OKDHS.org - OAC 340:110-1-9. Case management

Calendar | Help | Contact Us | About this Site

Library: Policy

340:110-1-9. Case management

<< Back

Next >>

Revised 11-20-08

(a) Periodic monitoring visits. The Oklahoma Child Care Services (OCCS) licensing staff makes a minimum of three unannounced monitoring visits to facilities that operate a full-year program and two unannounced monitoring visits annually to facilities that operate less than a full year. • 1 Licensing staff varies the time of monitoring visits to include lunch observation and an evening visit to child care centers with extended hours. • 2 Weekend monitoring visits are required only when there has been a complaint specific to weekend care.

(b) Ongoing monitoring. During each monitoring visit, the licensing staff observes the entire facility, including outdoor play space and vehicles used for transportation, if available. • 3 At or subsequent to each visit, licensing staff checks:

(1) compliance with licensing regulations;
(2) records for new staff including compliance with background investigations;
(3) staff training records; • 4
(4) Oklahoma Department of Human Services (OKDHS) computer checks on applicable persons in accordance with OAC 340:110-1-8.1; • 5
(5) fire and health inspections within the last 24 months, if applicable; and
(6) Form 07LC092E, Insurance Verification, or Form 07LC093E, Insurance Exception Parent Notification, within the last 12 months and if applicable, Form 07LC094E, Insurance Exception Licensing Notification.

(1) technical assistance to licensees to assist them in meeting minimum requirements; and
(2) consultation on various aspects of quality child care.

(d) In-home caregivers. The Family Support Services Division (FSSD) day care assistance worker notifies the licensing staff on Form 08MP013E, Information/Referral – Social Services, of the approval of a child care plan involving an in-home caregiver. In‑home care is provided by a person in the child's own home.

(1) Within 30 calendar days of receipt of Form 08MP013E, Information/Referral – Social Services, the licensing staff mails a packet of information to the caregiver. The packet includes information on child growth and development, health and safety issues, training opportunities, and other resources.
(2) Upon request, licensing staff provides consultation to in-home caregivers.
(3) Completion of six clock hours of training by the caregiver within 90 days of his or her approval is verified by the FSSD day care assistance worker.

(e) Agreements with tribal licensing programs and other monitoring agencies. OKDHS may enter into a cooperative licensing agreement with a tribal licensing program or other monitoring agency. • 6

(f) Equipment inventory. Licensing staff completes the appropriate Equipment Inventory, Form 07LC006E, 07LC020E, or 07LC024E, prior to a license being issued. The licensing staff or the facility may complete the appropriate Equipment Inventory prior to a change in facility class and prior to an increase in licensed capacity in a child care center, part-day children's program, and school-age program. The purpose of the inventory is to document the equipment available and items needed to comply with the equipment requirements. The licensing staff may conduct a complete inventory any time concern exists about the availability of required equipment. • 7

(g) Change of address. When a facility moves to a new address, the licensing staff conducts a monitoring visit and completes a monitoring report to verify the new location meets licensing requirements, and obtains an updated application. For child care centers, part-day children's programs, and school-age programs, new fire and health inspections, if applicable, are required. • 8 When a change of address involves care provided in a location other than the caregiver’s primary residence refer to OAC 340:110-1-6(a)(3).

(h) Change in name. When there is a change in name, licensing staff verifies there is no change in ownership, and documents the change in the case record and database. • 9

(i) Change in director. When there is a change in director, licensing staff:

(1) verifies the new director meets qualifications;
(2) obtains a completed and signed Form 07LC004E, Request for License – Child Care Facility, page 5;
(3) obtains references;
(4) obtains from the director an appropriate, complete compliance review, Form 07LC069E, 07LC072E, or 07LC073E, if the director has no previous director experience;
(5) notifies the new director of current employees that have been granted a waiver; and
(6) documents the information on Form 07LC080E, Licensing Services Supplemental Information.

(j) Change in primary caregiver. When there is a change in primary caregiver, licensing staff:

(1) verifies primary caregiver meets qualifications;
(2) obtains a completed and signed Form 07LC042E, Request for License – Family Child Care Home and Large Child Care Home, page five;
(3) obtains references;
(4) notifies the new primary caregiver of current employees who have been granted a waiver; and
(5) documents the information on Form 07LC080E.

(k) Change in household. All changes in household members are documented on the monitoring report. Form 07LC096E, Criminal Background Review, must be received prior to a new household member residing in the home. When there is a new adult household member in a family child care home or large child care home, the required documentation is:

(1) page five of Form 07LC042E; Request for License – Family Child Care Home and Large Child Care Home;
(2) background investigations in accordance with OAC 340:110-1-8.1; and
(3) OKDHS computer check.

