Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS Chapter 13B, Chapter 157, 158.030, 199.011(3),
(4), (16), 199.892, 199.894(1), (3), 199.895, 199.896-199.898, 214.010,
214.036, 314.011(5), 600.020(1), 620.020(8), 620.030,
45
C.F.R. 98.2,
98.43,
42
U.S.C. 601-619,
9831-9852,
9857-9858r
NECESSITY, FUNCTION, AND CONFORMITY:
KRS
194A.050(1) requires the
Secretary of the Cabinet for Health and Family Services to promulgate
administrative regulations necessary to operate programs and fulfill the
responsibilities vested in the cabinet, qualify for the receipt of federal
funds, and cooperate with other state and federal agencies for the proper
administration of the cabinet and its programs.
KRS
199.896(2) authorizes the
Cabinet for Health and Family Services to promulgate administrative regulations
to establish license fees and standards for a child-care center.
KRS
199.896(6) requires the
cabinet to establish an informal dispute resolution process. This
administrative regulation establishes licensure standards for a child-care
center and describes the informal dispute resolution process.
Section 1. Definitions.
(1) "Applicant" means an individual or entity
applying to become a licensee or renew status as a licensee.
(2) "Cabinet" is defined by
KRS
199.011(3) and
199.894(1).
(3) "Child" is defined by
KRS
199.011(4).
(4) "Child care" means care of a child in a
center or home that regularly provides full or part-time care, day or night,
and includes developmentally appropriate play and learning
activities.
(5) "Child-care center"
is defined by
KRS
199.894(3).
(6) "Contract substitute staff member" means
a person who temporarily assumes the duties of a regular staff person, meets
the requirements established in Section 12 of this administrative regulation,
and receives payment from a contract entity rather than the child care
center.
(7) "Director" means an
individual who meets the education and training requirements established in
Section 10 of this administrative regulation.
(8) "Finding of fraud" means a suspected
intentional program violation referred in accordance with 922 KAR 2:020,
Section 4(4)(a)1, that is accepted for investigation and substantiated by the
cabinet's Office of the Inspector General.
(9) "Health professional" means a person
actively licensed as a:
(a)
Physician;
(b) Physician
assistant;
(c) Advanced practice
registered nurse; or
(d) Registered
nurse as defined by
KRS
314.011(5) under the
supervision of a physician or advanced practice registered nurse.
(10) "Infant" means a child who is
less than twelve (12) months of age.
(11) "Licensee" means the owner or operator
of a child-care center to include:
(a) Sole
proprietor;
(b)
Corporation;
(c) Limited liability
company;
(d) Partnership;
(e) Association; or
(f) Organization, such as:
1. Board of education;
2. Private school;
3. Faith-based organization;
4. Government agency; or
5. Institution.
(12) "Nontraditional hours" means
the hours of:
(a) 7 p.m. through 5 a.m.
Monday through Friday; or
(b) 7
p.m. on Friday until 5 a.m. on Monday.
(13) "Parent" is defined by
45
C.F.R. 98.2.
(14) "Parental or family participation" means
a child-care center's provision of information or inclusion of a child's parent
in the child-care center's activities, including:
(a) Distribution of a newsletter;
(b) Distribution of a program calendar;
or
(c) A conference between the
provider and a parent.
(15) "Pediatric abusive head trauma" is
defined by
KRS
620.020(8).
(16) "Premises" means the building and
contiguous property in which child care is licensed.
(17) "Preschool-age" means a child who is
older than a toddler and younger than school-age.
(18) "Qualified substitute" means a person
who meets the requirements of a staff person established in Section 11 of this
administrative regulation.
(19)
"School-age" means a child who meets the age requirements of
KRS
158.030 or who attends kindergarten,
elementary, or secondary education.
(20) "Secretary" is defined by
KRS
199.011(16).
(21) "Toddler" means a child between the age
of twelve (12) and thirty-six (36) months.
Section 2. Child-Care Centers. The following
child-care centers shall meet the requirements of this administrative
regulation:
(1) A Type I child-care center.
This child-care center shall be licensed to regularly provide child care
services for:
(a) Four (4) or more children
in a nonresidential setting; or
(b)
Thirteen (13) or more children in a designated space separate from the primary
residence of a licensee; and
(2) A Type II child-care center. This
child-care center shall be the primary residence of the licensee in which child
care is regularly provided for seven (7), but not more than twelve (12),
children including children related to the licensee.
Section 3. Exempt Child Care Settings. The
following child-care settings shall be exempt from licensure requirements of
this administrative regulation, 922 KAR 2:120, and 922 KAR 2:280:
(1) Summer camps permitted by the cabinet as
youth camps that serve school-age children;
(2) Kindergarten through grade 12 in private
schools while school is in session;
(3) All programs and preschools regulated by
the Kentucky Department of Education governed by KRS Chapter 157;
(4) Summer programs operated by a religious
organization that a child attends no longer than two (2) weeks;
(5) Child care provided while parents are on
the premises, other than the employment and educational site of
parents;
(6) Child care programs
operated by the armed services located on an armed forces base;
(7) Child care provided by educational
programs that include parental involvement with the care of the child and the
development of parenting skills;
(8) Facilities operated by a religious
organization while religious services are being conducted;
(9) A program providing instructional and
educational programs that:
(a) Operates for a
maximum of twenty (20) hours per week; and
(b) A child attends for no more than ten (10)
hours per week;
(10) A
child-care center that meets requirements of
KRS
199.896(19) or (20);
and
(11) An after-school program,
which is:
(a) A continuation of the school
day during the academic year;
(b)
Operated and staffed by an accredited private or public school under the
purview of the Kentucky Department of Education; and
(c) Not participating in the Child Care
Assistance Program in accordance with 922 KAR 2:160.
