Current through Vol. 42, No. 1, September 16, 2024
(a)
Non-compliance documentation. Licensing staff clearly and
concisely documents areas of non-compliance on the monitoring checklist and
summary, including operator discussion.
(1) A
plan of correction, including a specific agreed-on time period for
non-compliance correction is documented on the monitoring summary. When a
previous non-compliance was not corrected by the agreed-on time period, the
non-compliance is documented again with a shorter plan of correction
date.
(2) Immediate correction is
required when the non-compliance directly impacts children's health, safety, or
well-being.
(3) Licensing staff
requests the operator's signature on the monitoring summary, explaining the
signature indicates acknowledgment of recorded information.
(4) When the operator or individual in charge
refuses to sign, the refusal is documented on the monitoring summary.
(5) The operator is provided a monitoring
summary copy.
(6) Timeframes for
filing a grievance are provided on the monitoring summary. Refer to grievance
procedures, per Oklahoma Administrative Code (OAC)
340:110-1-15.
(b)
Referrals to fire and
health officials. When non-compliance regarding fire or health
requirements places children at risk or remains uncorrected, Licensing staff
requests an inspection by a fire, health, or Oklahoma Department of
Environmental Quality official. When there is non-compliance regarding smoke
detectors, the child care provider is provided a copy of the Smoke Detector
Law, Section
324.11A
of Title 74 of the Oklahoma Statutes (74 O.S. § 324.11A). When the
non-compliance is not corrected by the third monitoring visit or is repeated,
copies of the monitoring summaries are provided with a cover letter to the
appropriate fire official.
(c)
Numerous, repeated, and serious non-compliance.
(1) Numerous non-compliance is monitoring
visits with:
(A) five or more Licensing
requirement sections documented as non-compliant on the monitoring checklist
for a family child care home or large child care home;
(B) six or more Licensing requirement
sections documented as non-compliant on the monitoring checklist for a child
care center, day camp, drop-in, out-of-school time, part-day program, or
program for sick children with a licensed capacity of less than 60;
or
(C) seven or more Licensing
requirement sections for a child care center, day camp, drop-in, out-of-school
time, part-day program, or program for sick children with a licensed capacity
of 60 or more.
(2)
Repeated non-compliance is three or more documented incidents of non-compliance
with the same requirement within the last 12 months. Missing immunizations are
considered a repeated non-compliance when regarding the same child.
(3) Serious non-compliance is non-compliance
with Licensing requirements exposing children to conditions presenting an
imminent risk of harm based on the child's age, the amount of time the operator
was out of compliance, and the operator's efforts to mitigate the risk. Serious
non-compliance is identified through Licensing observations, confirmed
complaint investigations, and/or self-reported incidences. Failure to comply
with licensing requirements that may be considered as serious non-compliance
include:
(A) staff-child ratio;
(B) child supervision;
(C) infant sleep environments and safe-sleep
training;
(D) prohibited
disciplinary actions;
(E) licensed
capacity;
(F)
transportation;
(G) water
activities;
(H) pools and other
water hazards;
(I) multiple
hazards;
(J) weapons;
(K) failure to report child abuse or human
trafficking;
(L) knowingly
permitting access to children by individuals identified as restricted or
Restricted Registry registrants;
(M) failure to obtain background
investigations or Restricted Registry searches;
(N) medication administration;
(O) room temperatures;
(P) heat sources and/or loss of any utility
service; and
(Q) cardio-pulmonary
resuscitation and first aid training.
(d)
Case management responses to
non-compliant facilities. One or more responses in this subsection are
used when there is numerous, repeated, or serious non-compliance.
(1)
Technical assistance.
Licensing staff offers technical assistance, including referrals to consultants
or professional development resources, assisting the operator in meeting and
maintaining Licensing requirements.
(2)
Follow-up phone call to the
program. Phone calls are documented on Form 07LC080E, Licensing Services
Supplemental Information, and a copy provided to the program.
(3)
Non-compliance letters. A
non-compliance letter may be written to the operator. Licensing staff provides
a monitoring summary copy with the non-compliance letter to the owner or
registered agent, when applicable.
(4)
Return monitoring visit. A
return monitoring visit may be conducted when there is numerous, repeated, or
serious non-compliance with Licensing requirements or when non-compliance
places children at imminent risk of harm. When the non-compliance is associated
with a specific time of day, such as understaffing after school or a lack of
early morning supervision, the return monitoring visit is conducted at the
approximate time.
(5)
Use of
witnesses. A witness may accompany Licensing staff when the program had
numerous, repeated, or serious non-compliance or is considered for request for
license denial or license revocation. The witness may be an Oklahoma Department
of Human Services (DHS) employee or a representative from the health or fire
department, or law enforcement. The witness signs the monitoring
summary.
(6)
Increased
monitoring visits. Licensing staff may increase monitoring frequency
plans when there were numerous, repeated, or serious non-compliance or when the
need for additional technical assistance is indicated.
(7)
Notice to comply. Licensing
staff provides the operator with Form 07LC037E, Notice to Comply, and the
operator documents the plan of correction. Immediate correction may be required
when the non-compliance places children's health, safety, or well-being at
risk.
(A) When the plan submitted is
unacceptable to Licensing staff, Licensing staff negotiates a revised plan, and
requests resubmission within 10-calendar days.
(B) When Form 07LC037E, Notice to Comply, is
not submitted within the specified time period, Licensing staff contacts the
operator and documents the conversation.
