Okla. Admin. Code § 340:110-1-9.2

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

Section 340:110-1-9.2 - Complaint investigations

(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.

Okla. Admin. Code § 340:110-1-9.2

Added at 13 Ok Reg 325, eff 5-18-95 (emergency); 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 1171, eff 5-13-02; Amended at 21 Ok Reg 910, eff 6-1-04; Amended at 22 Ok Reg 1304, eff 6-1-05; 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 30 Ok Reg 1378, eff 7-1-13.

Amended by Oklahoma Register, Volume 37, Issue 24, September 1, 2020, eff. 11/1/2020

Amended by Oklahoma Register, Volume 40, Issue 22, August 1, 2023, eff 9/15/2023

Amended by Oklahoma Register, Volume 41, Issue 23, August 15, 2024, eff. 9/16/2024