I) documented current cardio-pulmonary resuscitation and first aid certification;
(II) required health and safety training completed; and
(III) minimum educational qualifications for the position held.
(2) If a facility is not granted permission to operate, a follow-up visit is conducted within one facility business day to verify the termination of care.The follow-up visit timeframe may be extended up to five days with supervisory approval and is documented on Form 07LC080E, Licensing Services Supplemental Information.When care of children has not ceased, staff proceed per OAC 340:110-1-9.4.¢ 1112
(3)When the necessity of a license is not required, licensing staff documents the investigation of unlicensed operation on Form 07LC080E.¢ 1213
(c) Documentation of Findings.Following the unlicensed complaint investigation licensing staff proceed with procedures in OAC 340:110-1-9.2(k).All case staffings and discussions of case actions are documented on Form 07LC080E and maintained in the case file.
INSTRUCTIONS TO STAFF 340:110-1-13
Revised 11-1-164-1-17
1.The regional programs manager (RPM) is notified of all situations involving a request for voluntary cease care.When there are serious allegations indicating children could be at risk, the situation is staffed with the supervisor for the appropriate time frame to visit the facility.Concerns regarding licensing staff staff's safety are discussed with the supervisor to determine when utilization of a witness and/or law enforcement officials is appropriate.
2.When information is received from the individual or program providing unlicensed care, it is documented as a complaint.When this information is received by phone, licensing staff informs the unlicensed program they are not authorized to operate and must cease care.A visit is made to the facility within three-program business days.
3.Other complaint allegations are not addressed when the program is not providing care or is exempt from licensing.When exempt care is provided, licensing requests a written statement verifying operating hours.When the program is pursuing a license, all allegations are investigated.
4.When applicable, documentation of non-compliance includes, "the program does not have a license as required by law."This is documented in "additional areas of non-compliance" section with the added written notation of "necessity and issuance of a license."Documentation does not include the statement "continued non-compliance may result in the revocation of a license or reduction of star level" as the program is not licensed.
5.When a caregiver is exempt from licensing due to providing relative care, the following verification is documented on Form 07LC080E, Licensing Services Supplemental Information, in a statement obtained from the:
(1) statement from the caregiver as to the degree of relationship to the child; and
(2) statement obtained from the child's parent or guardian as to the degree of relationship to the caregiver.
6.When the unlicensed program is advertising only and has no children in care, application request for license procedures per Oklahoma Administrative Code (OAC) 340:110-1-6 are followed.
7.When there is no response at the unlicensed program, a notice is left requesting the program contact licensing within 24 hours.When the unlicensed program is uncooperative in assisting licensing staff to verify the necessity of a license, the situation is staffed with the RPM.
8.Licensing staff offers technical assistance and consultation to assist the caregiver in with meeting licensing requirements.
9.When children are at imminent risk of harm, licensing staff refers to OAC 340:110-1-9.4 for cease care procedures.
10.When conducting a joint unlicensed investigation with Child Welfare Services (CWS) and care is:
(1) exempt from licensure, licensing staff:
(A) completes the licensing investigation;
(B) does not continue investigation coordination with CWS; and
(C) does not have access to or does not request the child welfare report;
or
(2) not exempt from licensure, licensing staff:
(A) requests cease care;
(B) completes the licensing investigation;
(C) continues to remain involved with CWS when the program indicates
they plan to request licensure; and
(D) follows up with CWS to obtain Form 04CP004E, Child Welfare Investigative Summary Notification to Child Care Licensing Services, and Form 04K1003E, Report to District Attorney.
1011.Form 07LC004E, Request for License Child Care Program, is considered
complete when all:
(1) necessary items of information are complete on Form 07LC004E completed; and
(2) supporting documentation was is provided.
1112.The monitoring frequency plan of unlicensed facilities is 12 until licensing staff verifies care of children has child care ceased.Cases are staffed with a supervisor for appropriate follow-up, as necessary.As When care is unlicensed, documentation referencing denial of application request for license, revocation of a license, or reduction in star status is not appropriate.
1213.When a complaint allegation was is received regarding unlicensed care, and care was verified, the complaint is ruled substantiated even when unlicensed care has ceased.However, a complaint is ruled unsubstantiated when care is exempt from licensure.
340:110-1-21. Evaluation of the child care licensing services program ITS ONLY
Revised 11-1-16
Child Care Services (CCS) is responsible for evaluation of the child care licensing services program.¢ 1
(1)The quality assurance manager is responsible for all activities associated with program evaluation including quality assurance reviews and division and child care industry satisfaction surveys.
(2) CCS establishes a method for continuously improving the internal review program through feedback and recommendations from all concerned parties.The review:
(A) determines whether licensing requirements, policies, and procedures are being implemented;
(B) evaluates the program's effectiveness; and
(C) provides objective evidence to support the need for the reduction, elimination, and prevention of inconsistent interpretation of division policy and licensing requirements.
INSTRUCTIONS TO STAFF 340:110-1-21
Revised 11-1-164-1-17
1.(a) Review schedule.The quality assurance (QA) manager schedules and conducts an annual review of each licensing supervisory group including the residential and child-placing agency licensing group.A review may also be conducted when there is a significant change in the Child Care Services (CCS) process and service or a follow-up on corrective action is necessary.
(b) Review scope.The CCS director and statewide licensing coordinator identify policy and CCS process criteria to be reviewed for review within a specific timeframe.When applicable, an examination of the previous plan of correction is reviewed and evaluated according to current practice.The review includes:
(1) a review of licensing records to analyze policy and requirements for performance consistency, compliance, relevance, and clarity;
(2) identification of positive practices; and
(3) utilization of the licensing data base system.
(c) Review plan.
