Okla. Admin. Code § 340:110-1-9

Current through Vol. 42, No. 7, December 16, 2024

Section 340:110-1-9 - Case management

(a)Periodic monitoring visits. Licensing staff conducts a minimum of three, unannounced monitoring visits to programs operating a full-year, and two, unannounced monitoring visits annually to programs operating less than a full-year. Licensing staff varies the monitoring visit times, including a lunch observation and an evening visit to child care centers with extended hours.

(b)Ongoing monitoring. During monitoring visits, Licensing staff observes the entire facility, including the outdoor play space and transportation vehicles, when available. At, or subsequent to each monitoring visit, Licensing staff verifies:

(1) compliance with Licensing requirements;

(2) compliance with stars criteria, per Oklahoma Administrative Code (OAC) 340:110-1-8.3;

(3) new personnel records including personnel sheets and compliance with background investigations, per OAC 340:110-1-8.1;

(4) personnel professional development records;

(5) the Oklahoma Department of Human Services (DHS) database on applicable individuals, per OAC 340:110-1-8.1;

(6) fire and health inspections within the last 24 months, when applicable;

(7) Form 07LC092E, Insurance Verification, within the last 12 months, or posting of Form 07LC093E, Insurance Exception Notification; and

(8) other documentation requiring renewal.

(c)Technical assistance and consultation. Licensing staff provides:

(1) technical assistance to licensees assisting them in meeting minimum requirements; and

(2) consultation on various aspects of quality child care.

(d)Agreements with tribal licensing programs and other monitoring agencies. DHS may enter into a cooperative licensing agreement with a tribal licensing program or other monitoring agency.

(e)Equipment inventory. Licensing staff completes Form 07LC006E, Equipment Inventory for Child Care Programs, prior to license issuance. Licensing staff or the program may complete the appropriate equipment inventory prior to a change in class and prior to a capacity increase in a child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children. Inventories document the available equipment and the items needed to comply with the equipment requirements. Licensing staff may conduct a complete inventory when concern exists about the availability of required equipment.

(f)Address change.

(1) When a program moves to a new address, Licensing staff:

(A) obtains an updated Form 07LC004E, Request for License Child Care Program;

(B) conducts a monitoring visit verifying that the new location meets Licensing requirements;

(C) obtains new fire and health inspections for a child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children, when applicable;

(D) obtains Oklahoma Department of Environmental Quality approval, when applicable;

(E) completes Form 07LC057E, Physical Plant, with required calculations; and

(F) requests a permit or license issuance reflecting the address change.

(2) When an address change involves care provided in a location other than the primary caregiver's residence, refer to OAC 340:110-1-6(a)(3).

(g)Program name change. When there is a program name change, Licensing staff verifies there is no ownership change, and documents the name change in the case file and database. A new Form 07LC004E, Request for License Child Care Program, reflecting the program name change is completed. Licensing staff requests a permit or license issuance reflecting the new program name.

(h)Director change. When there is a director change, Licensing staff:

(1) verifies the new director meets qualifications;

(2) obtains the applicable page of Form 07LC004E, Request for License Child Care Program, completed by the new director;

(3) obtains references;

(4) obtains an appropriate, completed Form 07LC117E, Compliance Review for Child Care Programs, from the director, when the director has no previous director experience;

(5) notifies the new director of current personnel, who are granted waivers; and

(6) documents the information on Form 07LC080E, Licensing Services Supplemental Information.

(i)Master teacher change. When an individual replaces a master teacher:

(1) Form 07LC031E, Probationary Master Teacher Agreement, is completed;

(2) the probationary master teacher is granted a one-year probationary period to fulfill the master teacher educational qualifications per applicable Licensing requirements and Quality Rating and Improvement System (QRIS) criteria, when applicable; and

(3) Licensing may extend the probationary period for a second year, providing the probationary master teacher is actively pursuing educational qualifications as identified on Form 07LC031E.