Section 4. Application.
(1) An applicant for a license shall submit
to the cabinet a completed OIG-DRCC-01, Initial Child-Care Center License
Application.
(2) Approval of an
applicant for initial licensure shall result in the issuance of a preliminary
license for a probationary period not to exceed six (6) months.
(3) The issuance of a preliminary license, or
the issuance or reapproval of a regular license, shall be governed under the
provisions of this section and Sections 6 and 7 of this administrative
regulation.
(4) If the applicant
for licensure is a:
(a) Corporation or a
limited liability company, the application shall include a current certificate
of existence or authorization from the Secretary of State; or
(b) Partnership, the application shall
include:
1. A written statement from each
partner assuring that the partnership is current and viable; and
2. Proof that each individual is twenty-one
(21) years or older by photo identification or birth certificate.
(5) If the status of a
corporation, partnership, or ownership of the child-care center changes, the
new entity shall submit a completed OIG-DRCC-01.
(6) If ownership of a child-care center
changes and the cabinet approves preliminary licen-sure upon inspection of the
child-care center under the new ownership, the effective date on the
preliminary license shall be the date of the approved inspection under the new
ownership.
(7) The cabinet shall
return the OIG-DRCC-01 and accompanying fee to an applicant if the applicant:
(a) Has an ownership interest in a facility
that is licensed or regulated by the cabinet, and that is subject to a finding
of fraud or is involved in an investigation of alleged fraud by:
1. The cabinet's Office of the Inspector
General; or
2. An agency with
investigative authority; and
(b) Is requesting a:
1. Change in ownership; or
2. License for a new facility.
(8) An applicant shall
submit to background checks in accordance with 922 KAR 2:280.
(9) A child may include a person eighteen
(18) years of age if the person has a special need for which child care is
required.
Section 5.
Evacuation Plan.
(1) A licensed child-care
center shall have a written evacuation plan in the event of a fire, natural
disaster, or other threatening situation that may pose a health or safety
hazard for a child in care in accordance with
KRS
199.895 and
42 U.S.C.
9858c(c)(2)(U).
(2) The cabinet shall post an online template
of an evacuation plan that:
(a) Fulfills
requirements of
KRS
199.895;
(b) Is optional for a child-care center's
use; and
(c) Is available to a
licensed child-care center without charge.
Section 6. License Issuance.
(1) The cabinet shall monitor a child-care
center that operates under a preliminary license issued pursuant to Section
4(2) of this administrative regulation.
(2) Upon completion of the probationary
period required in Section 4(2) of this administrative regulation, the cabinet
shall:
(a) Approve regular licensure for a
child-care center operating under a preliminary license; or
(b) If a condition specified in Section 17 of
this administrative regulation exists, deny regular licensure.
(3) A preliminary or regular
license shall not be issued unless each background check required by 922 KAR
2:280 has been completed on behalf of an applicant for licensure.
(4) Background checks in accordance with 922
KAR 2:280 shall apply to:
(a) An
applicant;
(b) A
director;
(c) An employee who is
present during the time a child is receiving care;
(d) Any person with supervisory or
disciplinary control over a child in care; or
(e) A person in accordance with
42 U.S.C.
9858f and
45
C.F.R. 98.43.
(5) If an applicant for licensure has had a
previous ownership interest in a child-care provider that has had a prior
certification, license, or registration denied, revoked, or voluntarily
relinquished as a result of an investigation or pending adverse action, the
cabinet shall grant the applicant a license if:
(a) A seven (7) year period has expired from
the:
1. Date of the prior denial or
revocation;
2. Date the
certification, license, or registration was voluntarily relinquished as a
result of an investigation or pending adverse action;
3. Last day of legal remedies being
exhausted; or
4. Administrative
hearing decision; and
(b) The applicant has:
1. Demonstrated compliance with the
provisions of this administrative regulation, 922 KAR 2:120, 922 KAR 2:280, and
KRS
199.896;
2. Completed, since the time of the prior
denial, revocation, or relinquishment, sixty (60) hours of training in child
development and child care practice, approved by the cabinet or its designee;
and
3. Not had an application,
certification, license, or registration denied, revoked, or voluntarily
relinquished as a result of an investigation or pending adverse action:
a. For one (1) of the reasons set forth in:
(i)
KRS
199.896(19); or
(ii)922 KAR 2:280; or
b. Due to a disqualification from:
(i) The Child Care Assistance Program
established by 922 KAR 2:160, including an intentional program violation in
accordance with 922 KAR 2:020; or
(ii) Another governmental assistance program
for fraud, abuse, or criminal conviction related to that program.
(6) If a license is granted after the seven
(7) year period specified in subsection (5)(a) of this section, the licensee
shall serve a two (2) year probationary period during which the child-care
center shall be inspected no less than semi-annually.
(7) A preliminary or regular license shall
specify:
(a) A particular premises;
(b) A designated licensee;
(c) Age category of the children in
care;
(d) The maximum number of
children allowed under center supervision at one (1) time, including a child
related to the licensee or an employee, based upon:
1. Available space as determined by the State
Fire Marshal's Office in conjunction with the cabinet;
2. Adequacy of program;
3. Equipment; and
4. Staff;
(e) If provided, nontraditional
hours;
(f) If provided,
transportation; and
(g) A list of
services to be provided by the child-care center.