(1) The review plan is provided to the licensing supervisor and regional program manager (RPM) or residential and child-placing agency program manager, at least 30-calendar days prior to the scheduled review, and includes the:
(A) review objective and scope;
(B) names of review team members;
(C) review dates and locations;
(D) identification of the supervisory group being reviewed; and
(E) schedule of review activities.
(2) The review plan is designed to be flexible in order to permit changes in emphasis based on information gathered during the review.
(A) Specific details of the review plan are communicated throughout the review if when disclosure will does not compromise the collecting of objective evidence collection.
(B) The QA manager may revise the review plan to ensure review objectives are achieved.
(3) The licensing supervisor or residential and child-placing agency program manager provides a list of case records meeting review criteria.The QA manager evaluates the list for determination of to determine cases meeting criteria.
(4) When applicable, a list of the case records to be reviewed for review is provided to the licensing supervisor or residential and child-placing agency program manager, at least 10-agency 10-Oklahoma Department of Human Services (DHS) business days prior to the review, ensuring records can be reviewed for completeness and chronological filing order.
(d) QA manager responsibilities.The QA manager is responsible for:
(1) selecting and contacting review team members;
(2) conducting orientation for the team members to ensure members are familiar with expected roles and duties;
(3) preparing review checklists and worksheets;
(4) preparing the review notification letter;
(5) conducting daily conferencing with the licensing supervisor and RPM or residential and child-placing agency program manager where information per (g) of this Instruction is discussed;
(6) ensuring the review team is prepared for the exit conference;
(7) preparing the preliminary review report;
(8) conducting the exit conference; and
(9) writing and submitting the final review report.
(e) Review team members.Licensing supervisors and child care licensing specialists IIIs annually serve as review team members.Team members:
(1) consists consist of the QA manager and at least three CCS staff with a majority having a minimum of three years licensing field experience;
(2) obtain supervisory approval for participation;
(3) are not supervised within the region being reviewed;
(4) are not representatives from the same supervisory group; and
(5) are responsible for:
(A) arriving on time, and being prepared, and unbiased;
(B) observing, evaluating, and reviewing licensing records to determine adequacy, effectiveness, and compliance of licensing requirements and policies within the assigned scope of the review;
(C) analyzing evidence to determine if when findings are indicated per (g) of this Instruction;
(D) documenting review information objectively;
(E) acting in an ethical manner; and
(F) keeping all information pertaining to the review confidential.
(f) Review checklists and worksheets.Checklists and worksheets are used to capture and report review results.They do not rigidly dictate what is reviewed or restrict review activities.The QA manager safequards safeguards all review information and retains review information for four years.
(g) Findings.The review team analyzes review information to determine findings.
(1) A finding occurs when three or more cases indicate the same specific policy section Section or procedure is not followed.Findings also include, but are not limited to:
(A) falsifying information;
(B) breach of confidentiality;
(C) one-time policy violation that could place children at risk; or
(D) unethical behavior.
(2) The review team ensures findings are identified, and supported by evidence, in terms of the specific requirements or policy being reviewed.
(3) When the review team cannot determine an action to be identified as a finding, but the action is not supported by division practice, it the action is listed as an area of concern.
(4) Inconsistencies that are significant Significant inconsistencies are noted and investigated, even when they are not within the review scope.
(h) Entrance conference.The QA manager conducts an entrance conference with the licensing supervisor or residential and child-placing agency program manager for the purpose of:
(1) explaining the scope and objectives of the review;
(2) clarifying any unclear details of the review plan;
(3) describing the methods and procedures used to conduct the review; and;
(4) confirming the time and date for daily and exit conferences.
(i) Exit conference.At the conclusion of the review, the QA manager and team members conduct an exit conference with the licensing supervisor and RPM or residential and child-placing agency program manager and licensing staff.The QA manager presents the preliminary written report with conclusions reached by the review team, including:
(1) a summary of the review;
(2) identified findings;
(3) areas of concern;
(4) recommendations to the group;
(5) observed positive practices; and
(6) an overall evaluation of the reviewed activities.
(j) Final report.The QA manager prepares the final report and is responsible for its accuracy and completeness.The final report contains:
(1) the review dates, scope, and objectives;
(2) the names of review team members;
(3) identification of all reference documents used during the review, such as licensing requirements and policy;
(4) findings per (g) of this Instruction;
(5) identification of positive practices;
(6) review team member recommendations;
(7) plan of correction forms for response to the review; and
(8) the review report distribution list.
(k) Final report distribution.The QA manager distributes the final report to the licensing supervisor and RPM or residential and child-placing agency program manager, policy manager, statewide licensing coordinator, and CCS director within 30-calendar days after the conclusion of the review.
(l) Plan of correction.
(1) The plan of correction includes a description of the corrective action to address the findings per (g) of this Instruction.
(2) The licensing supervisor and RPM, or residential and child-placing agency program manager submit a plan of correction to the QA manager within 30-calendar days after receipt of final report.When an extension of time is needed to complete the plan of correction, a written request is made to the QA manager explaining why an extension is needed.
(3) CCS State Office schedules training to address the findings per (g) of this Instruction.
(m) Final review closure.Final closure approval is contingent upon evaluation and acceptance by the CCS director of any required corrective action.IfWhen the proposed plan of correction is not approved, the plan is returned to the licensing supervisor or residential and child-placing agency program manager for modification.Corrective action is implemented by supervisory or management staff.
PART 3. LICENSING SERVICES - RESIDENTIAL CARE AND AGENCIES
340:110-1-47. Case management
Revised 11-1-16 ITS only
(a) Periodic visits.
(1) Licensing staff annually conducts monitoring visits to document compliance with the requirements:¢ 1
(A) two unannounced and one announced, to residential programs;¢ 2 and
(B) two announced, to child-placing agencies.¢ 2
(2) When caseloads prevent licensing staff from conducting all visits, the programs manager consults with licensing staff on case management, and the number of required visits may be reduced.This adjustment is approved and documented in the case record by the programs manager.
