DCCEL MAP, DRAFT Version 3

October 2002

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PREFACEiii

CHAPTER ONE ~ LICENSING OVERVIEW1

CHILD CARE & EARLY LEARNING HISTORY

MISSION, PRINCIPLES, PRIORITIES & RESPONSIBILITIES

ORGANIZATION

COMMUNITY PARTNERS

CODE OF ETHICS

CHAPTER TWO ~ LICENSING PROCESS14

LICENSURE

CERTIFICATION

PROVIDER-LICENSOR RESPONSIBILITIES

CUSTOMER SERVICE

ORIENTATION

MONITORING & CONSULTATION

LICENSE FEES

BACKGROUND INQUIRIES

BACKGROUND CLEARANCES

FBI FINGERPRINT CLEARANCES

DISQUALIFICATION & RELEASE OF CRIMINAL

HISTORY INFORMATION

CHAPTER THREE ~ LICENSING ACTIONS

LICENSE INFORMATION & TYPES

INITIAL LICENSE

FULL LICENSE

PROBATIONARY LICENSE

CORRECTIVE ACTION

DUAL LICENSE

SEASONAL CENTERS

CERTIFICATION

LICENSE CHANGES

WAIVERS

LICENSE RENEWAL

CHAPTER FOUR ~ COMPLAINT INVESTIGATION

BACKGROUND & PROCEDURE

ABUSE & NEGLECT INVESTIGATION

FACILITY LICENSING COMPLAINTS

LICENSING INVESTIGATION TIME FRAMES

COMPLAINT INVESTIGATION

CHAPTER FIVE ~ ADVERSE ACTIONS & LEGAL LETTERS

CIVIL PENALTIES

LICENSE DENIAL, SUSPENSION & REVOCATION

VOLUNTARY LICENSE SURRENDER

ASSISTANT ATTORNEY GENERAL CONSULTATION

ADMINISTRATIVE HEARINGS

UNLICENSED FACILITIES

LEGAL LETTERS

RECORD ACCESS & DISCLOSURE

GLOSSARY

APPENDIX A ~ FACILITY RECORDS AND FORMS

LICENSE FILE

RECORDS RETENTION

REQUIRED FORMS

APPENDIX B ~ SAMPLE LEGAL LETTERS

APPENDIX C ~ DISQUALIFYING OFFENSES

APPENDIX D ~ COMPUTER REPORTS


ACKNOWLEDGEMENTS

Within Division of Child Care and Early Learning (DCCEL) the 2001 - 2002 MAP Team included Judy Becker, Susan Biles, Linda Ernst, Patricia Eslava-Vessey, Mernie Graham, Josie Hernandez, Robin High, Candance Lattimer, Linda Robertson, Bronwyn Vincent, Pat Dickason. Mike Tornquist, Policy Administrator provided generous support as did Rachael Langen, Division Director. All DCCEL staff participated in reviews. Shelia Huber, AAG also reviewed materials.

Thanks to past Office of Child Care Policy (OCCP) support and licensing staff, supervisors, program managers, regional managers and office chiefs for creating this guide originally. MAP writers included: Leslie Edwards-Hill (Principal Writer, 1997 - 2001), Pat Dickason, Laura Dallison, Annie Cubberly, Linda Jellum, AAG, Susan Kavanaugh, Jim Teeters, Karen Tvedt, Lois Ward, Lee Williams. Reviewers, 1997: All OCCP staff, Lee Ann Miller, AAG. Principal editor (2001- update) - Laura Dallison, Licensing Field Administrator.

LICENSING AUTHORITY

Revised Code of Washington (RCW)

Washington statutes establish and govern licensing authority. Statutory or RCW provisions are law and cannot be waived. For example, RCW 74.15.020 limits the maximum number of children in family homes to 12. The licensor cannot waive or modify this limitation.

The primary statutes (RCW) governing child day care facility licensing are:

“Agencies for Care of Children, Expectant Mothers, and Developmentally Disabled Persons”, Chapter 74.15;

“Office of Child Care Policy; Child Care Coordinating Committee; Resource and Referral Agencies; Chapter 74.13;

“Background Checks”, Chapter 43.43;

“Public Assistance”, Chapter 74.12; and

“Administrative Procedures Act”, chapter 34.04.

Washington Administrative Code (WAC)

Statutes (RCW) are implemented by administrative rules known as the Washington Administrative Code or WAC. Licensing WAC are also referred to as Minimum Licensing Requirements or MLR or “rules”. WAC are changed to conform to new or modified legislation.