(j)Primary caregiver change. When there is a primary caregiver change, Licensing staff:

(1) verifies the primary caregiver meets qualifications;

(2) obtains the applicable page of Form 07LC004E, Request for License Child Care Program, completed by the new primary caregiver;

(3) obtains references;

(4) notifies the new primary caregiver of current personnel, who are granted waivers; and

(5) documents the information on Form 07LC080E, Licensing Services Supplemental Information.

(k)Facility household change. Facility household changes are documented on the monitoring summary. Form 07LC096E, Criminal History Review Request for Programs, must be submitted prior to a new adult residing in the facility. When there is a new adult residing in a facility, the required documentation includes:

(1) the applicable page of Form 07LC004E, Request for License Child Care Program, completed by the new adult;

(2) background investigations, per OAC 340:110-1-8.1; and

(3) a DHS database search.

(l)Change in ownership. When there is a change in ownership or a change in the form of business organization of a child care program, the case is closed and a new Form 07LC004E, Request for License Child Care Program, is obtained. Prior to permit or license issuance, the program must be in compliance with background investigations, per OAC 340:110-1-8.1. A permit may be issued when a monitoring visit without numerous, repeated, or serious non-compliances was conducted within the past 60-calendar days. A full-monitoring visit is conducted within 14-calendar days of change of ownership verifying the new owner meets minimum Licensing requirements.

(m)Transitional change of ownership. When a program requests a transitional change of ownership (1) through (6) of this subsection are followed.

(1) Licensing staff conducts a monitoring visit within five DHS-business days, verifying compliance with Licensing requirements and, obtains:

(A) Form 07LC015E, Transitional Change of Ownership, completed by the current and prospective owners;

(B) Form 07LC004E, Request for License Child Care Program, completed by the prospective owner; and

(C) updated program personnel information on Form 07LC002E, Personnel Summary, verifying that the prospective owner employs the same personnel as the current owner, at the time of transitional change of ownership.

(2) Transitional change of ownership procedures for star certification are met, per OAC 340:110-1-8.3; when applicable.

(3) Periodic and ongoing monitoring is maintained, per (a) and (b) of this Section.

(4) All Licensing monitoring and correspondence are provided to both the current and prospective owners.

(5) Change of ownership procedures are followed, per (l) of this Section by the end of 90-calendar days, when applicable.

(6) When programs notify Licensing that transitional change of ownership is no longer proceeding, Licensing staff verifies program operation status and consults with the supervisor for appropriate action.

(n)Change in class. When a program requests a change in class, procedures in (1) through (2) of this subsection are followed.

(1) The case is closed and a new Form 07LC004E, Request for License Child Care Program, is required, when a:

(A) family child care home converts to a child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children; or

(B) child care center, day camp, drop-in, out-of-school time, part-day program, or program for sick children converts to a family child care home.

(2) Other requests for change in class do not require case closure and, documentation includes:

(A) a request in writing from the owner;

(B) a new Form 07LC004E, Request for License Child Care Program, with updated information;

(C) documentation that the program meets the requirements for the requested class type;

(D) the appropriate equipment inventory, when applicable;

(E) a current, approved fire inspection, when applicable;

(F) a current, approved health inspection, when applicable; and

(G) appropriate class and monitoring frequency plan database updates.

(o)Capacity increase or decrease. When a program requests a capacity increase or decrease, it is documented on Form 07LC080E, Licensing Services Supplemental Information, and must be approved by the supervisor. The program must not have a history of numerous, repeated, or serious non-compliance, and provide:

(1) the reason for the increase;

(2) an updated floor plan on Form 07LC057E, Physical Plant, reflecting adequate indoor and outdoor space, toilets, and sinks for the increase and other changes;

(3) fire department approval of space not previously inspected;

(4) health approval of additional food preparation space not previously inspected;

(5) an updated equipment inventory reflecting adequate equipment for the increase; and

(6) verification of the required number of master teachers.