(3) During each monitoring visit, licensing staff:
(A) observes the entire facility, including outdoor play space and vehicles used for transportation, when available; and
(B) checks:
(i) resident files, whenapplicable;
(ii) records for new personnel including personnel sheets and compliance with background investigations per Oklahoma Administrative Code (OAC) 340:110-1-8.1;¢ 3
(iii) Form 07LC092E, Insurance Verification, within the last 12 months;
(iv) fire and health inspections within the last 12 months, when applicable; and¢ 4
(v) other documentation requiring renewal.
(b) Consultation and technical assistance.Licensing staff provides technical assistance to operators to meet and maintain minimum requirements.Consultation is provided to parties interested in licensure and to licensed programs, and includes suggestions for improving the quality of care and for exceeding the minimum requirements.
(c) Change of address.When a program moves to a new address, licensing staff follows specific procedures to document the change.¢ 5
(1) Child-placing agency.When a child-placing agency moves its office, licensing staff:
(A) obtains an updated Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care ; and
(B) requests the new permit or license be issued reflecting the new address.
(2) Residential program.When a residential program moves, licensing staff:
(A) obtains an updated request for license;
(B) conducts a monitoring visit to verify the new location meets licensing requirements;
(C) obtains new fire and health approvals;
(D) obtains Department of Environmental Quality approval, when applicable; and
(E) completes an updated physical plant drawing with required calculations; and
(F) requests the newpermit or license be issued reflecting the new address.
(d) Satellite office.When a child-placing agency adds a satellite office, licensing staff:
(1) documents the location of each office; and
(2) requests files as needed from satellite locations.
(e) Change in program or agency name.When licensing staff verifies there is a change in name but no change in ownership, the name change is documented in the case record and the database is updated.A new Form 07LC040E reflecting the name change is completed.Licensing staff requests a permit or license be issued reflecting the new program or agency name.¢ 6
(f) Change in executive or program director.When there is a change in director, licensing staff:
(1) verifies the new director meets qualifications;
(2) obtains the applicable page of Form 07LC040E, completed by the new director;
(3) notifies the new director of current personnel who were granted a waiver; and¢ 7
(4) documents the information on Form 07LC080E, Licensing Services Supplemental Information.
(g) Increase or decrease in licensed capacity.When a program requests an increase or decrease in licensed capacity, it is documented on Form 07LC080E and must be approved by the programs manager.When the increase involves new construction, architectural plans approved by the State Fire Marshal are submitted to licensing for approval prior to construction.When the request to increase capacity is due to additional physical space, the required documentation includes:
(1) the reason for the increase;
(2) fire department approval;
(3) local health department approval of any additional food preparation space not previously inspected;
(4) the physical plant drawing indicating required calculations; and
(5) additional personnel, when applicable.¢ 8
(h) Inactive cases.A program is determined to be in inactive status when care or child-placing agency activity has not been provided for 90-calendar days or more.
(1) A program wanting to remain open after 90-calendar days submits a request in writing including a statement that the owner will notify licensing when care or child-placing agency activity is resumed.Licensing staff verifies compliance with requirements prior to resuming care.
(2) The program is contacted by licensing staff, a minimum of every four months for residential programs, and a minimum of every six months for child-placing agencies by phone, letter, or email to update the program status including changes in personnel, household members, or other program changes.
(3) The closure is discussed with the owner and an agreement to close is reached if possible.
(4) When care has not been provided for 12-consecutive months or more, licensing staff may send a letter to notify the owner of case closure within 10-calendar days from receipt of letter unless Child Care Services (CCS) is notified care or child-placing agency activity has resumed.
(5) Licensing staff visits the inactive program, at least once a year to verify compliance with licensing requirements until closure is final.¢ 9
(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 (c) of this Section.
(i) Change in ownership.When a residential program or child-placing agency assumes new ownership, the case file is closed, and the program must apply for a new license under the new owner.Prior to the issuance of a permit or license, the program must be in compliance with background investigations per OAC340:110-1-8.1.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.¢ 10
(j) Response to a child death.When notified of the death of a child while in care, licensing staff:
(1) completes Form 07LC079E, Child Death Report, and forwards it to the statewide licensing coordinator or designee; and
(2) visits the residential program as soon as possible, and contacts the child-placing agency unless advised otherwise by law enforcement.¢ 11
(k) Serious incident reports.Licensing staff submits a report of any serious incident to the programs manager.A serious incident includes, but is not limited to, an incident:¢ 12
(1) resulting in the serious injury or death of a child, such as a:
(A) shaken baby;
(B) drowning or near drowning; or
(C) traffic accident resulting in serious injury;
(2) placing a child at a high risk for death or injury, such as a child:
(A) is left at a location away from the facility;
(B) is left unattended in a vehicle; or
(C) is left alone in a facility;
(3) causingsignificant damage to a facility, such as:
(A) fire;
(B) flood; or
(C) tornado.
(l) Coordination with state agencies.Licensing staff works cooperatively with the Oklahoma Department of Human Services (DHS) Office of Client Advocacy and Child Welfare Services, the Oklahoma Commission on Children and Youth, the Oklahoma Health Care Authority, and law enforcement.¢ 13
INSTRUCTIONS TO STAFF 340:110-1-47
Revised 11-1-164-1-17
1.(a) Monitoring visits to residential programs are documented on the monitoring checklist.
(b) Staff Licensing staff 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.
(c) During the announced visit, licensing staff:
(1) checks personnel professional development records; and
(2) discusses the monitoring checklist with the program's or the child-placing agency's director or personnel in charge.The director or personnel in charge signs the monitoring summary and provides a copy of the summary to the program's owner/operator or the child-placing agency.
(d) A copy of the monitoring visit summary is filed in the case record.
(e) Documentation of requirements not reviewed during monitoring visits. Licensing staff indicates on the monitoring checklist, any area of licensing requirements not reviewed during monitoring visits.
