RELATES TO:
KRS
2.015,
13B.050,
17.165(6),
199.011,
199.640,
199.670,
199.990,
600.020,
610.110(6),
620.140,
42 U.S.C.
671
NECESSITY, FUNCTION, AND CONFORMITY:
KRS
194A.050(1) requires the
secretary of the Cabinet for Health and Family Services to promulgate
administrative regulations necessary to operate programs and fulfill the
responsibilities vested in the cabinet.
KRS
199.640(5)(c) authorizes the
Cabinet for Health and Family Services to promulgate administrative regulations
relating to licensure for child-caring facilities and child-placing agencies.
This administrative regulation governs the licensure process for child-caring
facilities and child-placing agencies and the appeals process.
Section 1. Definitions.
(1) "Advisory board" means a group of
citizens, approved by the board of directors, who gives advice, counsel, and
support to a child-caring facility or a child-placing agency.
(2) "Cabinet" is defined by
KRS
199.011(3).
(3) "Child" means:
(a) A child as:
1. Defined by
KRS
199.011(4) and
600.020(9);
or
2. Referenced in
KRS
610.110(6);
(b) A person age eighteen (18) or
older whose commitment to the cabinet has been extended or reinstated by a
court in accordance with
KRS
620.140(1)(d); or
(c) A person under age twenty-one (21) who
meets the exception to the age of majority in accordance with
KRS
2.015.
(4) "Child-caring facility" is defined by
KRS
199.011(5) and
600.020(10).
(5) "Child-placing agency" is defined by
KRS
199.011(6).
(6) "Division" means the Division of
Regulated Child Care, Office of the Inspector General.
(7) "Licensee" means an individual,
partnership, corporation or other entity authorized to operate a child-caring
facility or child-placing agency, including a board of directors and a person
authorized to make application.
Section 2. Initial Application.
(1) An applicant for a license shall submit
to the division:
(a) A completed Application
for Licensure to Operate a Child-Caring Facility or a Child-Placing Agency,
Form OIG 136;
(b) A nonrefundable
licensure fee in the amount of $100 in accordance with
KRS
199.640(4);
(c) A copy of the Articles of Incorporation
on file with the Secretary of State, if the applicant is a
corporation;
(d) A mission
statement of purpose, objective, scope of service provided, and intake policy
specifying the type of child to be accepted for care;
(e) A copy of the constitution and
bylaws;
(f) A list of officers,
board members, and advisory board members, if any, including the address and
profession;
(g) The name and title
of each officer and the term of office;
(h) A list of staff including position or title and
qualifications;
(i) Verification or
approval from the Department of Housing, Buildings and Construction;
(j) Approval from the Office of the State
Fire Marshal or designee; and
(k)
Written documentation of an approved water and sewage system in accordance with
local, county, and state laws.
(2) A license issued by the division shall
be:
(a) For a specific physical location
within the state;
(b) For operation
by a specific licensee;
(c)
Nontransferable;
(d) Approved and
documented by the State Fire Marshal before a licensure survey is conducted;
and
(e) Awarded if an on-site
inspection, described in Section 6 of this administrative regulation, results
in:
1. A determination that the applicant
qualifies for licensure as established in 922 KAR
1:300 or 922 KAR
1:310;
or
2. An acceptable plan of
correction as described in Section 4 of this administrative regulation, if
applicable.
(3) A child-caring facility or a
child-placing agency operating without a license shall be subject to legal
action, pursuant to
KRS 199.990.
Section 3. Renewal Licensure.
Relicensure shall require the following procedures:
(1)
(a) Not
less than sixty (60) days prior to the date of expiration of its license, a
licensee shall submit a:
1. Completed
Application for Licensure to Operate a Child-Caring Facility or a Child Placing
Agency, Form OIG 136; and
2.
Nonrefundable licensure fee in the amount of fifty (50) dollars in accordance
with
KRS
199.640(4).
(b) If a licensee has made
application for renewal within the timeframe specified in paragraph (a) of this
subsection, the existing license shall remain in effect until the division
takes action on the renewal application.
(2) The applicant shall provide the following
documentation to the annual inspector:
(a) A
list of officers, board members, and advisory board members, if any, including
address and profession;
(b) The
name and title of each officer and term of office; and
(c) A list of staff that includes position or
title and qualifications.