WAC can be waived when the provider demonstrates to the licensor’s supervisor/field manager’s satisfaction that an alternative satisfies WAC intent.

“SHALL, MUST, SHOULD, AND MAY”

For purposes of this document:

“Shall” or “Must” means the policy, procedure or action is required;

“Should” means the policy, procedure or action is best practice; and

“May” means the policy, procedure or action is a suggested option.

DCCEL MAP, DRAFT Version 3

October 2002

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A. CHILD CARE AND EARLY LEARNING HISTORY

  1. Office of Child Development/Office of Child Care Policy

The Office of Child Development, which later became the Office of Child Care Policy (OCCP), was established in 1987 by statute (RCW 74.13) based on recommendations from the Governor's Task Force on Children's Day Care and Welfare Reform Planning. OCCP’s purpose was to create and administer policy and procedures resulting in improved child care quality. It was also to create a network of resource and referral agencies designed to furnish information to parents and liaison with various child care entities within each community.

  1. Child Care Coordinating Committee

In 1988, the statute was modified to create the Child Care Coordinating Committee (CCCC). The Committee was established to facilitate communication and coordination among state agencies involved in child care and to make recommendations to the legislature and agencies about improvements in child care services and systems. OCCP was given responsibility to convene and provide staff support to the CCCC; in turn, the CCCC was to advise OCCP in carrying out its responsibilities.

The CCCC Partnership Subcommittee was established by the 1989 Legislature to create a liaison between OCCP and the Department of Community, Trade and Economic Development, thereby encouraging business support of child care.

  1. DCFS Licensing Staff Transfer to OCCP

In January 1994, child care facility licensing staff were transferred from Division of Children and Family Services (DCFS) to OCCP. This move strengthened the licensing function and ensured systematic review of the health, safety and well being of children in child care. Additionally, interaction between licensing and child care policy development was enhanced.

  1. Mission Statement Background - OCCP Mission Statement

OCCP’s statement of “Mission, Guiding Principles, and Roles and Responsibilities” was developed in 1994. Regional teams and central office staff identified mission elements and after considerable review, composed the mission statement.

“OCCP’s mission is to promote responsive community based services and systems that provide high quality, developmentally appropriate child care for the diverse children and families of Washington.”

  1. Division of Licensed Resources

In October 1996, Governor Lowry established the Division of Licensed Resources (DLR) within Children’s Administration. DLR included OCCP, the Office of Foster Care Licensing (OFCL), and the licensed facility child abuse and neglect (CA/N) investigations section, DLR/CPS.

  1. Division of Child Care and Early Learning

The Division of Child Care and Early Learning (DCCEL) was created in July 2001 as part of Economic Services Administration (ESA). This action consolidated OCCP functions (policy, programs, licensing), Department of Health (DOH) inspections, ESA and most Children’s Administration subsidies, the Governor’s Head Start Collaboration Project and child care research into one organization.

B.MISSION, VALUES, PRIORITIES & RESPONSIBILITIES

  1. DCCEL Mission Statement

“The mission of the Division of Child Care and Early Learning (DCCEL) is to promote access to quality child care and early learning services. DCCEL promotes community-based services and systems that provide high quality child care for diverse children and families.”

2.DCCEL Licensing Priorities

a.The Division’s first licensing priority is to safeguard the health, safety, and well being of children in care away from their own homes. Licensors and health specialists work to assure child care consumers, the community at large, and child care providers that adequate minimum standards are maintained by providers.

Specifically, licensors and health specialists (where appropriate) must:

  1. Investigate child care facility complaints and take action to remedy deficiencies and/or dangerous situations.
  2. Process child care facility licensing and relicensing applications within the 90 days allowed by law.

b.The priority underlying all licensing responsibilities and functions is to execute tasks in a responsive, courteous, and respectful manner.

  1. DCCEL Licensing Responsibilities
  1. To conduct licensing activity including:
  1. licensing over 2000 child care centers and 7200 family child care (FCC) homes;

ii.re-licensing facilities every three years;

iii.monitoring FCC homes at least once between licensing periods;

iv.monitoring child care centers at least once a year; and

v.managing an annual workload of approximately:

a.2300 new license applications;

b.40,000 criminal history checks;

c.5000 complaint investigations;

d.300 probationary licenses issued and monitored each month to providers who are chronically non-compliant;

e.two dozen court hearings about revoked or suspended licensees or denials.