(f) Partial visits include documentation regarding:
(1) completion of the first page including staff-child ratios; and
(e)(g) Licensing staff conducts searches on the Oklahoma Department of Human Services (DHS) database and the Oklahoma State Courts Network (OSCN) on applicable individuals per Oklahoma Administrative Code (OAC) 340:110-1-8.1(g).
2.When monitoring residential programs and child-placing agencies, applicable
file reviews and monitoring checklists are completed.After each monitoring visit, licensing staff enters the monitoring frequency plan reflecting the required number of visits per year annually on the licensing database.Any changes Changes in the monitoring frequency plan are reviewed with the programs manager.Examples of the required number of visits include:
(1) one visit per year annually for inactive programs;
(2) two visits per year annually for programs with a history of compliance;
(3) six visits per year annually for applications and six-month permits; and
(4) twelve visits per year annually for programs with a pattern of serious non-compliances.
3.When obtained, personnel sheets are maintained in the case file for one year 12 months after employment ended ends.Personnel sheets are purged for public viewing.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.Licensing staff documents personnel Social Security Administration name changes on Form 07LC080E,Licensing Services Supplemental Information, 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.
4.Licensing views on-going fire and health inspections and copies are not required for the case file.When the inspection has licensing violations, this it is documented as a non-compliance and a copy is maintained in the licensing case file.
5.The database is updated with the new address.The statewide licensing coordinator or designee issues a new license to the program reflecting the initial license date.Current personnel do not acquire a new employment date or a new background check.
6.Licensing staff notifies the programs manager of the change.The statewide licensing coordinator or designee issues a new license reflecting the initial license date to the program and a copy is sent to licensing staff.
7.When requested, directors are provided a copy of the waiver notice.
8.The programs manager reviews the recommendation and approves or denies the increase.The licensee is notified in writing that the increase was approved.When an increase in capacity is requested for other reasons other than an increase in space, then the recommendation to the programs manager is made in narrative form with the reason for the increase.The procedure for increasing or decreasing program capacity 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 Office of State Fire Marshal to determine whether if another inspection or further evaluation is required.The contact is documented and documents the contact on Form 07LC080E; and
(B) 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 that the facility program exceeded capacity, the request for increase is staffed with the programs manager for appropriate action.
(2) Decrease.When decreasing capacity, licensing staff updates the floor plan 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 programs manager.
(4) Approval.When change in capacity is approved, the programs manager or designee issues a new license to the program reflecting the new capacity and the original license issuance date.A copy of the license is sent to licensing staff.
9.A full visit is conducted 12 months from the last full visit and not from the time the program was considered inactive.This visit may be announced to ensure someone is present.
10.(a) Types of ownership include, a:
(1) sole proprietor;
(2) corporation;
(3) partnership;
(4) limited liability company; or
(5) a school, faith-based, or government entity.
(b) 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.
(c) When a change of business entity results in the issuance of a license, fire and health inspections conducted within the last 12 months are accepted.
(d) Any new facility New program construction, addition of square footage not previously included in licensed capacity, or kitchen alterations affecting food service requires require a new fire and health inspection.
(e) Copies of previous inspections for situations circumstances in (b) and (c) of this Instruction are maintained in the new program file.
11.When notified of the death of a child 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 the 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;
(2) notifies the licensing programs manager and director of Child Care Services (CCS); and
(3) considers whether the death is possibly related to Sudden Infant Death Syndrome (SIDS) or other sleep related causes, and when so, refers to OAC 340:110-1-9(p).
12.A serious incident report includes:
(1) the name and age of the child(ren) seriously injured or killed;
(2) the date and time of the incident;
(3) a description of the injuries to the child(ren) or damage to the facility;
(4) the caregiver's account of the incident;
(5) a summary of contacts made with other agencies involved in the investigation of the incident, such as Child Welfare Services (CWS) or law enforcement officials;
(6) any pertinent information regarding the caregiver's history, such as prior involvement with CWS or a history of numerous, repeated, or serious non-compliance with licensing requirements; and
(7) the names of personnel involved.
13.Reports from the Office of Client Advocacy (OCA), CWS, the Oklahoma Commission on Children and Youth (OCCY), the Oklahoma Health Care Authority (OHCA), and law enforcement.
(1) The programs manager reviews all reports received from OCA, CWS, OCCY, OHCA, and law enforcement.
(2) All reports received from OCA, CWS, OCCY, OHCA, and law enforcement are reviewed for possible non-compliances with licensing requirements.When the review of information indicates non-compliances, residential licensing staff investigates per rules regarding follow-up on non-compliances per OAC 340:110-1-47.2, or a complaint investigation per OAC 340:110-1-47.1.
(3) When a referral is received from the Child Abuse and Neglect Hotline, licensing staff reviews the information to determine if when the referral was screened out or accepted by OCA for investigation.
(A) When a referral is screened out, licensing staff determines if when the:
(i) report was made by an outside entity.Any allegations Allegations of non-compliance with licensing requirements are treated as a licensing complaint per OAC 340:110-1-47.1; or
(ii) information was self-reported.Licensing staff follows up with the program to address any possible areas of non-compliance using case management responses to non-compliant programs per OAC 340:110-1-47.2.(c).This contact is documented for the licensing record.
(B) When a referral is accepted by OCA for investigation, licensing staff assists with the investigation, when requested by the OCA investigator.The final report is reviewed for confirmed findings and areas of concern that violate violating licensing requirements.Licensing staff follows up with the program using case management responses to non-compliant programs per OAC 340:110-1-47.2.(c).
(4) Any release of confidential information is staffed with the statewide licensing coordinator.
340:110-1-47.1. Complaint investigations ITS ONLY
Revised 1-1-16
(a) Legal basis.The Child Care Facilities Licensing Act (Act), 10 O.S. § 406, mandates the Oklahoma Department of Human Services (DHS) conduct a full investigation of a complaint alleging a violation against the Act or any licensing requirement.