(l) Change in ownership. When there is a change in ownership or change in form of business organization of a family child care home, child care center, part-day program, or school-age program, the case is closed and a new application is obtained. • 10

(m) Change in facility class. When a facility requests a change in facility class, the procedures contained in this subsection are followed.

(1) The case is closed and a new application is required when a family child care home converts to a child care center, part-day program, or school-age program, or when a child care center, part-day program, or school-age program converts to a family child care home.
(2) Any other request for change in class does not require case closure and documentation includes: • 11
- (A) a request in writing from the provider;
- (B) a new application with updated information;
- (C) documentation that the facility meets the requirements for the requested class type; • 11
- (D) an Equipment Inventory, if applicable;
- (E) a current approved fire inspection, if applicable;
- (F) a current approved health inspection, if applicable; and
- (G) database updates to the appropriate class and monitoring frequency plan. • 1

(n) Procedure for increasing or decreasing capacity. When a facility requests an increase or decrease in licensed capacity, it is documented on Form 07LC080E, Licensing Services Supplemental Information, and must be approved by the licensing supervisor. If the request to increase capacity is due to additional physical space, the facility must not have a history of numerous, repeated, or serious non-compliance, and must provide: • 12

(1) the reason for the increase;
(2) an updated floor plan on Form 07LC057E, Physical Plant, that reflects adequate indoor and outdoor space, toilets, and sinks for the increase and any changes;
(3) fire department approval of any space not previously inspected;
(4) health approval of any space not previously inspected;
(5) an updated Equipment Inventory that reflects adequate equipment for the increase; and
(6) verification of the number of required master teachers.

(o) Inactive cases. A primary caregiver is determined to be in inactive status when care has not been provided for more than 90 days. • 13

(1) A provider who wants his or her case to remain open after 90 days submits a request in writing including a statement that the provider will notify licensing when care is resumed. Licensing staff verify compliance with requirements prior to the caregiver resuming care.
(2) The provider is contacted by licensing staff every four months by telephone or letter to update the provider's status.
(3) Licensing staff contacts the primary caregiver during the twelfth month of inactive status to verify case status. Licensing documents the case status on Form 07LC080E, Licensing Services Supplemental Information, and notifies the caregiver the case will be closed should care not resume.
(4) If care has not been provided for more than 12 consecutive months, the family child care home is closed and must reapply and be approved for a license prior to resuming care, as in accordance with OAC 340:110-1-6. Licensing staff sends a letter to notify the primary caregiver of case closure.

(p) Response to a child death. When notified of death of a child while in child care, licensing staff completes Form 07LC079E, Child Death Report, and forwards it to the statewide licensing coordinator or designee. When notified of a death, the licensing staff visits the facility as soon as possible, unless advised otherwise by law enforcement. • 14

(q) Serious incident reports. The licensing supervisor submits to the licensing regional programs manager, county director, and statewide licensing coordinator a report of any serious incident. • 15

(r) Self-reported incidents. When a provider self-reports a non‑compliance incident, Form 07LC080E, Licensing Services Supplemental Information, is completed, a copy is sent to the provider, and the data system is updated. • 16

INSTRUCTIONS TO STAFF 340:110-1-9

Revised 11-20-08

1.    Monitoring visits.

(1) Requirements. After each monitoring visit, the licensing staff enters the monitoring frequency plan that reflects the required number of visits per year on the licensing database. Any changes in the monitoring frequency plan must be reviewed with the supervisor. Examples of the required number of visits include:

(A) one visit per year for inactive cases;

(B) two visits per year for part-year programs;

(C) three visits per year for facilities with a history of compliance;

(D) six visits per year for applications, six-month permits, and changes in facility class except a large family child care home changing to a family child care home; and

(E) twelve visits per year for seriously non-compliant facilities.

(2) Frequency of visits.

(A) Facilities that operate part-year require only two visits annually.

(B) Facilities that operate a full-year program, including those that offer only part-time care during the week, require three visits annually.

(C) If the licensing staff visits a facility between monitoring visits for purposes such as picking up paperwork, consultation on a specific issue, verifying a repair has been made or needed items have been purchased, a full monitoring visit is not required.

(i) The visit may be documented on Form 07LC080E, Licensing Services Supplemental Information.

(ii) This information is entered on the database but the visit is not counted toward the required number of visits.

(iii) If numerous, repeated, or serious non‑compliance is observed during this visit, a complete monitoring visit is conducted.

(3) Reduced visits. If caseloads prevent licensing staff from conducting the required number of monitoring visits, the supervisor consults with the staff on case management, and the number of required visits may be reduced if approved by the regional programs manager (RPM). This adjustment is approved and documented in the case record by the supervisor. Required visits to non‑problematic licensed facilities may be reduced by one visit per year for no longer than a one year period.