  1. DCCEL Policy and Program Responsibilities
  1. To develop standards and regulations for child care homes and centers;
  2. To increase access to licensed child care through subsidies for low income and at-risk families;
  3. To coordinate and offer relevant education and support to providers, parents, and the broader child care community;
  4. To provide leadership for collaborations working to improve child care quality and supply;
  5. To collect, maintain, and distribute child care information; and
  6. To increase the supply of high-quality licensed child care by:
  1. funding resource and referral services;

ii. facilitating recruitment and training efforts;

  1. advocating for adequate subsidy rates;
  2. seeking and administering grant funds; and
  3. encouraging other sector investment in child care.
  1. To administer the following programs:
  1. Federal Child Care Development Fund (CCDF) grant including:
  1. serving as single point of contact regarding fund administration;
  2. determining usage and priorities for block grant expenditures;
  3. promulgating rules and regulations governing administration;
  4. submitting required reports;
  5. ensuring compliance with the plan and federal requirements;
  6. overseeing expenditures of funds to sub-grantees and contractors;
  7. monitoring programs and resources; and
  8. fulfilling responsibilities related to complaints, compliance, hearings or appeal actions.
  1. Other programs including:
  1. Child Care Resource & Referral;
  2. Baby/Toddler Initiative & BrainNet;
  3. CCCC;
  4. State Training and Registry System (STARS) training;
  5. Child Care Nutrition subsidy;
  6. Child Care Quality Grants;
  7. Seasonal, Homeless, Child Welfare & Teen Parent subsidy programs;
  8. Career & Wage Ladder;
  9. Map to Inclusive Child Care;
  10. Micro-Loan & Facility Fund; and
  11. Families That Work.

C.ORGANIZATION

  1. DCCEL Management
  1. Division management consists of the Division Director, and policy, program, quality assurance and research section administrators located at headquarters (HQ), and the licensing field managers and supervisors located in offices within the three administrative regions.
  2. The Division Director reports to the Assistant Secretary of ESA. The licensing field managers and the policy, program quality assurance and research section administrators report to the Director.
  3. The licensing supervisors report to licensing field managers. Child care center and FCC home licensors, health specialists and office support report to supervisors.
  4. Program managers responsible for program, subsidy, and policy administration report to the policy, program or quality assurance section administrator. Central support staff reports to the appropriate HQ administrator.

(INSERT ORG CHART HERE)

2. The Director
  1. manages statewide policy, grants, personnel, and budgets;
  2. coordinates with DSHS divisions, other state agencies, community organizations;
  3. represents the Division to the legislature, CCCC, other stakeholder groups, and to the media; and
  4. coordinates the Leadership Team formulating strategies, plans and management decisions to meet the strategic goals.
3.The Licensing Field Manager
  1. manages and evaluates the work of licensing supervisors;
  2. works to improve licensing practice based on information obtained from the quality assurance staff;
  3. represents DCCEL management in the geographic region and in meetings with community partners and union-management discussion groups;
  4. participates as a member of the Leadership Team, formulating strategies, plans and management decisions to meet the strategic goals;
  5. facilitates licensing supervisor involvement in the local child care community and assessment of the needs of the local community.
4.Policy & Program Section Administrators

(POSITION DESCRIPTIONS TO BE INSERTED. –this should actually be an attachment)

5. Licensing Supervisors
  1. recruit, select, hire, train, supervise, and evaluate licensing and support staff within their office;
  2. sign licensing waivers, provide staff with necessary resources, review compliance and accountability, ensure complaints are responded to and monitored within required time frames, and ensure licensing and re-licensing occur within the 90 days allowed by law;
  3. facilitate licensing staffings, review licensing files, approve/disapprove licenses, and work with licensors and legal counsel on initiating corrective action against licensees; and
  4. cooperate with community stakeholders, consult with Assistant Attorneys General (AAGs), and serve as spokespersons within their area.