(b) Receipt of the complaint.Complaints may be made to Licensing Services, in writing, in person, by phone, or electronically.¢ 1
(c) Complaint information.Licensing staff obtains as much relevant information as possible from the complainant.¢ 2
(d) Screening complaints.Licensing staff accepts a complaint for investigation when it alleges:
(1) non-compliance with licensing requirements;
(2) operation of an unlicensed program in violation of the Act; or
(3) abuse or neglect of a child in care.
(e) Disposition of complaints.Upon receipt of a complaint, licensing staff determines a disposition, as described in this subsection.
(1) A complaint not meeting the criteria in (d) of this Section is discussed with the complainant and, when appropriate, a referral is made to another entity, such as law enforcement, the Office of Juvenile Affairs, the Office of Client Advocacy (OCA), Child Welfare Services, or the Office for Civil Rights.
(2) A complaint alleging violation of licensing requirements or operation of an unlicensed program is investigated by Licensing Services.¢ 3
(3) A complaint alleging child abuse or neglect is immediately referred to the Child Abuse and Neglect Hotline with a copy of Form 07LC012E, Licensing Complaint.¢ 4When an immediate response to the referral is not received, licensing staff follows up the next business day to obtain a response.
(4) When a complaint alleges commission of a crime by program personnel, including illegal drug activity in the child care facility, it is immediately referred to the DHS Office of Inspector General (OIG) and local law enforcement where the program is located.
(A) Referral follow ups are documented in writing, a copy is filed in the program record, and the programs manager is notified.
(B) It is the responsibility of licensing staff to follow up with local law enforcement officials to determine and document the outcome of the investigation.
(C) A referral to OIG is documented on Form 19MP001E, Referral Form.¢ 5
(5) A complaint received from another program within DHS or an agency responsible for monitoring residential child care programs or child-placing agencies, such as the Oklahoma Commission on Children and Youth (OCCY), OCA, the local health, or fire department, is deemed valid when documented in writing by the agency representative.Licensing staff determines whether the observation is a non-compliance.The program is advised of the report and given an opportunity to respond.
(6) The programs manager is notified of any complaint when:
(A) the alleged non-compliance caused or could cause imminent risk of harm to a child in care;
(B) the program has numerous, repeated, or serious non-compliance with requirements;
(C) the alleged non-compliance was addressed in a previous Form 07LC037E, Notice to Comply;
(D) referred to the Child Abuse and Neglect Hotline or law enforcement; or
(E) receiving special attention, such as from the media or a legislator.
(f) Complaint risk levels.Risk levels are determined by licensing staff based upon the degree of harm or danger to children in care.Risk levels are used to ensure investigations occur in a timely manner and to track types of complaints.
(1) Risk level I complaints.Risk level I complaints indicate a child is in imminent danger of serious physical injury.The level of risk is not influenced by the removal of a child from the program if other children remain in care.Investigations are initiated immediately or no later than 24 hours after receipt of the complaint by licensing staff unless awaiting investigation by OCA or law enforcement.Examples of risk level I complaints include:
(A) alleged physical or sexual abuse;
(B) presence or use of illegal drugs while children are in care;
(C) distribution of drugs;
(D) children left alone in the facility or in a vehicle;
(E) extreme facility temperatures;
(F) an infant placed on the stomach for sleeping;
(G) threatening or impaired behavior of a caregiver;
(H) severe understaffing or over licensed capacity;
(I) unlicensed program;
(J) violating an Emergency Order;
(K) required personnel without current cardio-pulmonary resuscitation and first aid training;
(L) failure to obtain background investigations; or
(M) knowingly permitting access to children by individuals identified as restricted or registrants.
(2) Risk level II complaints.Risk level II complaints do not indicate there is imminent danger of injury, but without intervention a child may not be safe.Investigations are initiated within 15 calendar days of receipt of the complaint by licensing staff or sooner, depending on the degree of risk, unless advised by OCA or law enforcement to delay the investigation.Examples of risk level II complaints include:
(A) leaving children with underage personnel;
(B) alleged physical abuse from personnel no longer working in the program;
(C) inappropriate discipline where no injury is reported;
(D) broken playground equipment;
(E) injury caused by lack of supervision; or
(F) minor understaffing.
(3) Risk level III complaints.Risk level III complaints do not indicate imminent danger and there are no injuries alleged.Investigations are initiated within 30 calendar days of the date of receipt of the complaint by licensing staff or immediately when a phone investigation is appropriate.Examples of risk level III complaints include:
(A) inadequate meal service;
(B) inappropriate use of television or videos; or
(C) inadequate cleanliness of the facility.
(g) The investigation.Licensing staff conducts a full investigation, obtaining sufficient information to make a finding. ¢ 6
(h) Phone investigation.With supervisory approval, licensing staff may investigate a complaint by phone.The discussion and, when necessary, an agreed-upon plan of correction are documented on Form 07LC080E, Licensing Services Supplemental Information.A copy is sent to the operator.A complaint may be investigated by phone only when:
(1) the alleged non-compliance does not place children at risk of harm, for example, the program did not serve milk one day or children have head lice;
(2) the program has not had numerous, repeated, or serious non-compliance; and
(3) a monitoring visit has been made in the last three months where substantial compliance was documented.
(i) Procedure for investigating allegations of operating an unlicensed program.When allegations of operating an unlicensed program are investigated, procedures per Oklahoma Administrative Code (OAC) 340:110-1-54.1 are also followed.
(j) Child abuse and neglect complaints.Upon receipt of a complaint alleging abuse or neglect of a child in care, licensing staff immediately notifies the programs manager and makes a referral to the Child Abuse and Neglect Hotline.