(8) To qualify for a preliminary license, or
maintain a regular license, a child-care center shall:
(a) Provide written documentation from the
local authority showing compliance with local zoning requirements;
(b) Be approved by the Office of the State
Fire Marshal or designee;
(c) Have
an approved water and sewage system in accordance with local, county, and state
laws;
(d) Provide written proof of
liability insurance coverage of at least $100,000 per occurrence;
(e) Comply with provisions of this
administrative regulation, 922 KAR 2:120, and 922 KAR 2:280;
(f) Cooperate with the cabinet, the cabinet's
designee, or another agency with regulatory authority during:
1. An investigation of an alleged complaint,
including an allegation of child abuse or neglect pursuant to
KRS
620.030; and
2. Unannounced inspections; and
(g) Have a director who meets the
requirements listed in Section 10 of this administrative regulation.
(9) A child-care center shall
allow the cabinet or its designee, another agency with regulatory authority,
and a parent of an enrolled child unannounced access to the child-care center
during the hours of operation.
(10)
Denial of access, including any effort to delay, interfere with, or obstruct an
effort by a representative of the cabinet or another agency with regulatory
authority, to enter the child-care center or deny access to records relevant to
the inspection shall result in the cabinet pursuing adverse action in
accordance with Section 16, 17, or 18 of this administrative
regulation.
(11) A regular license
shall be issued if the center has met the requirements contained in this
administrative regulation, 922 KAR 2:120, 922 KAR 2:280, and
KRS
199.896(3), (15), (16), (18), (19), and
(21).
(12) A preliminary or regular license shall
not be sold or transferred.
(13) A
child-care center shall not begin operation without a preliminary license to
operate from the cabinet.
(14) A
child-care center operating without a preliminary or regular license shall be
subject to legal action.
(15) The
voluntary relinquishment of a preliminary or regular license shall not preclude
the cabinet's pursuit of adverse action.
Section 7. Fees.
(1) A nonrefundable initial licensing fee of
fifty (50) dollars shall be charged according to
KRS
199.896(3).
(2) A nonrefundable renewal fee of
twenty-five (25) dollars shall be charged in accordance with
KRS
199.896(3).
(3) Licensing fees shall be:
(a) Payable to the Kentucky State
Treasurer;
(b) Attached to the
licensure application; and
(c) Paid
by:
1. Cashier's check;
2. Certified check;
3. Business check; or
4. Money order.
Section 8. General.
(1) A licensee shall:
(a) Be responsible for the operation of the
child-care center pursuant to this administrative regulation, 922 KAR 2:120,
and 922 KAR 2:280; and
(b) Protect
and assure the health, safety, and comfort of each child.
(2) Child-care center staff shall be:
(a) Instructed by the child-care center's
director regarding requirements for operation; and
(b) Provided with a copy of this
administrative regulation, 922 KAR 2:120, and 922 KAR 2:280.
(3) A volunteer or board member
shall comply with the policies and procedures of the child-care
center.
(4) Program policies and
procedures shall:
(a) Be in writing;
and
(b) Include:
1. Staff policies;
2. Job descriptions;
3. An organization chart;
4. Chain of command; and
5. Other procedures necessary to ensure
implementation of:
a.
KRS
199.898, Rights for children in child-care
programs and their parents, custodians, or guardians - posting and distribution
requirements;
b.922 KAR 2:120,
Child-care center health and safety standards;
c.922 KAR 2:280, Background checks for child
care staff members, reporting requirements, and appeals; and
d. This administrative regulation.
(5) An
activity of a person living in a child-care center that is a dwelling unit
shall not interfere with the child-care center program.
(6) In addition to the posting requirement of
KRS
199.898(3), a child-care
center shall post the following in a conspicuous place and make available for
public inspection:
(a) The provider's
preliminary or regular license;
(b)
Each statement of deficiency and civil penalty notice issued by the cabinet
during the current licensure year;
(c) Each plan of correction submitted by the
child-care center to the cabinet during the current licensure year;
(d) Information on the Kentucky Consumer
Product Safety Program and the program's Web site as specified in
KRS
199.897;
(e) A description of services provided by the
child-care center, including:
1. Current
rates for child care; and
2. Each
service charged separately and in addition to the basic rate for child
care;
(f) Minimum
staff-to-child ratios and group size established in 922 KAR 2:120;
and
(g) Daily planned
program.
(7) If a
director, employee, volunteer, or any person with supervisory or disciplinary
control over, or having unsupervised contact with a child in care is named as
the alleged perpetrator in a child abuse or neglect report accepted by the
cabinet in accordance with 922 KAR 1:330, the individual shall be removed from
direct contact with a child in care:
(a) For
the duration of the assessment or investigation; and
(b) Pending completion of the administrative
appeal process for a cabinet substantiation of child abuse or neglect in
accordance with 922 KAR 1:320 or 922 KAR 1:480.
Section 9. Records.