(3) The child-caring facility or
child-placing agency shall comply with its mission statement, program
narrative, and applicable federal and state administrative regulations in
regard to the program operation.
(4) The child-caring facility or
child-placing agency shall have an annual financial audit completed by an
independent accounting firm or a certified public accountant.
(5) Notification of a change in the following
shall be made to the division in advance to allow for approval from the
division, and the State Fire Marshal or designee when applicable, before
implementation:
(a) Ownership or
sponsorship;
(b) Location approval
documented by the State Fire Marshal or designee;
(c) Service type provision described in 922
KAR
1:300 or 922 KAR
1:310;
(d)
Increase in capacity approval documented by the State Fire Marshal or designee;
or
(e) The addition of a new
building or converting of administrative space to living space approval
documented by the State Fire Marshal or designee.
(6) A renewal license shall be issued by the
division if the division determines the applicant qualified for renewal
licensure in accordance with 922 KAR
1:300 or 922 KAR
1:310.
(7) The child-caring facility or
child-placing agency shall post its license in a place visible to the
public.
(8) A license shall not be
sold or transferred.
(9) Change of
ownership.
(a) A prospective new owner shall
submit:
1. A Licensing and Regulation
Application for Licensure to Operate a Child-Caring Facility or a Child-Placing
Agency, form OIG 136;
2. A fee as
specified in Section 2(1)(b) of this administrative regulation; and
3. If the child-caring facility increases
capacity, documentation of approval by the Office of the State Fire Marshal or
designee.
(b) The
division shall perform an on-site inspection, pursuant to
KRS
199.640(3) and
(5).
(c) The effective date of a license granted
on an application for change of ownership shall be:
1. For a child-caring facility or a
child-placing agency that meets requirements of this administrative regulation
and 922 KAR
1:300 or 922 KAR
1:310, the date the child-caring facility or the
child-placing agency is acquired by the new owner;
2. For a child-caring facility or a
child-placing agency that does not meet requirements, the date that compliance
with this administrative regulation and 922 KAR
1:300 or 922 KAR
1:310 is
achieved; or
3. For a child-caring
facility requesting an increase in capacity, not before the approval date
issued by the State Fire Marshal or designee.
(10) Changes to the child-caring facility or
the child-placing agency.
(a) A licensee shall
notify the division, in writing, if there is a change to the child-caring
facility or child-placing agency, as described in subsection (5) of this
section.
(b) The notification shall
be signed by each owner listed on the license application.
(c) A fee shall not be charged.
Section 4. Corrective
Action Plans.
(1) The division shall perform
an on-site inspection, as required by
KRS
199.640(3) and (5). A
regulatory violation of the standards identified in 922 KAR
1:300 or 922 KAR
1:310 during inspection shall be reported to the child-caring facility or the
child-placing agency in a written statement of deficiency. An applicant or
licensee may request the opportunity to informally dispute a deficiency,
pursuant to
KRS
199.670(4).
(2) Unless a request for the opportunity to
informally dispute a deficiency has been made, the child-caring facility or
child-placing agency shall submit, within ten (10) days of receipt of the
statement of deficiency, a written corrective action plan for the elimination
or correction of a violation. The corrective action plan shall detail:
(a) Specific action undertaken to correct a
violation;
(b) The date action was
initiated;
(c) Action utilized to
assure ongoing compliance;
(d)
Supplemental documentation requested as a part of the corrective action plan;
and
(e) Signature of the licensee
or designated representative of the licensee and the date of
signature.
(3) The
division shall review the corrective action plan and notify the child-caring
facility or the child-placing agency, in writing, of the decision to:
(a) Accept the corrective action
plan;
(b) Not accept the corrective
action plan; or
(c) Deny, suspend,
or revoke the license, as described in Section 7 of this administrative
regulation.
(4) A notice
of unacceptability shall state the specific reasons the plan is
unacceptable.
(5) A child-caring
facility or a child-placing agency notified of unacceptability of its
corrective action plan shall, within ten (10) days of notification:
(a) Submit an amended corrective action plan;
or
(b) Have its license revoked or
denied.