(k) Findings.After the investigation is completed, licensing staff, in consultation with the programs manager, as appropriate, makes a finding as to whether the complaint is substantiated, unsubstantiated, or ruled out.
(1) Substantiated.A finding of substantiated is made when a weighing of the information obtained during the investigation clearly indicates the program violated a licensing requirement or the Act.
(2) Unsubstantiated.A finding of unsubstantiated is made when the information does not lead to a definite conclusion, for example:
(A) there is insufficient or conflicting information to conclude a violation occurred; or
(B) information required to make a finding is unavailable.
(3) Ruled out.A finding of ruled out is made when a weighing of the information clearly indicates there was not a violation of a licensing requirement or the Act.¢ 7
(l) Documentation of findings.Upon completion of the investigation, licensing staff documents the complaint allegations, findings, notifies the provider in writing, and enters the complaint information on the licensing database using complaint key words.¢ 7
(m) Notice to Comply.When a complaint allegation is substantiated, licensing staff advises the program to correct the violations immediately, using Form 07LC037E, Notice to Comply, following procedure per OAC 340:110-1-47.2(c)(7).The program must complete a plan of correction.
(n) Summary of facts.Program or agency owners or program directors may submit a written request for a summary of the facts used to evaluate and determine the licensing complaint findings.¢ 8
(o) Complaint overview.Licensing staff complete an overview of completed complaint investigations on Form 07LC080E.This overview provides a summary of the investigation, how the complaint findings were determined, and is filed in the confidential section.¢ 9
INSTRUCTIONS TO STAFF 340:110-1-47.1
Revised 1-1-164-1-17
1.When the complaint is made in person or by phone, licensing staff assists the complainant by:
(1) advising the complainant as to of complaint allegations representing non-compliance and are enforceable;
(2) responding to the complainant's concerns; and
(3) discussing confidentiality.For example, the identity of the complainant is kept confidential unless legal action or a referral to law enforcement officials becomes necessary;
(4) eliciting appropriate information.When subjective terms, such as "drunk" or "crazy" are used, licensing staff attempts to obtain and record specific information on the behavior observed by the complainant;
(5) informing the complainant about what action will be taken, such as licensing staff will make making an unannounced visit or a referral of child abuse will be made to Office of Client Advocacy (OCA) for investigation; and
(6) requesting a signed statement from the complainant when serious violations are involved or a negative action may result.
2.The information requested is recorded on Form 07LC012E, Licensing Complaint, and entered into the complaint tracking system.The requested information requested includes the:
(1) date and time the complaint was received;
(2) program name, address, and phone number;
(3) complainant's name, address, phone number, and relationship to the program, such as personnel, parent of a child in care, or neighbor;
(4) complainant's source of information for example such as, a personal observation or information from another individual; and
(5) specific information regarding the complaint allegations, including:
(A) a description of the circumstances;
(B) name the names or identity identities of personnel involved;
(C) the name and age of child(ren) involved or affected by the alleged non-compliance and their age(s);
(D) the date(s), time(s), and place(s) the alleged non-compliance(s) occurred;
(E) the names of other individuals with relevant information; and
(F) whether the complaint has been was discussed with the program director.
3.This The information is recorded as a complaint, regardless of the caller's purpose of the caller.Licensing staff in whose the area where the program is located are notified as soon as possible, and Form 07LC012E, Licensing Complaint, is forwarded to licensing staff.When referrals are received from Child Welfare Services (CWS) or OCA, Form 07LC012E is not completed.
4.The referral is documented on the bottom of Form 07LC012E, Licensing Complaint.Complaints referred to the Child Abuse and Neglect Hotline include those alleging harm or threatened harm to a child occurring through non-accidental physical or mental injury, sexual abuse, neglect, or failure or omission to provide protection from harm or threatened harm.
(1) When licensing staff is unsure whether if a complaint meets the criteria for an OCA investigation, the complaint is referred to the Child Abuse and Neglect Hotline and the decision whether to accept the referral is made by OCA staff.
(2) Sex play between children is referred to the Child Abuse and Neglect Hotline for investigation.Licensing investigates this type of allegation with regard to supervision of the children.
5.It is licensing staff's responsibility the responsibility of licensing staff to follow up with law enforcement officials and that of the Office of Inspector General (OIG) to determine and document the investigation outcome.Licensing specialists inform OIG prior to any visits to the facility.
6.(a) The investigation includes:
(1) a review of the complaint allegations to ensure investigating staff is thoroughly familiar with details and specific information, and, whenever possible, a review of all appropriate agency records to obtain other appropriate preliminary information as appropriate prior to making the initial contact;
(2) an unannounced visit to the facility program.The purpose of the visit and description of the allegations are initially discussed with the operator using "key words."Prior to the investigation conclusion, the full complaint allegation is explained and discussed with the operator.Licensing staff does not identify the complainant.Other acceptable follow up as determined appropriate by licensing staff may include a phone call or email.Licensing staff does not identify the complainant;
(3) a review of available records, such as the licensing record, children's files, restraint and injury logs, medical and transportation records, food program records, and police law enforcement reports;
(4) interviews with the complainant and program residents of the program, if when applicable, and others, such as program personnel who may have having relevant information, such as program personnel.The interview:
(A) is conducted when it appears it would provide more complete or accurate information than by observation alone;
(B) is scheduled at a time and location as to not present an undue hardship for the interviewee;
(B)(C) is usually a face-to-face contact between licensing staff and an individual who may have having relevant information.When an individual's comments and signature are recorded on Form 07LC080E, Licensing Services Supplemental Information, he or she is given a copy of the report.A copy of the report is not provided to the operator.All interviews are maintained in a confidential manner;
(C)(D) is usually conducted in private and with one individual at a time.An exception may be made when a witness accompanies licensing staff, a parent wishes to be present when his or her child is interviewed, or an individual elects to have his or her attorney present;
(D)(E) may be conducted outside of the facility when the director is uncooperative, when an on-site interview places the interviewee at risk, or when information is to be gathered prior to discussion with the operator.Interviews with individuals outside of the facility are documented on Form 07LC080E, and the individual interviewed is given adult interviewees are provided a copy of the report;
(E)(F) when with a child, takes licensing staff considers the age and verbal ability of the child into consideration.It is preferable that licensing staff is accompanied by a witness.Parental permission prior to interviewing a child in care is not required when investigating a complaint alleging non-compliance with licensing requirements;
(5) observations at the facility.