(1) A child-care center shall maintain:
(a) A current immunization certificate for
each child in care within thirty (30) days of the child's enrollment, unless an
attending physician or the child's parent objects to the immunization of the
child pursuant to
KRS
214.036;
(b) A written record for each child:
1. Completed and signed by the child's
parent;
2. Retained on file on the
first day the child attends the child-care center; and
3. To contain:
a. Identifying information about the child,
which includes, at a minimum, the child's name, address, and date of
birth;
b. Contact information to
enable a person in charge to contact the child's:
(i) Parent at the parent's home or place of
employment;
(ii) Family physician;
and
(iii) Preferred
hospital;
c. The name of
each person who is designated in writing to pick-up the child;
d. The child's general health status and
medical history including, if applicable:
(i)
Allergies;
(ii) Restriction on the
child's participation in activities with specific instructions from the child's
parent or health professional; and
(iii) Permission from the parent for
third-party professional services in the child-care center;
e. The name and phone number of
each person to be contacted in an emergency involving or impacting the
child;
f. Authorization by the
parent for the child-care center to seek emergency medical care for the child
in the parent's absence; and
g. A
permission form for each trip off the premises signed by the child's parent in
accordance with 922 KAR 2:120, Section 12;
(c) Daily attendance records documenting the
arrival and departure time of each child, including records that are required
in accordance with 922 KAR 2:160, Section 13, if a child receives services from
the child-care center through the Child Care Assistance Program;
(d) A written schedule of staff working
hours;
(e) A current personnel file
for each child-care center staff person to include:
1. Name, address, date of birth, and date of
employment;
2. Proof of educational
qualifications;
3. Record of annual
performance evaluation;
4.
Documentation of compliance with tuberculosis screening in accordance with
Section 11(1)(b) of this administrative regulation; and
5. The results of background checks conducted
in accordance with 922 KAR 2:280;
(f) A written annual plan for child-care
staff professional development;
(g)
A written evacuation plan in accordance with Section 5 of this administrative
regulation;
(h) A written record of
quarterly practiced earthquake drills and tornado drills detailing the date,
time, and children who participated in accordance with 922 KAR 2:120, Section
3;
(i) A written record of
practiced fire drills conducted monthly detailing the date, time, and children
who participated in accordance with 922 KAR 2:120, Section 3;
(j) A written plan and diagram outlining the
course of action in the event of a natural or manmade disaster, posted in a
prominent place;
(k) A written
record of reports to the cabinet required in Section 13 of this administrative
regulation; and
(l) A written record
of transportation services provided in accordance with 922 KAR 2:120, Section
12.
(2) A child-care
center shall:
(a) Maintain the
confidentiality of a child's record and information concerning a child or the
child's parent;
(b) Maintain all
records for five (5) years; and
(c)
Provide the cabinet access and information in the completion of the
investigation pursuant to
KRS
620.030.
Section 10. Director Requirements and
Responsibilities.
(1) A director shall:
(a) Be at least twenty-one (21) years of
age;
(b) Have a high school
diploma, a general equivalency diploma (GED), or qualifying documentation from
a comparable educational entity;
(c) Not be employed in a position other than
an onsite child care director, or director of multiple facilities, during the
hours the child-care center is in operation;
(d) Ensure:
1. Compliance with 922 KAR 2:120, 922 KAR
2:280, and this administrative regulation; and
2. The designation of one (1) adult staff
person in charge to carry out the director's duties if the director is not
present in the child-care center during operating hours. The director shall be
responsible for the actions of the designee during the director's
absence;
(e) Manage the
staff in their individual job descriptions;
(f) Assure the development, implementation,
and monitoring of child-care center plans, policies, and procedures;
(g) Supervise staff conduct to ensure
implementation of program policies and procedures;
(h) Post a schedule of daily activities, to include
dates and times of activities to be conducted with the children in each
classroom;
(i) Conduct, manage, and
document in writing recurring staff meetings;
(j) Assess each staff person's interaction
with children in care and classroom performance through an annual written
performance evaluation;
(k) Assure
that additional staff are available during cooking and cleaning hours, if
necessary, to maintain staff-to-child ratios pursuant to 922 KAR
2:120;
(l) Notify the parent
immediately of an accident or incident requiring medical treatment of a
child;
(m) Assure that a person
acting as a caregiver of a child in care shall not be left alone with a child,
if the licensee has not received the results of the background checks as
established in 922 KAR 2:280;
(n)
Assure each mandatory record specified in Section 9 of this administrative
regulation has not been altered or falsified;
(o) Coordinate at least one (1) annual
activity involving parental or family participation; and
(p) Not have had previous ownership interest
in a child-care provider that had its certification, license, or registration
denied or revoked.
(2)
The director of a Type I child-care center shall meet one (1) of the following
educational requirements:
(a) Master's degree
in education or child development field;
(b) Bachelor's degree in education or child
development field;
(c) Master's
degree or a bachelor's degree in a field other than education or child
development, including a degree in pastoral care and counseling, plus twelve
(12) clock hours of child development training;
(d) Associate degree in Early Childhood
Education and Development;
(e)
Associate degree in a field other than Early Childhood Education and
Development, plus twelve (12) clock hours of child development training, and
two (2) years of verifiable full-time paid experience working directly with
children;
(f) A Director's
Credential in Early Childhood Development and one (1) year of verifiable
fulltime paid experience working directly with children in:
1. A school-based program following
Department of Education guidelines;
2. An early childhood development program,
such as Head Start; or
3. A
licensed or certified child-care program;
(g) Child development associate plus one (1)
year of verifiable paid experience working directly with children in:
1. A school-based program following
Department of Education guidelines;
2. An early childhood development program,
such as Head Start; or
3. A
licensed or certified child-care program; or
(h) Three (3) years of verifiable full-time
paid experience working directly with children in:
1. A school-based program following
Department of Education guidelines;
2. An early childhood development program,
such as Head Start; or
3. A
licensed or certified child-care program.
