SECTION 340:110-1-47. Case management

(a)   Periodic visits.

(1)   Licensing staff conducts monitoring visits documenting compliance with requirements. Required monitoring visits annually include two:

(A)   unannounced and one announced, to residential programs; and

(B)   announced, to child-placing agencies

(2)   When caseloads prevent Licensing staff from conducting the required monitoring visits, the programs manager consults with Licensing staff on case management, and the required monitoring visits may be reduced. This adjustment is approved and documented in the case file by the programs manager.

(3)   During each monitoring visit, Licensing staff:

(A)   observes the entire facility, including outdoor play space and transportation, when available; and

(B)   verifies:

(i)   compliance with Licensing requirements;

(ii)   resident files, when applicable;

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

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

(v)   Form 07LC092E, Insurance Verification, within the previous 12 months;

(vi)   fire and health inspections within the previous 12 months, when applicable; and

(vii)   other documentation requiring renewal.

(b)   Consultation and technical assistance. Licensing staff provides technical assistance to operators to meet and maintain minimum requirements. Consultation is provided to parties interested in licensure and to licensed programs, and includes suggestions for improving the quality of care and for exceeding minimum requirements.

(c)   Address change. When a program moves to a new address, Licensing staff follows procedures in this subsection to document the change.

(1)   Child-placing agency. When a child-placing agency moves its office, Licensing staff:

(A)   obtains an updated Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care; and

(B)   requests a permit or license be issued reflecting the address change.

(2)   Residential program. When a residential program moves, Licensing staff:

(A)   obtains an updated request for license;

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

(C)   obtains new fire and health inspection approvals, when applicable;

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

(E)   completes an updated physical plant drawing with required calculations; and

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

(d)   Satellite office. When a child-placing agency adds a satellite office, Licensing staff:

(1)   documents each office location; and

(2)   requests needed files from satellite locations.

(e)   Program or agency name change. When Licensing staff verifies there is a name change but no ownership change, the name change is documented in the case file and the database is updated. A new Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care, reflecting the name change is completed. Licensing staff requests permit or license issuance reflecting the new program or agency name.

(f)   Executive or program director change. When there is a director change, Licensing staff:

(1)   verifies the new director meets qualifications;

(2)   obtains the applicable page of Form 07LC040E, Request for License Child-Placing Agency and Residential Child Care, completed by the new director;

(3)   obtains an appropriate, Form 07LC056E, Compliance Review-Residential Child Care Facility; or Form 07LC043E, Child Placing Agency Compliance Review, completed by the executive or program director;

(4)   notifies the new director of current personnel granted a waiver; and

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

(g)   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 programs manager. When the increase involves new construction, architectural plans approved by the State Fire Marshal are submitted to Licensing for approval prior to construction. When the request to increase capacity is due to additional physical space, the required documentation includes:

(1)   the reason for the increase;

(2)   fire department approval;

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

(4)   a physical plant drawing indicating required calculations; and

(5)   the request for additional personnel, when applicable.

(h)   Inactive programs. A program is inactive when care or child-placing agency activity 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 the owner will notify Licensing prior to resuming care or child-placing agency activity. Licensing staff verifies compliance with requirements prior to resuming care.

(2)   The program is contacted by Licensing staff, a minimum of every four months for residential programs; and a minimum of every six months for child-placing agencies by phone, letter, or email to update the program status including changes in personnel, household members, or other program changes.

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

(4)   Licensing staff monitors 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 during the time a program is in inactive status, a monitoring visit is required and address change is followed per (c) of this Section.

(i)   Inactive program closure. Procedures in (1) through (4) of this subsection are followed when closing an inactive residential program or child-placing agency.

(1)   To verify program status, Licensing staff contacts the program or agency 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 or child-placing activity does not resume prior to the end of the 12th month.

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

(4)   The case is closed and the owner must reapply and be approved for a new license prior to resuming care, per OAC 340:11-1-45.

(j)   Change in ownership. When there is a change in ownership or a change in the business organization of a residential program or child-placing agency, the case is closed, and the program must apply for a new license. Prior to permit or license issuance, the program must comply 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 ownership change, verifying the new owner is able to meet minimum Licensing requirements.

(k)   Transitional change of ownership. When a residential program or child-placing agency requests a transitional change of ownership (1) through (5) 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 07LC040E, Request for License Child-Placing Agency and Residential Child Care, completed by the prospective owner; and

(C)   a current personnel list, verifying the prospective owner employs the same personnel as the current owner, at the time of transitional change of ownership.

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

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

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

(5)   When programs notify Licensing the transitional change of ownership is no longer proceeding, Licensing staff verifies program operation or child-placing activity status and consults with the programs manager for appropriate action.

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

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

(2)   visits the residential program as soon as possible, and contacts the child-placing agency unless advised otherwise by local law enforcement officials.

(m)   Serious incident reports. Licensing staff submits a serious incident report to the programs manager. Serious incidents include at least, incidents:

(1)   resulting in the serious injury or child death, such as a:

(A)   shaken baby;

(B)   drowning or near drowning; or

(C)   traffic accident resulting in serious injury;

(2)   placing a child at a high risk for death or injury, such as when a child is left:

(A)   at a location away from the facility;

(B)   unattended in a vehicle; or

(C)   alone in a facility; or

(3)   resulting in significant facility damage, such as:

(A)   fire;

(B)   flood; or

(C)   tornado.

(n)   Coordination with state agencies. Licensing staff works cooperatively with the DHS Office of Client Advocacy and Child Welfare Services, the Oklahoma Commission on Children and Youth, the Oklahoma Health Care Authority, and local law enforcement.

[Source: Added at 11 Ok Reg 399, eff 10-15-93 (emergency); Added at 11 Ok Reg 2773, eff 6-13-94; Amended at 17 Ok Reg 462, eff 10-19-99 (emergency); Amended at 17 Ok Reg 1339, eff 5-11-00; 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 20 Ok Reg 1274, eff 6-1-03; 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 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 33 Ok Reg 1683, eff 11-1-16; Amended at 35 Ok Reg 475, eff 1-31-18 (emergency); Amended at 35 Ok Reg 1705, eff 9-17-18; Amended at 37 Ok Reg 1858, eff 11-1-20]