(A) When an investigation is associated with a specific time of day, for example, early morning understaffing, the visit to the facility is made at the time the incident is alleged to have occurred.Licensing staff documents observations by citing the specific conditions observed; for example, such as the director refused to allow licensing staff to view the program's records of personnel criminal history investigations or there were 16 residents monitored by one personnel.
(B) When investigating a complaint at a program that is time-consuming, stressful, or involves OCA or other auditing entities, or when a full monitoring visit was made within the last month to a program with a record of compliance, a complete monitoring visit is not required.Staff-child ratios and supervision are documented on each visit on the monitoring checklist.Should When numerous, repeated, and/or serious non-compliance be are observed a full monitoring visit is conducted.Licensing staff documents compliance with those areas relating to the allegation; and
(6) documentary evidence entered in the program record.Documentary evidence is information that was recorded, such as an Oklahoma Commission on Children and Youth (OCCY) report, medical and police law enforcement records, a signed statement, or photographs.
(b) When sufficient information is obtained through interviews, observations, or documentary evidence supporting an allegation that children are at risk of harm, licensing staff requests the owner voluntarily cease care or prohibit the alleged perpetrator from having any contact with children pending the investigation outcome.The programs manager is notified of all situations involving a request for voluntary cease care.The owner is advised of the possibility of an injunction or an Emergency Order when he or she refuses to cease care and children are considered at risk of harm.
(c) Following completion of the investigation, licensing staff sends provides a letter to the operator including the investigation findings and notice of further action, when indicated.
7.After initiating the complaint, licensing staff continues to make progress in efforts to complete the investigation within 45-calendar days of receipt.Extended time frames are staffed with the programs manger manager and are documented on Form 07LC080E.Licensing staff enters the findings on the data base and completes Form 07LC081E, Licensing Complaint Report Summary, using specific language that is informative to anyone who may review individuals reviewing the file.
(1) When a non-compliance other than the original complaint allegation(s) is identified, licensing staff documents non-compliances:
(A) on the complaint summary above the plan of correction citation as "additional non-compliances found during the investigation"; and
(B) on the licensing database in investigative comments; and
(C) in the plan of correction.
(2) When a specific allegation within a "key word" is unsubstantiated, but a different non-compliance(s) within a "key word" category is identified, licensing staff unsubstantiates the specific allegation and documents the new non-compliance.Confirm understaffing Understaffing is confirmed even when understaffing it is in an age group different from the allegation.Document Refer to (1) of this Instruction to document this circumstance as in (1) of this Instruction.
(3) Names or identifying information of the complainant, children, and their the children's families are not included on Form 07LC081E.When OCA is not involved, names of personnel may be used in complaint findings regarding non-compliance with licensing requirements.When a child care provider is identified on Form 07LC081E, it is critical to have strong evidence before prior to substantiating the complaint.
(4) When a child abuse investigation was conducted by OCA, Form 07LC081E contains a summary of complaint allegations and findings not disclosing the identity of the alleged perpetrator or victim, but does allow individuals who are interested individuals to evaluate the program.
(5) Form 07LC081E, is made a part of the open record.Form 07LC012E, Licensing Complaint, is placed in a confidential file.When the complaint allegations and findings have were not been given to the provider in writing, a letter is sent to the provider.Interviews with personnel, children, collateral witnesses, and complainants are not part of the public record.Information not made part of the public file includes:
(A) Form 07LC012E, Licensing Complaint;
(B) CWS and OCA referrals; and
(C) interviews with personnel, children, collateral witnesses, and complainants;
(6) When information regarding a complaint is requested by the public prior to completion of the investigation, licensing staff explains that information regarding the allegation and findings will be is released after the investigation is complete.
(7) After the database is updated, indicating completion of the investigation, complaint information including drug activity is available to the public per OAC 340:110-1-55.
(8) Form 07LC081E, Licensing Complaint Report Summary, informs programs of grievance timeframes.
8.When requested in writing, a summary of facts is provided on Child Care Services letterhead and indicates documents reviewed and the total number of individuals interviewed while identifying the relationship relationships to the program, such as, parents, personnel, children, and collateral or other agency personnel.Information is provided while protecting the confidentiality of all parties.Programs manager approval is necessary before prior to providing the written summary to the program.
9.The overview is a summary of the investigation and is used for review by supervisors and state office State Office personnel and includes, the:
(1) number of individuals interviewed and their relationship relationships to the program;
(2) observations regarding the complaint allegations;
(3) documents and records reviewed; and
(4) information used to determine the findings.
340:110-1-54.1. Unlicensed facilities ITS ONLY
Revised 7-1-12
(a) Legal basis and authority.Pursuant to Section 405 of Title 10 of the Oklahoma Statutes, no child care facility may be operated or maintained in this state, unless licensed or given permission to operate by the Oklahoma Department of Human Services (OKDHS).
