(a) Documentation of non-compliance.  The Oklahoma Child Care Services (OCCS) licensing staff clearly and concisely documents on the monitoring report areas of non-compliance and the discussion with the operator.  • 1

• (1) A plan of correction, including a specific agreed-upon time period for correction of the non-compliance, is documented for each non-compliance on the monitoring report.  • 2
• (2) Immediate correction is required when the non-compliance has a direct impact on the heath, safety, or well-being of one or more children in care.
• (3) The licensing staff requests that the operator sign the monitoring report, and explains that the operator's signature indicates acknowledgment of information recorded.
• (4) If the person in charge refuses to sign, the refusal is documented on the report.
• (5) The operator is given a copy of the completed monitoring report.

(b) Referrals to fire and health officials.  If non-compliance regarding fire or health requirements places children at risk or remains uncorrected, the licensing staff requests an inspection by a fire, health, or Department of Environmental Quality (DEQ) official.  If there is non-compliance regarding smoke detectors, the child care provider is given a copy of the Smoke Detector Law, Section 324.11A of Title 74 of the Oklahoma Statutes.  If the non-compliance is not corrected by the third monitoring visit or is frequently repeated, copies of the monitoring reports are sent with a cover letter to the appropriate fire official for enforcement of the law.

(c) Numerous, repeated, and serious non-compliance.

• (1) Numerous non-compliance is any monitoring visit with:
  • (A) five or more items documented as non-compliant on the monitoring report for a family child care home or large child care home;
  • (B) six or more items documented as non-compliant on the monitoring report for a child care center, part-day children's program, or school-age program with a licensed capacity of less than 60; or
  • (C) seven or more items for a child care center, part-day children's program, or school-age program with a licensed capacity of 60 or more.  • 3
• (2) Repeated non-compliance is three or more documented incidents of non‑compliance with the same requirement within the last 12 months.  For missing immunizations to be considered a repeat non‑compliance, they must be regarding the same child.
• (3) Serious non-compliance is a non-compliance with licensing requirements that exposes children to conditions that present an imminent risk of harm.  Imminent risk of harm must be assessed based on the age of the child, the amount of time the caregiver was out of compliance, and the efforts of the caregiver to mitigate the risk.  Some examples of non-compliance that may be considered as serious are: 
  • (A) staff-child ratio;
  • (B) supervision of children;
  • (C) sleep position;
  • (D) prohibited disciplinary actions;
  • (E) licensed capacity;
  • (F) use of passenger restraints;
  • (G) water activities;
  • (H) pools and other water hazards;
  • (I) multiple hazards;
  • (J) weapons;
  • (K) reporting child abuse;
  • (L) prohibiting access to children by a person with a criminal record, health or behavior risk, or failure to obtain background investigations;
  • (M) administering medication to children;
  • (N) room temperatures;
  • (O) heat sources and loss of any utility service;
  • (P) compliance file and or posting;
  • (Q) cardio-pulmonary resuscitation and first aid training;
  • (R) liability insurance; and
  • (S) vehicle liability insurance.

(d) Case management responses to non-compliant facilities.  When there is numerous, repeated, or serious non‑compliance, one or more of the actions in (1) through (11) is taken.  • 4

