Current through Vol. 42, No. 1, September 16, 2024
(a)
Legal
basis. The Oklahoma Child Care Facilities Licensing Act (Act), Section
406 of Title 10 of the Oklahoma
Statutes (10 O.S. § 406), mandates that Oklahoma Human Services conduct a
full complaint investigation alleging violation against the Act or Licensing
requirements.
(b)
Complaint
receipt. Complaints may be made to Licensing in writing, in person, by
phone, or electronically.
(c)
Complaint information. Licensing staff obtains as much relevant
information as possible from the complainant.
(d)
Screening complaints.
Licensing staff accepts a complaint for investigation when alleging:
(1) non-compliance with Licensing
requirements;
(2) violation of the
Act;
(3) unlicensed facility
operation; or
(4) abuse or neglect
of a child in care.
(e)
Duplicate complaint. Allegations received by a different
complainant regarding a previously reported incident may be considered a
duplicate complaint.
(1) Duplicate complaints:
(A) must involve the same child(ren), program
personnel, and incident date and time;
(B) require supervisory approval before
proceeding with duplicate complaint processes;
(C) received during a pending investigation
are documented on the existing Form 07LC012E, Licensing Complaint, and
considered part of the initial complaint; and
(D) received after the investigation is
complete are documented on Form 07LC080E, Licensing Services Supplemental
Information, and included with the initial complaint investigation
documentation; regardless of the duplicate allegation receipt
timeframe.
(2) When a
duplicate complainant provides additional allegations:
(A) during a pending investigation,
allegations are investigated with the initial complaint allegations;
or
(B) after investigation
completion, the allegations are investigated as a new complaint and documented
on Form 07LC012E.
(3)
Prior to investigation completion, Licensing informs licensed programs when a
duplicate complaint is reported and when additional allegations are
investigated.
(4) Allegations of an
unlicensed facility operation may be considered a duplicate
complaint.
(f)
Complaint risk levels. Licensing staff determine risk levels based
on the degree of harm or danger to children in care. Risk levels are used to
ensure investigations occur timely.
(1)
Risk level I complaints. Risk level I complaints indicate a child
is in imminent risk of serious physical harm. The risk level is not influenced
by the removal of a child from the facility when other children remain in care.
Investigations are initiated immediately or no later than 24 hours after
receipt by Licensing unless awaiting a Child Welfare Services (CWS) or local
law enforcement investigation; excluding weekends and holidays when the
facility is closed. Non-compliances with licensing requirements include, but
are not limited to:
(A) alleged physical or
sexual abuse;
(B) the presence or
use of illegal drugs while children are in care;
(C) drug distribution;
(D) children left in the facility or in a
vehicle without anyone present;
(E)
facility temperatures;
(F) infant
sleep environments and safe-sleep training;
(G) caregiver's threatening or impaired
behavior;
(H) severe understaffing
or severe over licensed capacity;
(I) child passenger restraints;
(J) Emergency Order violation;
(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 individuals identified as restricted or
Restricted Registry 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 10-calendar days of receipt by Licensing, unless requested to delay the
investigation by CWS or local law enforcement. Non-compliances with licensing
requirements include, but are not limited to:
(A) leaving children with underage
personnel;
(B) alleged physical
abuse from personnel no longer working in the facility;
(C) inappropriate discipline, when no injury
is reported;
(D) diapering or
toileting;
(E) hazardous
equipment;
(F) transporting without
a valid driver license, liability insurance, or parent permissions;
(G) lack of supervision; or
(H) minor understaffing or minor over
licensed capacity.
(3)
Risk level III complaints. Risk level III complaints do not
indicate imminent risk of harm and there are no injuries alleged. Serious
non-compliances, per Oklahoma Administrative Code (OAC)
340:110-1-9.3 are not considered
risk level III complaints. Investigations are initiated within 15-calendar days
of receipt by Licensing; including when a phone investigation is appropriate,
per (g) of this Section. Non-compliances with licensing requirements include,
but are not limited to:
(A) inadequate meal
service;
(B) lack of play
equipment;
(C) quarterly vehicle
maintenance;
(D) program records
and documentation;
(E)
inappropriate television or media use; or
(F) facility
cleanliness.
(g)
The investigation. Licensing
staff conducts a full investigation, obtaining sufficient information to
determine a finding.
(h)
Phone investigation. With supervisory approval, Licensing staff
may investigate a complaint by phone. The investigation discussion is
documented on Form 07LC080E, Licensing Services Supplemental Information,
including an agreed-upon plan of correction, when necessary,and provided to the
operator. A complaint is investigated by phone only when:
(1) the alleged non-compliance does not place
children at risk of harm, such as, 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 within the
previous 12 months from complaint receipt; and
(3) a monitoring visit was conducted in the
last three months with substantial compliance documented.
(i)
Unlicensed facility
investigations. When a complaint alleging operation of an unlicensed
facility is received, the procedure, per OAC
340:110-1-13, is also
followed.
(j)
Child abuse and
neglect complaints. On receipt of abuse or neglect allegations of a
child in care, Licensing staff immediately notifies the Licensing supervisor
and submits a CWS referral. When the allegation involves child abuse or neglect
or a report indicating a child is in imminent risk of serious physical harm,
the regional programs manager is also notified.
(k)
Findings. After
investigation completion, the Licensing staff, in consultation with the
supervisor, as appropriate, determines the complaint finding as substantiated
or unsubstantiated.
(1)
Substantiated. A substantiated finding is determined when some
credible evidence indicates the facility violated Licensing requirements or the
Act.
(2)
Unsubstantiated. An unsubstantiated finding is determined when:
(A) insufficient evidence exists to fully
determine whether a violation occurred; or
(B) no violation of Licensing requirements or
the Act occurred.
(l)
Documentation of findings.
Upon investigation completion, Licensing staff:
(1) documents the findings;
(2) notifies the provider of complaint
allegations and findings by providing:
(A) a
complaint findings cover letter;
(B) Form 07LC081E, Licensing Complaint Report
Summary; and
(C) Form 04CP004E,
Child Welfare Investigative Summary Notification to Child Care Licensing
Services, when applicable; and
(3) updates the Licensing database and closes
the complaint. Licensing staff and a supervisor complete the complaint review
checklist.
(m)
Heinous and shocking abuse findings. Per 10 O.S. § 406, when
Licensing receives notification from CWS of heinous and shocking abuse findings
by a person responsible for the child's health, safety, or welfare as defined,
per 10A O.S. §1-1-105, Licensing contacts the program by email immediately
or not later than one-business day after the substantiated finding
notification.
(n)
Notice to
Comply. When a complaint allegation is substantiated, Licensing staff
advises the facility to correct the violations immediately and requests the
facility complete Form 07LC037E, Notice to Comply, per OAC
340:110-1-9.3(d)
(7). Licensing staff updates the Licensing database with plan of correction
information.
(o)
Summary of
facts. Licensing provides facility directors and owners or primary
caregivers a summary of the facts used to evaluate and determine the complaint
findings.
(p)
Complaint
overview. Licensing staff completes an overview of completed complaint
investigations on Form 07LC080E, Licensing Services Supplemental Information.
This overview provides an investigation summary of how the complaint findings
were determined and is maintained in the case record's confidential
section.