(p)Inactive programs. A program is in inactive status when care was not provided for more than 90-calendar days.

(1) A program remaining open after 90-calendar days submits a request in writing, including a statement that the owner will notify Licensing prior to resuming care. Licensing staff verifies compliance with requirements prior to resuming care.

(2) The program is contacted by Licensing staff, a minimum of every four months by phone, letter, or email to update program status including new household members or other program changes, per (k) of this Section.

(3) Voluntary closure is discussed with the owner and an agreement to close is reached, when possible.

(4) Licensing staff visits the inactive program, at least once during the 12-month timeframe verifying compliance with Licensing requirements until closure is final or the program resumes care.

(5) When an address change occurs when a program is in inactive status, a monitoring visit is required and address change procedures are followed per (f) of this Section.

(q)Inactive program closure. Procedures (1) - (4) of this subsection are followed when closing an inactive program.

(1) To verify program status, Licensing staff contacts the owner during the 12th month of inactive status.

(2) Licensing documents program status on Form 07LC080E, Licensing Services Supplemental Information, and notifies the owner the case will be closed when care does not resume, prior to the end of the 12th month.

(3) When care was not provided for 12-consecutive months or more, Licensing staff provides a letter notifying the owner of case closure within 10-calendar days of letter receipt, unless Licensing is notified care resumed.

(4) The case is closed and the owner must reapply and be approved for a new license prior to resuming care, per OAC 340:110-1-6.

(r)Response to a child death. When notified of a child death while in child care, Licensing staff:

(1) completes Form 07LC079E, Child Death Report, and forwards it to the statewide licensing coordinator or designee: and

(2) visits the program as soon as possible, unless advised otherwise by law enforcement officials.

(s)Serious incident reports. The supervisor submits serious incident reports to the regional programs manager, county director, and statewide licensing coordinator.

(t)Self-reported incidents. When a provider self-reports a non-compliance incident, Form 07LC080E, Licensing Services Supplemental Information, is completed and the Licensing database is updated.

Okla. Admin. Code § 340:110-1-9

Amended at 10 Ok Reg 2369, eff 6-11-93; Amended at 11 Ok Reg 385, eff 10-15-93 (emergency); Amended at 11 Ok Reg 2773, eff 6-13-94; Amended at 12 Ok Reg 433, eff 11-17-94 (emergency); Amended at 12 Ok Reg 1447, eff 5-26-95; Amended at 13 Ok Reg 499, eff 11-14-95 (emergency); Amended at 13 Ok Reg 2663, eff 6-28-96; Amended at 14 Ok Reg 2174, eff 5-14-97 (emergency); Amended at 15 Ok Reg 1727, eff 5-11-98; Amended at 16 Ok Reg 285, eff 11-3-98 (emergency); Amended at 16 Ok Reg 1080, eff 4-26-99; Amended at 16 Ok Reg 2527, eff 7-1-99; Amended at 16 Ok Reg 3511, eff 7-13-99 through 7-14-00 (emergency)¹; 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 48, eff 10-1-09 (emergency); 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 by Oklahoma Register, Volume 33, Issue 24, September 1, 2016, eff. 11/1/2016

Amended by Oklahoma Register, Volume 34, Issue 24, September 1, 2017, eff. 9/15/2017

Amended by Oklahoma Register, Volume 35, Issue 24, September 4, 2018, eff. 9/17/2018

Amended by Oklahoma Register, Volume 36, Issue 24, September 3, 2019, eff. 9/16/2019

¹This emergency action expired without being superseded by a permanent action. Upon expiration of an emergency amendatory action, the last effective permanent text of the Section is reinstated. Therefore, on 7-15-00 (after the 7-14-00 expiration of this emergency action), the text of 340:110-1-9 reverted back to the permanent text that became effective 7-1-99, as was last published in the 1999 OAC Supplement, and remained as such until amended again by permanent action on 6-11-01.