2.   Evening monitoring visits to:

(1) a center are made between 8 and 10 p.m. unless extenuating circumstances exist, such as a complaint regarding a different time period or an unsafe neighborhood. The licensing staff may request that a witness accompany him or her on an evening monitoring visit when:

(A) the facility is located in a high-crime area; or

(B) it is determined that a witness is needed to verify licensing staff observations; or

(2) a family child care home are made only when a complaint has been filed regarding evening care or when only evening care is provided.

3.   The licensing staff:

(1) documents observations and discussions on the appropriate monitoring report, enters the information from the monitoring report onto the licensing database, and files the original in the facility's file in the Human Service Center; and

(2) when visiting a family child care home:

(A) is cognizant that it is a private home and demonstrates respect for the family's privacy;

(B) is thorough and asks to be shown throughout the entire house and outdoors; and

(C) does not routinely look in drawers and closets, flush toilets, or check water temperature.

4.  Training. Licensing staff checks for one-time and annual training requirements at the time of the annual training review or when concerns exist. Training is verified for center staff and home providers who have had an employment anniversary since the last monitoring visit. The information in (1) through (4) of this Instruction is used for the purpose of determining employment date.

(1) A family child care home or large home provider uses the original application date for the current license number.

(2) A family child care home or large home assistant caregiver uses his or her employment date.

(3) Child care center employees use their employment date with that organization. When there is a change in location that is not a change in ownership, an employee's employment date does not change.

(4) If there is a break in service or a change in ownership, a new employment year begins.

5.   Computer checks.

(1) Annual computer checks to identify prior involvement with the Oklahoma Department of Human Services (OKDHS) are completed on all adults who sign Form 07LC042E, Request for License – Family Child Care Home and Large Child Care Home, and on the owner of a child care center, part-day children's program, or school-age program. These are checked on the computer by date of birth and Social Security number.

(2) Annual docket searches of the Oklahoma State Court Network include Oklahoma Court Information System (OCIS), non-OCIS counties, and the court clerk in non-reporting counties are completed on all adults who sign the application and the owner and director of child care center, part-day children's program, or school-age program. These are checked by all known names. The court clerk in counties where a person resides or is employed is contacted if they are non-reporting counties.

(3) Documentation of the computer check is filed in the confidential section of the facility's case. All other searches may remain in public viewing.

6.  Cooperative licensing agreement. When there is a cooperative licensing agreement with a tribal licensing program or other monitoring program, the procedures contained in (1) through (5) of this Instruction are followed.

(1) After each monitoring visit, the licensing staff sends a copy of the completed monitoring report to the tribal licensing worker or agency representative assigned to the facility.

(2) Reports of monitoring visits conducted by the tribal licensing worker or agency representative are sent to the licensing staff, who enters the visit into the licensing database identifying it as a visit conducted by the tribe or other monitoring agency. The monitoring visits count toward the required number of visits made to the facility.

(A) All tribal visits are considered case history. A minimum of two visits per year must be conducted by OKDHS licensing staff.

(B) An OKDHS licensing monitoring report must be used for case action recommendations.

(3) All information in the licensing file, including confidential information except Child Welfare (CW) reports, is made available to the tribal licensing worker or agency representative upon request.

(4) The licensing staff coordinates, when appropriate, with the tribal licensing worker or agency representative to conduct complaint investigations, complaint follow-up, non-compliance follow-up, and office conferences.

(5) The licensing RPM is responsible for evaluating the effectiveness of the agreement and ensuring collaboration.

7.   Equipment inventory. The date of the inventory and any needed equipment is documented on the monitoring report. Only the initial inventory of a new facility and a subsequent inventory to increase capacity are filed in the facility's file.

8.   Change of address.

(1) If the new address is outside of the licensing staff's area, the case is transferred to the appropriate licensing staff, who conducts the monitoring visit.

(2) When the licensing staff is notified of the address change, the licensing staff advises the operator to also report the address change to Family Support Services Division, county child care liaison.

(3) The new application is for information purposes only. The case is not closed and reopened, and the license number remains the same.

(4) A narrative report that reflects the new address is submitted to the licensing staff's supervisor, the supervisor of the receiving licensing staff, and the Family Support Services Division, Child Care Unit. The address, licensing staff, and supervisor are changed on the licensing database by the receiving licensing staff. Critical information on problematic cases is shared with the receiving licensing staff and supervisor.

(5) The licensing staff notifies the statewide licensing coordinator of the name change. The statewide licensing coordinator or designee issues a new license to the facility, and a copy is sent to the licensing staff.