(3) The director of a Type II child-care
center shall:
(a) Meet the requirements in
subsection (2) of this section; or
(b) Meet two (2) of the following:
1. Have twelve (12) hours of orientation and
child development training;
2. Have
one (1) year of verifiable full-time paid experience working directly with
children in:
a. A school-based program
following Department of Education guidelines;
b. An early childhood development program,
such as Head Start; or
c. A
licensed or certified child-care program; or
3. Obtain six (6) additional hours of
training in child day care program administration.
Section 11. Staff
Requirements.
(1) Child-care center staff:
(a) Hired after January 1, 2009, who have
supervisory power over a minor and are not enrolled in secondary education,
shall have a:
1. High school
diploma;
2. GED or qualifying
documentation from a comparable educational entity; or
3. Commonwealth Child Care Credential as
described in 922 KAR 2:250; and
(b) Shall provide, prior to employment and
every two (2) years thereafter:
1. A statement
from a health professional that the individual is free of active tuberculosis;
or
2. A copy of negative tuberculin
results.
(2)
(a) A child-care center shall not employ a
person:
1. With a disqualifying background
check result in accordance with 922 KAR 2:280; or
2. Determined by a physician to have a health
condition that renders the person unable to care for children.
(b) An individual described in
Section 6(4) of this administrative regulation shall report to the licensee if
the individual:
1. Meets a disqualifying
criterion or has a disqualifying background check result as specified in 922
KAR 2:280;
2. Is the subject of a
cabinet child abuse or neglect investigation; or
3. Is determined by a physician to have a
health condition that renders the person unable to care for children.
(3) For a child-care
center licensed for infant, toddler, or preschool-age children, at least one
(1) person on duty and present with the children shall be currently certified
by a cabinet-approved training agency in the following skills:
(a) Infant and child cardiopulmonary
resuscitation; and
(b) Infant and
child first aid.
(4) For
a child-care center licensed for school-age children, at least one (1) person
on duty and present with the children shall be currently certified by a
cabinet-approved training agency in the following skills:
(a) Adult cardiopulmonary resuscitation;
and
(b) First aid.
(5) Cardiopulmonary resuscitation
(CPR) and first aid training shall be in addition to the fifteen (15) clock
hours requirement in subsection (16) of this section.
(6) Child-care centers shall have available
in case of need:
(a) One (1) qualified
substitute staff person for a Type II child-care center; or
(b) Two (2) qualified substitute staff
persons for a Type I child-care center.
(7) Each qualified substitute staff person
shall:
(a) Meet the staff requirements of
this administrative regulation; and
(b) Provide the required documentation to
verify compliance with this administrative regulation.
(8) A qualified substitute who works in more
than one (1) licensed child-care center shall provide the required
documentation to verify compliance with this administrative regulation at the
time of employment with each child-care center.
(9) If the operator of a Type II child-care
center is unable to provide care in accordance with this administrative
regulation, 922 KAR 2:280, or 922 KAR 2:120, the Type II child-care center
shall:
(a) Close temporarily until the
operator is able to resume compliance; and
(b) Immediately notify parents of enrolled
children of the temporary closure.
(10) The minimum number of adult workers in a
child-care center shall be sufficient to ensure that:
(a) Minimum staff-to-child ratios in
accordance with 922 KAR 2:120 are followed;
(b) Each staff person under eighteen (18)
years of age and each student trainee are under the direct supervision of a
qualified staff person who meets the requirements of this section;
and
(c) Unless providing care with
a qualified staff person, a person under the age of eighteen (18) shall not be
counted as staff for the staff-to-child ratio.
(11) Except for medication as prescribed by a
physician, a controlled substance shall not be permitted on the premises during
hours of operation.
(12) Alcohol
shall:
(a) Not be consumed by any person on
the licensed child-care center's premises during hours of operation;
and
(b) Be kept out of reach and
sight of a child in care.
(13) Each staff person shall remain awake
while on duty except as specified in 922 KAR 2:120, Section 2(11)(f).
(14) For each adult residing at a Type II
child-care center, the results of the following shall be maintained on file at
the center:
(a) Background checks conducted in
accordance with 922 KAR 2:280; and
(b) A copy of negative tuberculin results or
a health professional's statement documenting that the adult is free of
tuberculosis. Every two (2) years, the adult shall provide negative tuberculin
results or health professional's statement documenting that the adult is free
of tuberculosis.
(15) If
a new adult begins residing in a Type II child-care center, the adult shall
submit to background and health checks within thirty (30) calendar days of
residence within the household.
(16) In accordance with
KRS
199.896(15) and (16), a
staff person with supervisory authority over a child shall complete the
following:
(a) Six (6) hours of
cabinet-approved orientation completed within the first three (3) months of
employment in a child care program;
(b) Nine (9) hours of cabinet-approved early
care and education training within the first year of employment in a child care
program, including one and one-half (1 1/2) hours of cabinet-approved pediatric
abusive head trauma training; and
(c) Fifteen (15) hours of cabinet-approved
early care and education training completed between July 1 and the following
June 30 of each subsequent year of employment in a child care program,
including one and one-half (1 1/2) hours of cabinet-approved pediatric abusive
head trauma training completed once every five (5) years.
(17) A staff person's compliance with
training requirements of this section shall be verified through the
cabinet-designated database maintained pursuant to 922 KAR 2:240.
Section 12. Contract Substitute
Staff Member Requirements.