• (1) Technical assistance.  Technical assistance is offered along with referrals to consultants or training resources, if necessary, to assist the operator in meeting and maintaining licensing requirements.
• (2) Follow-up phone call.  Follow-up phone calls are made, and documented on Form 07LC080E, Licensing Services Supplemental Information.  A copy of the documentation is mailed to the facility.
• (3) Non-compliance letters.  A non-compliance letter may be written to the operator.  A copy of the non‑compliance letter is sent to the owner or registered agent, if applicable, with a copy of the monitoring report.  • 5
• (4) Return monitoring visit.  A return monitoring visit may be made if there is numerous, repeated, or serious non-compliance with licensing requirements or when non-compliance places children at imminent risk of harm.  • 6  If 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 visit is made at that approximate time.
• (5) Use of witnesses.  The licensing staff may be accompanied by a witness during monitoring visits if the facility has had numerous, repeated, or serious non‑compliances or if denial or revocation of the license is under consideration.  The witness may be an Oklahoma Department of Human Services (OKDHS) employee or a representative from the health or fire department.  The witness signs the monitoring report in the space provided.
• (6) Increased monitoring visits.  Licensing staff may increase the frequency of monitoring when there has been numerous, repeated, or serious non‑compliance or when the need for additional technical assistance is indicated.  • 6
• (7) Notice to comply.  The licensing staff provides the facility with Form 07LC037E, Notice to Comply, on which the facility documents the plan of correction.  Immediate correction may be required if the non-compliance places the health, safety, or well‑being of one or more children in care at risk.
  • (A) If the plan submitted by the operator is unacceptable to the licensing staff, the licensing staff negotiates and documents a revised plan. 
  • (B) If the Notice to Comply is not submitted within the specified time period, the licensing staff contacts the operator and documents the conversation. 
  • (C) If concerns exist or the operator is uncooperative, the licensing staff sends a letter stating that failure to complete a Notice to Comply may result in revocation of license, denial of the application, filing of an injunction, or Emergency Order.
• (8) Office conference.  The licensing staff may schedule an office conference with the operator of the facility.  The supervisor is present at the office conference.  The licensing regional programs manager is informed of the office conference and may be present, if necessary. 
  • (A) Areas of non-compliance and progress toward meeting the plan(s) of correction are reviewed and technical assistance is offered. 
  • (B) The conference is documented on Form 07LC003E, Monitoring Report – Child Care Center, which is signed by the licensing staff, the operator, and any witnesses present.  This documentation includes a list of every person who is present and the purpose of the conference. 
  • (C) A Notice to Comply is completed if one addressing these issues has not been completed recently.
• (9) Consent agreement.  OKDHS and the operator of the facility may enter into a consent agreement whereby the facility agrees to specific conditions in lieu of license denial or revocation, per OAC 340:110-1-9.5.
• (10) Revocation.  The licensing staff may recommend that the application to become licensed be denied or the license be revoked when numerous, repeated, or serious non-compliance with requirements has been observed and documented or the facility has failed to adequately protect children, per OAC 340:110-1-10.  • 7
• (11) Voluntary cease care.  With State Office approval, the operator is asked to voluntarily cease caring for children. 
• (12) Voluntary closure.  With State Office approval, the operator is asked to voluntarily close the facility, per OAC 340:110-1-11. 

(e) Case management responses when children are at risk.  If the licensing staff documents non-compliance with requirements or is investigating a complaint that may place the health, safety, or well-being of children at imminent risk of harm, options to consider during consultation with the operator and the licensing supervisor are outlined in this subsection.  • 8

• (1) The operator is asked to immediately correct the non-compliance, for example, the staff person will not work at the facility pending the outcome of an investigation.
• (2) The operator is asked to discontinue child care until the non-compliance is corrected or the investigation is complete.
• (3) The operator is asked to voluntarily close the facility.
• (4) The licensing staff requests an Emergency Order, per OAC 340:110-1-9.4, when immediate action is needed to protect children in a child care facility.
• (5) The operator agrees to enter into a consent agreement whereby the facility agrees to specific conditions in lieu of license denial or revocation, per OAC 340:110-1-9.5.
• (6) The licensing staff may recommend that the application be denied or license be revoked when numerous, repeated, or serious non-compliance with requirements has been observed and documented or the facility has failed to adequately protect children, per OAC 340:110-1-10.
• (7) An injunction may be requested when a child care facility is:
  • (A) unlicensed;
  • (B) on application status;
  • (C) licensed;
  • (D) violating an Emergency Order;
  • (E) operating during an appeal following revocation or denial and children are at risk; or
  • (F) violating the notice to cease care following revocation or denial of license.

(f) Notification to supervisor when children are at risk.  If during a monitoring visit the licensing staff is concerned that the health, safety, or well-being of children is at imminent risk, the licensing supervisor or OCCS State Office staff is contacted immediately for an appropriate response.  • 9

(g) Alternative method of compliance.  OCCS may approve an alternative method of compliance to a minimum licensing requirement.  An alternative method of compliance may be authorized if licensing determines that the alternative method of compliance offers equal protection of health, safety, and well-being to children, meets the basic intent of the requirements for which the alternative compliance was requested, and does not violate statutory requirements.

• (1) An applicant or licensee may submit a written request on Form 07LC061E, Alternative Compliance Request, for authorization to the statewide licensing coordinator or designee.  A separate request is submitted for each requirement for which an alternative method of compliance is requested.
• (2) Approval of an alternative method of compliance does not set a precedent, and is independently evaluated on the merits of each request.
• (3) The facility's record of compliance is taken into consideration in determining whether to approve the request.
• (4) An alternative method of compliance is not authorized for critical items affecting the health and safety of a child, such as exceeding licensed capacity or staff-child ratios, fire safety violations, or behavior and guidance violations.
• (5) Written notice from OKDHS, Form 07LC075E, Notice of Alternative Compliance, stating the nature of the exception, is posted with the license.  • 10