9.   The licensing staff notifies the statewide licensing coordinator of the name change. The statewide licensing coordinator or designee issues a new license to the facility, and a copy is sent to the licensing staff.

10.(a) Types of ownership include:

(1) sole proprietor;

(2) corporation;

(3) partnership;

(4) limited liability company; or

(5) school, faith-based, or government entity.

(b) Licensing staff advises the owner that Form 08CC001E, Child Care Provider Contract, will be canceled when the facility's case is closed. The owner is referred to the FSSD county child care liaison to request a new contract so that care provided to children of families receiving child care assistance is not disrupted.

11. Change in class.

(1) Change in class includes a family child care home becomes a large child care home, a child care center becomes a school-age program, or a part-day program becomes a child care center.

(2) If a small home that is currently on a six-month permit requests a change in class to a large family child care home, three monitoring visits must be made after the change and prior to issuance of a license.

12. Change in capacity. The procedure for increasing or decreasing capacity of a facility is outlined in (1) through (4) of this Instruction.

(1) Increase. When a facility requests an increase in capacity, the licensing staff:

(A) notifies the fire department to determine whether another inspection or further evaluation is required. The contact is documented on Form 07LC080E, Licensing Services Supplement Information;

(B) ensures that the director completes and submits Form 07LC006E, Equipment Inventory - Child Care Center; 07LC020E, Equipment Inventory - Part-day Children's Program; or 07LC024E, Equipment Inventory – School-Age Program, that reflects adequate equipment for the increase; and

(C) does not recommend to increase capacity when the facility has numerous, repeated, or serious non-compliance with requirements. When the only serious non-compliance was that the facility exceeded capacity, the request for increase is staffed with regional program manager for appropriate action.

(2) Decrease. When decreasing capacity, the licensing staff updates the floor plan on Form 07LC057E, Physical Plant, indicating which rooms are available for use by children.

(3) Recommendations to increase or decrease capacity. A recommendation to increase or decrease capacity may be made at any time by submitting a narrative report to the licensing supervisor.

(4) Approval. If change in capacity is approved, the statewide licensing coordinator or designee issues a new license to the facility that reflects the new capacity. A copy of the license is sent to the licensing staff.

13.       Licensing staff notifies contract unit regarding the status of inactive care.

14. Child death. When notified of a death the licensing staff:

(1) determines and documents what occurred and whether the facility was in compliance at the time of death. Documentation includes:

(A) number of children and staff present at time of incident;

(B) what supervision was provided during this time;

(C) when the caregiver last checked on the child;

(D) the caregiver's response upon finding the child;

(E) the names of staff involved; and

(F) notifies the licensing supervisor, county director, licensing RPM, statewide licensing coordinator, and director of Child Care Services of the death; and

(2) considers whether the death is possibly related to sudden infant death syndrome and, if so:

(A) documents:

(i) where the child was sleeping and sleep position;

(ii) the condition of the crib or playpen; and

(iii) observations regarding the bedding, pillows, and other items in the sleeping area;

(B) provides the caregiver the pamphlet, SIDS – What Child Care Providers and Other Caregivers Should Know, OKDHS publication number 94-01;

(C) notifies the licensing supervisor, county director, licensing RPM, statewide licensing coordinator, and director of Child Care Services;

(D) obtains verbal or written verification confirming the cause of death as SIDS; and

(E) notifies the Oklahoma State Department of Health SIDS coordinator, who is available to offer support to the caregiver and family.

15. Serious incident.

(1) Serious incidents include, but are not limited to, incidents:

(A) that result in the serious injury or death of a child, such as a shaken baby, a drowning or near drowning, or a traffic accident resulting in serious injury;

(B) that place a child at a high risk for death or injury, such as a child leaving a facility without the staff's knowledge, a child left at a location away from the facility, a child left unattended in a vehicle, or a child left alone in a facility;

(C) such as fire, flood, or tornado that result in significant damage to a facility; and

(D) where media involvement is anticipated.

(2) A serious incident report includes:

(A) the name and age of the child(ren) seriously injured or killed;

(B) the date and time of the incident;

(C) a description of the injuries to the child(ren) or damage to the facility;

(D) the caregiver's account of the incident;

(E) a summary of contacts made with other agencies involved in the investigation of the incident, such as CW or the police;

(F) any pertinent information regarding the caregiver's history, such as prior involvement with CW or a history of numerous, repeated, or serious non-compliance with licensing requirements; and

(G) the names of staff involved.

16.  The response from Licensing to self-reported non-compliance, per OAC 340:110-1‑9.3, is based on the degree of risk to children, whether the provider could have prevented the non‑compliance, and the timeliness and effectiveness of the provider's response.

<< Back

Next >>