(1) A contract
substitute staff member shall:
(a) Comply with
the training requirements established in Section 11 of this administrative
regulation;
(b) Be employed by an
outside agency and provide the required documentation to verify the contractual
agreement between the licensed child-care center and the outside
agency;
(c) Provide a hard copy
file containing all required staff records to be kept on-site at the licensed
child-care center and maintained at the center for five (5) years;
(d) Be entered into the cabinet-designated
database as a staff member of the outside organization in accordance with 922
KAR 2:240;
(e) Be the
responsibility of the licensed child-care center while working on-site;
and
(f) Have supervisory authority
over a child only if the requirements of 922 KAR 2:120, 922 KAR 2:280, and this
administrative regulation are met.
(2) Except for an employee of a child-care
center program authorized by
42 U.S.C.
9831-9852,
an owner or employee of a contract agency possessing a Kentucky Early Care and
Education Trainer's Credential shall not train an employee of the same contract
agency in order to meet the training requirements established in:
(a)
KRS
199.896(15) and (16), 922
KAR 2:180, 922 KAR 2:240, 922 KAR 2:250, 922 KAR 2:270, or this administrative
regulation; or
(b) A child
development associate credential.
Section 13. Reports.
(1) The following shall be reported to the
cabinet or designee and other agencies specified in this section within
twenty-four (24) hours from the time of discovery:
(a) Communicable disease, which shall also be
reported to the local health department pursuant to
KRS
214.010;
(b) An accident or injury to a child that
requires medical care initiated by the child-care center or the child's
parent;
(c) An incident that
results in legal action by or against the child-care center that:
1. Affects a child or staff person;
or
2. Includes the center's
discontinuation or disqualification from a governmental assistance program due
to fraud, abuse, or criminal conviction related to that program;
(d) An incident involving fire or
other emergency, including a vehicular accident when the center is transporting
a child receiving child care services;
(e) A report of child abuse or neglect that:
1. Has been accepted by the cabinet in
accordance with 922 KAR 1:330; and
2. Names a director, employee, volunteer, or
person with supervisory or disciplinary control over, or having unsupervised
contact with, a child in care as the alleged perpetrator; or
(f) An individual specified in
Section 6(4) of this administrative regulation meeting a disqualifying
criterion or background check result pursuant to 922 KAR 2:280.
(2) An incident of child abuse or
neglect shall be reported to the cabinet pursuant to
KRS
620.030.
(3) A licensee shall report to the cabinet
within one (1) week:
(a) Any resignation,
termination, or change of director; and
(b) The name of the acting director who
satisfies the requirements of Section 10 of this administrative
regulation.
(4)
(a) Written notification of the following
shall be:
1. Made to the cabinet, in writing,
to allow for approval before implementation:
a. Change of ownership;
b. Change of location;
c. Increase in capacity;
d. Change in hours of operation;
e. Change of services in the following
categories:
(i) Infant;
(ii) Toddler;
(iii) Preschool-age;
(iv) School-age;
(v) Nontraditional hours; or
(vi) Transportation; or
f. Addition to or reduction of the square
footage of a child-care center's premises; and
2. Signed by each owner listed on the
preliminary or regular license.
(b) The cabinet or its designee shall not
charge a fee for acting upon reported changes.
(5) The death of a child in care shall be
reported to the cabinet within one (1) hour.
(6) The cabinet and the parent of a child
enrolled in a child-care center shall receive notice as soon as practicable,
and prior to, a child-care center's temporary or permanent closure.
Section 14. Annual Renewal.
(1)
(a) A
regular license shall expire one (1) year from the effective date or last
renewal date unless the licensee renews the regular license in accordance with
this section and
KRS
199.896(3).
(b) A preliminary license shall expire six
(6) months from the date of issuance.
(c) A regular license that expires shall
lapse and shall not be subject to appeal.
(2) A licensee seeking renewal of a regular license
shall:
(a) Submit one (1) month prior to the
anniversary of the regular license's effective date, an OIG-DRCC-06, Child-Care
Center License Renewal Form;
(b)
Meet the requirements specified in Sections 4 through 13 of this administrative
regulation; and
(c) Pay the
nonrefundable renewal fee in accordance with Section 7 of this administrative
regulation.
(3) If
requirements of subsection (1) of this section are met, the cabinet shall renew
the license in the form of a validation letter.
(4) An application for renewal shall be
denied in accordance with Section 17 of this administrative
regulation.
Section 15.
Statement of Deficiency and Corrective Action Plans.
(1) If a center is found not to be in
regulatory compliance, the cabinet or its designee shall complete a written
statement of deficiency in accordance with
KRS
199.896(5).
(2) Except for a violation posing an
immediate threat as handled in accordance with
KRS
199.896(5)(c), a child-care
center shall submit a written corrective action plan to the cabinet or its
designee within fifteen (15) calendar days of the date of the statement of
deficiency to eliminate or correct the regulatory violation.
(3) A corrective action plan shall include:
(a) Specific action undertaken to correct a
violation;
(b) The date action was
or shall be completed;
(c) Action
utilized to assure ongoing compliance;
(d) Supplemental documentation requested as a
part of the plan; and
(e) Signature
of the licensee or designated representative of the licensee and the date of
signature.
(4) The
cabinet or its designee shall review the plan and notify the child-care center
within thirty (30) calendar days of receipt of the plan, in writing, of the
decision to:
(a) Accept the plan;
(b) Not accept the plan; or
(c) Deny, suspend, or revoke the child-care
center's license, in accordance with Section 17 of this administrative
regulation.
(5) A notice
of unacceptability shall state the specific reasons the plan is
unacceptable.