(b) Procedures for investigating the operation of an unlicensed residential facility.When information is received regarding the operation of an unlicensed residential facility, staff conducts a full monitoring visit no later than three facility business days to assess the necessity of license.¢ 1 through 7
(1) If care is being provided, staff informs the facility they have not been given permission to operate and they are in violation of the Oklahoma Child Care Facilities Licensing Act (Act).During the visit the facility is informed on Form 07LC095E, Notice Regarding Unlicensed Care, that:
(A) care must cease by the end of the current business day unless imminent risk indicates the need for the facility to cease care immediately; or
(B) permission to operate may be granted when the facility:
(i) is in compliance with health and safety requirements without serious non-compliances as referenced in OAC 340:110-1-46(a)(1);
(ii) has submitted a completed application in accordance with OAC 340:110-1-45;¢ 8
(iii) provides all required background information per OAC 340:110-1-51; and
(iv) has staff present who meet the following licensing requirements:
(I) documented current cardio-pulmonary resuscitation and first aid certification;
(II) completed behavioral intervention training; and
(III) minimum educational qualifications for the position held.
(2) If a facility is not granted permission to operate, a follow-up visit is conducted within one facility business day to verify the termination of care.The follow-up visit timeframe may be extended up to five days with programs manager approval and is documented on Form 07LC080E, Licensing Services Supplemental Information.When care of children has not ceased, staff proceed per OAC 340:110-1-52(f).¢ 9
(3)When the necessity of a license is not required, licensing staff documents the investigation of unlicensed operation on Form 07LC080E.¢ 10
(c) Procedures for investigating the operation of an unlicensed child placing agency.When information is received regarding the operation of an unlicensed child placing agency, staff makes contact with the agency representative within three agency business days to assess the necessity of license.¢ 11 through 13
(1) If child placing activity is being provided, staff informs the agency they have not been given permission to operate and they are in violation of the Oklahoma Child Care Facilities Licensing Act (Act).Licensing staff document on Form 07LC080E:
(A) child placing activity must cease by the end of the current business day, unless imminent risk indicates the need for the agency to cease operation immediately; or
(B) permission to operate may be granted when the agency:
(i) has submitted a completed application per OAC 340:110-1-45;¢ 8
(ii) provides all required background information per OAC 340:110-1-51; and
(iii) has staff who meet minimum educational qualifications for the position held.
(2) If an agency is not granted permission to operate, a follow-up visit is conducted within one agency business day to verify the termination of child placing activity.The follow-up visit timeframe may be extended up to five days with programs manager approval and is documented on Form 07LC080E.When child placing activity has not ceased, staff proceed per OAC 340:110-1-52(f).¢ 9
(3)When the necessity of a license is not required, licensing staff documents the investigation of an unlicensed operation on Form 07LC080E.
(d) Documentation of Findings.Following the unlicensed complaint investigation, licensing staff proceed with procedures in OAC 340:110-1-47.1(l).All case staffings and discussions of case action are documented on Form 07LC080E and maintained in the case file.
(e) Procedures for investigating unlicensed out of state child-placing agencies.
(1) The licensing staff mails to the owner the licensing requirements and a letter that includes information about licensure and a request for a response within 14 days.
(2) If a response is not received within 14 days, several contacts are made or attempted to encourage the owner of an unlicensed facility to comply with the Act.
(3) If the owner fails to apply for licensure as required by the Act, the licensing staff consults with the programs manager and statewide licensing coordinator for appropriate action which could include the issuance of an Emergency Order.
INSTRUCTIONS TO STAFF 340:110-1-54.1
Revised 11-1-164-1-17
1.The programs manager is notified of all situations involving a request for voluntary cease care.When there are serious allegations indicating children could be at risk, the situation is staffed with the programs manager for the appropriate time frame to visit the facility.Concerns regarding staff licensing staff's safety are discussed with the programs manager to determine if when utilization of a witness and/or law enforcement is appropriate.
2.Other complaint allegations are not addressed if when the program is not providing care or is exempt from licensing.When exempt care is provided, a written statement is requested, verifying operating hours.If When the program pursues a license then all allegations are investigated.
3.If When applicable, documentation of non-compliances includes "the program does not have a license as required by law."This is documented in the area of "additional areas of non-compliances" section with the added, written notation of "necessity and issuance of a license."Documentation does not include the statement "continued non-compliance may result in the revocation of a license," as the program is not licensed.
4.When the unlicensed residential program is only advertising and has no children are in care, application request for license procedures per Oklahoma Administrative Code (OAC) 340:110-1-45 are followed.
5.When information is received from the person providing unlicensed care, it the information is documented as a complaint.If thisWhen the information is received by telephone phone, staff informs the unlicensed program they have were not given permission to operate and must cease care.A visit is made to the facility program within three program-business days.
6.When there is no response at the unlicensed facility program, a notice is left requesting the facility program contact licensing within 24 hours.When the unlicensed facility program is uncooperative in assisting licensing staff to verify the necessity of a license, it the situation is staffed with the regional programs manager.
7.Licensing staff offers technical assistance and consultation to assist the caregiver in meeting meet licensing requirements.When children are at imminent risk of harm, licensing staff refers to OAC 340:110-1-52 for cease care procedures.
8.Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care, is considered complete when:
(1) necessary items of information are complete on the application request for license; and
(2) supporting documentation has been is provided.
9.The monitoring frequency plan of unlicensed programs is 12 until licensing staff verifies the care of children or unlicensed child-placing activity has ceased.Cases are staffed with the programs manager for appropriate follow-up, as necessary.
10.When a complaint allegation was is received regarding unlicensed care, and care was verified, the complaint is ruled substantiated even when unlicensed care has ceased.However, a complaint is ruled unsubstantiated when care is exempt from licensure.
11.When there are serious allegations indicating children could be at risk, the situation is staffed with the programs manager for the appropriate time frame for visiting the child-placing agency.Concerns regarding staff licensing staff's safety are discussed with the programs manager to determine if when utilization of a witness and/or law enforcement is appropriate.
12.When it is determined there is no immediate risk to children, licensing staff sends a letter to the child-placing agency.The letter includes licensure information, including requirements, and requests a response within 14-calendar days.
13.If When a response is not received within 14-calendar days, a visit is made to the child-placing agency to determine if child-placing activity is being conducted.