6.Child Care Licensors

a.Ensure child care homes and centers meet licensing rules by providing:

i.orientation and training;

  1. background checks;
  2. licensing, monitoring, and re-licensing including:
  1. reviewing application packets for accuracy;
  2. collecting and reviewing background check information;
  3. inspecting and monitoring facilities;
  4. identifying and documenting deficiencies; and consulting to develop alternatives;
  5. developing compliance agreement plans;
  6. investigating complaints and developing corrective actions including:
  1. documenting problems; and
  2. establishing compliance agreement plans.
  1. consulting with supervisors to identify possible adverse licensing actions; and
  2. collaborating with community entities such as resource and referral, health departments, fire inspectors, institutions of higher education, and food programs.
  1. Health Specialists

a.Assist Child Care Centers to meet health and environmental safety licensing rules by:

  1. reviewing construction plans and providing feasibility studies for new centers;
  2. conducting health and safety surveys in child care centers;
  3. prioritizing health survey requests as follows:
  1. investigating complaints (when a health survey is necessary);
  2. initial licensing surveys;
  3. amended space surveys (includes increased capacity and change of environment/use)
  4. initial-to-full license surveys
  5. relicensing surveys (if requested by the licensor).

b.Assist Child Care Centers and Family Homes to have access to health and environmental safety consultation and technical assistance.

c.Identify and document non-compliance with licensing rules;

d.Develop compliance agreements and consult with providers to develop alternatives;

e.Consult with supervisors and licensors to identify possible adverse licensing actions;

f.Provide health and safety education and technical assistance for child care providers and licensors; and

g.Build partnerships with other agencies, organizations and stakeholder groups such as resource and referral, local health departments, fire inspectors, institutions of higher education, and food programs.

8.Headquarters Program & Policy Program Managers

  1. Provide support to field staff and community child care providers;
  2. Manage grants and contracts for resource and referral and provider training;
  3. Coordinate child care and licensing policy development;
  4. Create and edit forms, publications, and manuals including “The Link” (child care provider andlicensing quarterly newsletter);
  5. Provide support for the child care subsidy program such as Working Connections Child Care, Homeless Child Care and Seasonal Child Care;
  6. Provide support for the CCCC and Subcommittees; and
  7. Monitor legislative actions and bills, develop budget proposals, and respond to legislative inquiries.

9.Licensing Support Staff

Support staff provide valuable assistance to management and licensors by carrying out a wide variety of duties requiring computer, clerical, telephone, and customer service skills. Support staff statewide customarily perform the following duties:

  1. sends initial licensing information to prospective providers and processes applications and re-applications;
  2. completes initial data entry, and maintains, updates and purges information in the computer information system for homes and centers;
  3. gathers and organizes information for “Criminal History Background Inquiries” and “Child Abuse/Neglect” (CA/N) checks;
  4. assigns provider numbers and updates provider files;
  5. completes fire and health inspection requests for centers and notifies city/county planning agencies about proposed centers; and
  6. performs receptionist duties and answers general questions from providers and parents.

D.COMMUNITY PARTNERS

Because of size and complexity of child care services and systems, improving quality requires cooperation among many constituencies. While DCCELplays a leadership and facilitator role, lasting improvement depends on mobilizing resources of many community organizations to accomplish one common mission.

1.Other DSHS Agencies

DCCEL cooperates and collaborates with:

a. Children’s Administration (CA)

The Division of Children and Family Services (DCFS) includes CA Intake, the Division of Children and Families Services (DCFS) and the Division of Licensing Resources (DLR).

DLR includes the Office of Foster Care (OFCL) and DLR/CPS investigators who investigate allegations of child abuse and neglect in licensed child care facilities and/or facilities subject to licensing.

b. Economic Services Administration (ESA)

ESA includes staff who authorize state subsidies for child care. DCCEL staff must give providers payment materials to assist in understanding the DSHS payment system and in claiming child care subsidies. When overpayments or poor business practices by providers serving DSHS subsidized children occur, licensors must notify the appropriate program manager in ESA or DCCEL.

c. Division of Developmental Disabilities (DDD)

DDD staff provide information, referral and services to families with children who have special needs.

d. Social Service Payment System (SSPS)

SSPS staff administer SSPS provider numbers and payments to prevent overpayment.

e. Office of Financial Recovery (OFR)

OFR processes child care fee payments, refunds, and provides “Financial Assessment” analyses on child care providers.

2.Other Governmental Agencies

DCCEL cooperates and collaborates with:

a. National Child Care Information Center (NCCIC)

NCCIC gathers and distributes licensing, subsidy and policy information from a national perspective.

b.Assistant Attorneys General (AAG)

AAGs provide legal advice on licensing issues which may include issuing a probationary license, imposing a civil fine, denial, suspension or revocation of a license, or preparing a case to do so.