(6) A child-care
center notified of the unacceptability of its plan shall:
(a) Within fifteen (15) calendar days of the
notification's date, submit an amended plan; or
(b) Have its license revoked or denied for
failure to:
1. Submit an acceptable amended
plan in accordance with
KRS
199.896(4); or
2. Implement the corrective measures
identified in the plan of correction.
(7) The cabinet shall not review or accept
more than three (3) corrective action plans from a licensed child-care center
in response to the same written statement of deficiency.
(8) If a licensed child-care center fails to
submit an acceptable corrective action plan or does not implement corrective
measures in accordance with the corrective action plan, the cabinet shall deny
or revoke the center's license.
(9)
The administrative regulatory violation reported on a statement of deficiency
that poses an immediate threat to the health, safety, or welfare of a child
shall be corrected within five (5) working days from the date of the statement
of deficiency in accordance with
KRS
199.896(5)(c).
Section 16. Directed Plan of
Correction (DPOC). If the cabinet determines that a child-care center is in
violation of this administrative regulation, 922 KAR 2:120, or 922 KAR 2:280,
based on the severity of the violation, the cabinet:
(1) Shall enter into an agreement with the
provider detailing the requirements for remedying a violation and achieving
compliance;
(2) Shall notify or
require the provider to notify a parent of a child who may be affected by the
situation for which a DPOC has been imposed;
(3) Shall increase the frequency of
monitoring by cabinet staff;
(4)
May require the provider to participate in additional training; and
(5) May amend the agreement with the provider
if the cabinet identifies an additional violation during the DPOC.
Section 17. Basis for Denial,
Suspension, or Revocation.
(1)
(a) The cabinet shall deny, suspend, or
revoke a preliminary or regular license in accordance with
KRS
199.896 if the applicant for licensure,
director, employee, or a person who has supervisory authority over, or
un-supervised contact with, a child fails to meet the requirements of this
administrative regulation, 922 KAR 2:120, 922 KAR 2:280, or 922 KAR
2:190.
(b) A licensee whose regular
license is suspended or revoked shall:
1.
Receive a new license certificate indicating that the license is under adverse
action; and
2. Post the new license
certificate in accordance with Section 8(6) of this administrative
regulation.
(2) Emergency Action.
(a) The cabinet shall take emergency action
in accordance with
KRS
199.896(4) by issuing an
emergency order that suspends a child-care center's license.
(b) An emergency order shall:
1. Be served to a licensed child-care center
in accordance with
KRS
13B.050(2); and
2. Specify the regulatory violation that
caused the emergency condition to exist.
(c) Upon receipt of an emergency order, a
child-care center shall surrender its license to the cabinet.
(d) The cabinet or its designee and the
child-care center shall make reasonable efforts to:
1. Notify a parent of each child in care of
the center's suspension; and
2.
Refer a parent for assistance in locating alternate child care
arrangements.
(e) A
child-care center required to comply with an emergency order issued in
accordance with this subsection may submit a written request for an emergency
hearing within twenty (20) calendar days of receipt of the order to determine
the propriety of the licensure's suspension in accordance with
KRS
199.896(7).
(f) The cabinet shall conduct an emergency
hearing within ten (10) working days of the request for hearing in accordance
with
KRS
13B.125(3).
(g)
1.
Within five (5) working days of completion of the hearing, the cabinet's
hearing officer shall render a written decision affirming, modifying, or
revoking the emergency order to suspend licensure.
2. The emergency order shall be affirmed if
there is substantial evidence of an immediate threat to public health, safety,
or welfare.
(h) A
provider's license shall be revoked if the:
1. Provider does not request a hearing within
the timeframes established in paragraph (e) of this subsection; or
2. Condition that resulted in the emergency
order is not corrected within thirty (30) calendar days of service of the
emergency order.
(3) Public information shall be provided in
accordance with
KRS
199.896(10) and (11), and
199.898(2)(d)
and (e).
(4) Unless an applicant for a license meets
requirements of Section 6(5) of this administrative regulation, the cabinet
shall deny an applicant for a preliminary or regular license if:
(a) The applicant has had previous ownership
interest in a child-care provider that had its certification, license, or
registration denied or revoked;
(b)
Denial, investigation, or revocation proceedings were initiated, and the
licensee voluntarily relinquished the license;
(c) An appeal of a denial or revocation is
pending;
(d) The applicant
previously failed to comply with the requirements of
KRS
199.896, 922 KAR 2:120, 922 KAR 2:280, 922
KAR 2:190, this administrative regulation, or another administrative regulation
effective at the time;
(e) An
individual with ownership interest in the child-care center has been
discontinued or disqualified from participation in:
1. The Child Care Assistance Program
established by 922 KAR 2:160, including an intentional program violation in
accordance with 922 KAR 2:020; or
2. Another governmental assistance program
due to fraud, abuse, or criminal conviction related to that program;
(f) The applicant is the parent,
spouse, sibling, or child of a previous licensee whose license was denied,
revoked, or voluntarily relinquished as described in paragraphs (a) through (d)
of this subsection, and the previous licensee will be involved in the
child-care center in any capacity;
(g) The applicant listed as an officer,
director, incorporator, or organizer of a corporation or limited liability
company whose child-care center license was denied, revoked, or voluntarily
relinquished as described in paragraph (a) through (d) of this subsection
within the past seven (7) years;
(h) The applicant knowingly misrepresents or
submits false information on a form required by the cabinet;
(i) The applicant interferes with a cabinet
or other agency representative's ability to perform an official duty pursuant
to Section 6(8)(f) or 6(9) of this administrative regulation;
(j) The applicant's background check reveals
that the applicant is disqualified in accordance with 922 KAR 2:280;
(k) The applicant has been the subject of
more than two (2) directed plans of correction during a three (3) year period;
or
(l) The applicant has failed to
comply with payment provisions in accordance with 922 KAR 2:190.