(6)
(a) The cabinet shall not review or accept
more than three (3) corrective action plans from a licensee in response to the
same written statement of deficiency.
(b) If a licensee fails to submit an
acceptable corrective action plan or does not implement corrective measures in
accordance with the corrective action plan, the cabinet shall deny or revoke
the license.
(7) If the
cabinet proposes to deny, suspend, or revoke an application or licensure, the
division shall notify the applicant or licensee, in writing, of the right to
request an informal dispute resolution meeting as required by
KRS
199.670(2).
(8) A license shall be issued as required by
KRS
199.640(3), if the
child-caring facility or the child-placing agency has met the requirements of
this administrative regulation and 922 KAR
1:300 or 922 KAR
1:310.
Section 5. Fees.
(1) A licensing fee shall be charged as
pursuant to
KRS
199.640(4).
(2) A licensing fee shall be:
(a) Submitted with the OIG-136;
(b) Made payable to the Kentucky State
Treasurer; and
(c) Paid by:
1. Certified or cashier's check;
2. Money order;
3. A prepaid account established with the
cabinet; or
4. Electronic fund
transfer, including credit or debit card, once the function becomes
available.
Section 6. Inspection.
(1) A child-caring facility or a
child-placing agency shall not deny access to a human services surveyor or
other representative of the cabinet, after proper identification, to make an
inspection for determining compliance with the requirements of this
administrative regulation and 922 KAR
1:300 or 922 KAR
1:310. Denial of access
shall result in an immediate revocation of its license.
(2) A human services surveyor or other
representative of the cabinet shall make an unannounced inspection of a
child-caring facility or child-placing agency based on:
(a) An application for license;
(b) An application for renewal of a
license;
(c) A complaint;
or
(d) A follow-up visit to verify
implementation of a plan of correction as described in Section 4 of this
administrative regulation.
(3)
(a) An
unannounced inspection of a child-caring facility or a child-placing agency:
1. Shall be made during any time services are
provided by the facility or agency;
2. May include the search and seizure, if
necessary, of any records or paperwork. A photocopy of any record or paperwork
by the surveyor is the preferred method of obtaining a copy; and
3. Shall be limited to ensure compliance with
the standards set forth in:
a.
KRS
199.640(5);
b. This administrative regulation;
and
(b)
The inspection of a licensed child-caring facility or a child-placing agency
based on a complaint or a follow-up visit shall not limit the scope of the
inspection to the basis of the complaint or the implementation of a plan of
correction.
Section
7. Basis for Denial, Suspension, or Revocation.
(1) The division shall deny an application or
suspend or revoke a license if the applicant or the licensee fails to meet the
requirements of:
(a) This administrative
regulation, 922 KAR
1:300, or 922 KAR
1:310;
(b)
KRS
17.165(6); or
(c)
42 U.S.C.
671 and implemented federal rule.
(2) Effect of denial or
revocation. The division shall not accept an application to operate a
child-caring facility or a child-placing agency from an entity that:
(a) Previously had a license denied,
suspended, or revoked for a reason described in subsection (1)(b) of this
section; or
(b) Within the previous
five (5) years, voluntarily forfeited a license after the cabinet initiated
denial or revocation action.
(3) A penalty for violation of this
administrative regulation shall be determined by reference to
KRS 199.990.
Section 8. Right of Appeal.
(1) If an application or license has been
denied, suspended, or revoked, the division shall proceed in accordance with
KRS
199.670(2) and
(3).
(2) If, within fifteen (15) days after
receiving notice of the division's action, the applicant or licensee requests a
hearing, the division shall:
(a) Appoint a
hearing officer; and
(b) Proceed
pursuant to
KRS
13B.050.
(3) The cabinet may take emergency action
pursuant to
KRS
199.670(3).
Section 9. Incorporation by
Reference.
(1) "OIG 136, Application for
Licensure to Operate a Child-Caring Facility or a Child-Placing Agency",
12/2018, is incorporated by reference.
(2) This material may be inspected, copied,
or obtained, subject to applicable copyright law, at the Office of the
Inspector General, Cabinet for Health and Family Services, 275 East Main
Street, Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. to 4:30
p.m.