Ala. Admin. Code r. 660-5-37-.07 - Licensing

(1) Application for a License. Any person, group of persons or corporation may obtain an application form for a license to operate a child care facility by contacting the Department of Human Resources by letter, telephone or scheduled visit. Applications for a license shall be made on a departmental approved form and shall contain all information requested on that form including social security number if the applicant is an individual. With the application form, an applicant is provided a copy of Minimum Standards for Child Care Facilities: Principles, Regulations and Procedures and an Information Form. The completed application must be returned to the Department within 30 days from the date of inquiry if such person, etc., wishes to pursue his/her plan to operate a child care facility or if such person is already operating a child care facility illegally (without a license).

(2) Examination and Investigation of Application. Upon receipt of the completed application, a representative of the Department of Human Resources will examine the premises proposed for the child care facility and will investigate the person(s) responsible for the facility. The examination and investigation will be based on the minimum standards and regulations as prescribed and published by the Department. Compliance with standards will be noted on the Information Form by the applicant as the information becomes available.

(3) Disposition of the Application. When minimum standards for the operation of a child care facility have been met, a permit or license will be issued by the Department. If denial of a license is indicated, the Department will notify the applicant, verbally and in writing, of the decision, pointing out and discussing those areas of the minimum standards which have not been met.

(4) 6-Month Permit. If specific areas of the minimum standards are identified as lacking in the basic services of the child care facility, and if the applicant can demonstrate or document that in good faith he/she is taking action towards full compliance with the regulation, the Department may issue a 6 Month Permit to persons making initial application for a license to allow the child care facility reasonable time to become eligible for a full license. Issuance of a permit implies that the Department approves the child care facility's temporary operation without said child care facility's having fully met all requirements. The Department's decision to issue a 6-Month Permit shall be after the child care facility or licensee has met the following requirements: written statements of approval from the fire and health departments, sufficient staff with references and medical to comply with the staff/child ratio, provisions for social services, satisfactory plan for food preparation and service. One renewal of a 6-month permit may be issued at the discretion of the Department. A full license will be issued when the Department determines that all standards have been met.

(5) 6-Month Permit - Alternative to Revocation. Within the licensure period, the Department may issue one 6-Month Permit on a provisional basis to a licensed child care facility found to be out of compliance with the Department's minimum standards where such non-compliance does not represent a hazard to the health or safety, or physical, moral or mental well-being of the children in care. During this six-month period, the child care facility shall correct the items which were in non-compliance and report the corrections to the Department for determination of eligibility for a full license. The child care facility must voluntarily surrender its full license before the Department can consider the issuance of a 6-Month Permit as an alternative to revocation.

(6) Renewal of a License. Application for renewal of a license to continue operating a child care facility shall be made to the Department two months prior to the expiration date of the current license, and on the forms prescribed by the Department. An updated Information Form shall accompany the application. The Department shall re-examine and re-evaluate every area of the facility included in the initial application process. A renewal of a license shall be issued, if, upon re-examination, the Department is satisfied that the child care facility continues to meet and maintain minimum standards prescribed and published by the Department.

(7) Department Visits, Inspections and Consultation. Visits to the child care facility are made by representatives of the Department to determine continued conformity with minimum standards and to provide consultative services. Visits to the child care facility are made by representatives of the Department to inspect and to determine if minimum standards are complied with and to investigate a complaint made against the facility. Such visits shall be made without prior notice. The licensee may request visits of a representative of the Department for consultation, etc. The licensee shall have the opportunity to submit, in writing, information regarding complaints alleged against him and/or the child care facility, and shall have the opportunity for a full discussion about such complaints.

(8) Corrective Action. If an inspection/evaluation indicates non-compliance with the minimum standards, or the situation warrants, a corrective action plan may be developed to allow the licensee to achieve compliance with the minimum standards while continuing to care for children. The corrective action plan shall include: a statement of each deficiency, a description of how the deficiency shall be corrected, the date by which corrections shall be completed, and the signature of the Department's representative and the licensee/facility representative. If the licensee fails or refuses to comply with the corrective action plan, the Department may initiate adverse action such as suspension or revocation of the license/permit/approval.

(9) Revocation of a License.

(a) The Department may revoke or refuse to renew a license of any child care facility or refuse to issue a full license to the holder of a 6-Month Permit, should the licensee or holder of a 6-Month Permit fail to comply with the following: maintain standards prescribed and published by the Department, violate the provisions of the license issued, furnish or make any misleading or any false statements or report to the Department, submit to the Department any reports, or make available to the Department any records required by the Department in making investigation of the child care facility for licensing purposes; provided, however, that the Department shall not revoke or refuse to renew a license in such cases unless it has made written demand on the person, firm or corporation operating the facility requesting such report(s) and such person, firm or corporation fails or refuses to submit such reports for a period of ten days, submit to an investigation by the Department, admit authorized representatives of the Department at any reasonable time for the purpose of investigation, provide, maintain, equip and keep in safe and sanitary condition premises established or used for child care as required by any law, regulation or ordinance applicable to such facility, display its license or permit, maintain financial resources adequate for the satisfactory care of children served in regard to upkeep of premises and provisions for personal care, medical services, clothing, learning experiences and other essentials in the proper care, rearing and training of children.

(b) If a routine inspection or an inspection conducted in response to a complaint or conducted for any other reason by the Department discloses any condition, deficiency, dereliction or abuse which is, or could be, hazardous to the health, the safety, or the physical, moral, or mental well-being of the children in the care of the child care facility being inspected, the Department shall have the power to revoke without notice the license or approval or 6-Month Permit.

(10) Provisions of the License. Licenses issued by the Department to child care facilities are valid for two years from the date of issuance, unless revoked by the Department or voluntarily surrendered by the licensee. The number of children in the child care facility shall not exceed the number specified on the license except in the case of a shelter care facility. The age range of children served shall not vary from the limits specified on the license. The license is not transferable from one individual or group or corporation to another, or from one building to another.

(11) Penalty for Unlicensed Facilities. If the Department representative determines, through investigation, that any person, group of persons or corporation is, or has been operating an unlicensed child care facility, the results of the investigation shall be reported to the Attorney General and to the appropriate District Attorney for prosecution. Filing of the report may be delayed for a period, not to exceed 60 days, to allow the person, group of persons or corporation reasonable opportunity to apply for a license or 6 Month Permit.

Author: Linda S. Stephens

Notes

Ala. Admin. Code r. 660-5-37-.07

Proposed Succedent Permanent Rule Effective October 8, 1999, March 1, 2000.

Statutory Authority: Code of Ala. 1975, §§ 38-7-1 through -17, §§ 41-22-1 through -27