(5) A child-care center's license
shall be revoked if:
(a) A representative of
the center interferes with a cabinet or other agency representative's ability
to perform an official duty pursuant to Section 6(8)(f) or 6(9) of this
administrative regulation;
(b) A
cabinet representative, a representative from another agency with regulatory
authority, or parent is denied access during operating hours to:
1. A child;
2. The child-care center; or
3. Child-care center staff;
(c) The licensee is discontinued
or disqualified from participation in:
1. The
Child Care Assistance Program as a result of an intentional program violation
in accordance with 922 KAR 2:020; or
2. A governmental assistance program as a
result of fraud, abuse, or criminal conviction related to that
program;
(d) The
licensee fails to meet a condition of, or violates a requirement of a directed
plan of correction pursuant to Section 16 of this administrative
regulation;
(e) The applicant or
licensee knowingly misrepresents or submits false information on a form
required by the cabinet;
(f) The
licensee is the subject of more than two (2) directed plans of correction
during a three (3) year period; or
(g) The licensee has failed to comply with
payment provisions in accordance with 922 KAR 2:190.
(6) The cabinet or its designee shall suspend
the license if:
(a) A regulatory violation is
found to pose an immediate threat to the health, safety, and welfare of the
children in care as described in
KRS
199.896(4); or
(b) The child care-center fails to comply
with the approved plan of correction.
Section 18. Civil Penalty. The cabinet shall
assess and enforce a civil penalty in accordance with 922 KAR 2:190.
Section 19. Right of Appeal.
(1) If an application has been denied or a
licensee receives notice of suspension, revocation, or civil penalty, the
cabinet shall inform the applicant for licen-sure or licensee by written
notification of the right to appeal the notice of adverse action in accordance
with KRS Chapter 13B and 199.896(7).
(2) An adverse action may be appealed by
filing form OIG-DRCC-02, Licensed Provider Request for Appeal. The request
shall:
(a) Be submitted to the secretary of
the cabinet or designee within twenty (20) calendar days of the notice of
adverse action; and
(b) Specify if
an applicant for licensure or licensee requests an opportunity to informally
dispute the notice of adverse action.
(3) If an applicant for licensure or a
licensee files an OIG-DRCC-02 for a hearing, the cabinet shall:
(a) Appoint a hearing officer; and
(b) Proceed pursuant to
KRS
13B.050.
(4) If an applicant for licensure or a
licensee files a request for a hearing and a request for an informal dispute
resolution, the cabinet shall:
(a) Abate the
formal hearing pending completion of the informal dispute resolution process;
and
(b) Proceed to informal dispute
resolution.
Section
20. Informal Dispute Resolution.
(1) A request for informal dispute resolution
shall:
(a) Accompany the request for a
hearing;
(b) Identify the licensure
deficiency in dispute;
(c) Specify
the reason the applicant for licensure or licensee disagrees with the
deficiency; and
(d) Include
documentation that disputes the deficiency.
(2) Upon receipt of the written request for
informal dispute resolution, the regional program manager or designee shall:
(a) Review documentation submitted by the
applicant for licensure or licensee; and
(b) If requested, schedule an informal
dispute resolution meeting with the applicant for li-censure or
licensee.
(3) The
informal dispute resolution meeting shall be held within ten (10) calendar days
of receipt of the request by the cabinet, unless both parties agree in writing
to an extension of time.
(4) The
informal dispute resolution meeting shall be conducted by:
(a) The regional program manager or designee;
and
(b) A child care surveyor who
did not participate in the survey resulting in the disputed
deficiency.
(5) Within
ten (10) calendar days of completion of the informal dispute resolution meeting
or request, the regional program manager or designee shall:
(a) Issue a decision by written notification
to the return address specified in the request for informal dispute
resolution;
(b) If a change is made
to the statement of deficiencies, issue an amended statement of deficiencies;
and
(c) Specify whether the adverse
action has been rescinded.
(6) An applicant or a licensee may:
(a) Accept the determination; or
(b) Proceed to a hearing according to
KRS
13B.050.
(7) A request for informal dispute resolution
shall not:
(a) Limit, modify, or suspend
enforcement action against the applicant for licensure or licensee;
or
(b) Delay submission of a
written plan of correction.
(8) Emergency action taken in accordance with
Section 17(2) of this administrative regulation shall conform to the
requirements of
KRS
199.896(4). The informal
dispute resolution process shall not restrict the cabinet's ability to issue an
emergency order to stop, prevent, or avoid an immediate threat to public
health, safety, or welfare under
KRS
13B.125(2) and
199.896(4).
Section 21. Incorporation by
Reference.
(1) The following material is
incorporated by reference:
(a) "OIG-DRCC-01,
Initial Child-Care Center License Application", 8/2018;
(b) "OIG-DRCC-02, Licensed Provider Request
for Appeal ", 3/2020; and
(c)
"OIG-DRCC-06, Child-Care Center License Renewal Form", 8/2018.
(2) This material may be
inspected, copied, or obtained, subject to applicable copyright law, at the
Office of the Inspector General, 275 East Main Street, Frankfort, Kentucky
40621, Monday through Friday, 8 a.m. to 4:30 p.m.
STATUTORY AUTHORITY:
KRS
194A.050(1),
199.896(2),
(6)