(C) When non-compliances continue to place
children at risk, Licensing staff provides a letter stating the non-compliances
and/or continued failure to correct non-compliances may result in request for
license denial, license revocation, filing of an injunction, or Emergency
Order.
(8)
Office
conference. Licensing staff may schedule an office conference with the
owner and/or operator. The Licensing supervisor is present at the office
conference. The regional programs manager (RPM) is informed of the office
conference and may be present, when necessary.
(A) Program status, areas of non-compliance
and progress toward meeting the plan(s) of correction are reviewed and
technical assistance is offered.
(B) The office conference is documented on
Form 07LC080E, Licensing Services Supplemental Information, and is signed by
Licensing staff, the operator, and witnesses. This documentation includes a
list of individuals present, conference purpose, and re-verification of
ownership documentation.
(C) Form
07LC037E, Notice to Comply, is completed when one addressing these issues was
not previously completed.
(9)
Consent agreement. Child
Care Services (CCS) and the program owner may enter into a consent agreement
when the program owner agrees to specific conditions in lieu of request for
license denial or license revocation, per OAC
340:110-1-9.5.
(10)
Revocation or denial.
Licensing staff may recommend the request for license be denied or license
revoked when numerous, repeated, or serious non-compliance with requirements
was observed and documented or the program failed to adequately protect
children, per OAC
340:110-1-10.
(11)
Voluntary cease care. With
CCS State Office approval, the owner is asked to voluntarily cease caring for
children. The RPM is notified of every situation involving a request for
voluntary cease care.
(12)
Voluntary closure. With CCS State Office approval, the owner is
asked to voluntarily close the facility, per OAC
340:110-1-11.
(e)
Case management
responses when children are at risk. When Licensing staff documents
non-compliance with requirements or is investigating a complaint that may place
children's health, safety, or well-being at imminent risk of harm, options to
consider with the operator and licensing supervisor are outlined in this
subsection.
(1) The operator is asked to
immediately correct the non-compliance, such as, program personnel will not be
present or work alone with children at the facility pending the outcome of an
investigation.
(2) With CCS State
Office approval, the owner is asked to voluntarily cease child care until the
non-compliance is corrected or the investigation is complete.
(3) With CCS State Office approval, the owner
is asked to voluntarily close the facility.
(4) When immediate action is needed to
protect children, Licensing staff requests an Emergency Order, per OAC
340:110-1-9.4.
(5) The owner and CCS agrees to enter into a
consent agreement when the program owner agrees to specific conditions in lieu
of request for license denial or license revocation, per OAC
340:110-1-9.5.
(6) Licensing staff may recommend the request
for license be denied or license be revoked when numerous, repeated, or serious
non-compliance with requirements was observed and documented or the program
failed to adequately protect children, per OAC
340:110-1-10.
(7) An injunction may be requested when a
child care program is:
(A) unlicensed;
(B) on request for license
status;
(C) licensed;
(D) violating an Emergency Order;
(E) operating during an appeal following
request for license denial or license revocation and children are at risk; or
(F) violating the notice to cease
and desist care following request for license denial or license
revocation.
(f)
Notification to supervisor when
children are at risk. During a monitoring visit when Licensing staff is
concerned children's health, safety, or well-being is at imminent risk, the
Licensing supervisor or CCS State Office staff is contacted
immediately.
(g)
Alternative
method of compliance. CCS may approve an alternative method of
compliance to a minimum Licensing requirement. An alternative method of
compliance may be authorized when Licensing determines the alternative method
of compliance offers equal protection of children's health, safety, and
well-being, meets the requirement's basic intent for the requested alternative
compliance, and does not violate statutory requirements.
(1) An applicant or licensee submits a
written request with supporting documentation on Form 07LC061E, Alternative
Compliance Request, to Licensing staff. A separate alternative method of
compliance request is submitted for each requirement identified.
(2) Licensing staff completes Form 07LC105E,
Alternative Compliance Referral, and submits all documentation to the statewide
licensing coordinator or designee.
(3) Approval of an alternative method of
compliance does not set a precedent, and is independently evaluated on the
merits of each request.
(4) The
program's compliance record is considered when determining approval.
(5) An alternative method of compliance is
not authorized for requirements affecting children's health and safety, such as
exceeding licensed capacity or staff-child ratios, fire safety , or behavior
and guidance.
(6) Form 07LC075E,
Notice of Alternative Compliance, stating the nature of the exception, is
posted with the license.
Added at 13 Ok Reg 499, eff 11-14-95 (emergency); Added
at 13 Ok Reg 2663, eff 6-28-96; Amended at 16 Ok Reg 2527, eff 7-1-99; Amended
at 18 Ok Reg 2144, eff 6-11-01; Amended at 19 Ok Reg 221, eff 11-1-01
(emergency); Amended at 19 Ok Reg 2274, eff 6-27-02; Amended at 20 Ok Reg 1259,
eff 6-1-03; Amended at 21 Ok Reg 910, eff 6-1-04; Amended at 22 Ok Reg 1304,
eff 6-1-05; Amended at 23 Ok Reg 1092, eff 6-1-06; Amended at 24 Ok Reg 1351,
eff 7-1-07; Amended at 25 Ok Reg 1962, eff 7-1-08; Amended at 26 Ok Reg 415,
eff 11-20-08 (emergency); Amended at 26 Ok Reg 2239, eff 7-1-09; Amended at 27
Ok Reg 1869, eff 7-1-10; Amended at 28 Ok Reg 1669, eff 7-1-11; Amended at 29
Ok Reg 1229, eff 7-1-12; Amended at 30 Ok Reg 1379, eff
7-1-13
