Okla. Admin. Code § 340:110-3-153.1

Current through Vol. 42, No. 4, November 1, 2024

Section 340:110-3-153.1 - Personnel

(a)Personnel policy. Personnel policy includes defining personnel, essential position functions, qualifications, and authority lines.

(b)Personnel and responsibilities. The program recruits personnel with specialized skills, knowledge, and the cultural understanding and competencies necessary for quality residential care services. Personnel demonstrate responsible behavior reasonably ensuring residents' care and safety. Personnel cooperate with Oklahoma Human Services (OKDHS) staff, including monitoring visits and investigations.

(1)Executive director. The program employs an executive director, superintendent, or administrator; and in his or her absence, an individual is designated in charge.

(A) The executive director, superintendent, or administrator is responsible for employing individuals possessing adequate education, professional development, and experience to perform assigned positions' essential functions.

(B) The executive director is responsible for implementing the policies adopted by the governing board and ongoing program operation.

(C) When acting as program director, the executive director meets the requirements in (b)(2) of this Section.

(2)Program director. The program director is responsible for implementing and supervising programs and services. The program director is also responsible for the day-to-day program operation.

(A) The executive director may also serve as the program director, when meeting the qualifications in (d)(2) of this Section.

(B) The program director, including the executive director acting as program director, does not serve as program director at more than one facility location.

(3)Social services personnel. Social services personnel are responsible for admission assessments, placement services, counseling, residents' and his or her families' casework services, service plans, service plan reviews, and discharge plans.

(4)Child care personnel. Child care personnel are responsible for meeting residents' needs, taking in account the residents' ages, physical and mental conditions, and other factors affecting the amount of attention indicated.

(5)Support personnel. Support personnel are responsible for providing support duties.

(6)On-call and part-time personnel. On-call and part-time personnel are responsible for the position duties they are assigned.

(7)On-site official. There is an on-site official authorized to apply the reasonable and prudent parent standard.

(8)Contracted personnel. When the program contracts for a service and the individual or agency personnel fills a position, per (1) through (7) of this subsection, the requirements for the position(s) are met.

(c)Volunteers. When a program uses volunteers, the program maintains current, written volunteer policy. Volunteers:

(1) counted in ratios meet all child care personnel requirements;

(2) do not have unsupervised resident access unless background investigations are completed, per (h)(1)(D) of this Section;

(3) receive orientation prior to resident contact; and

(4) work under the executive director's or designated personnel's direct supervision.

(d)Executive director and program director qualifications. The executive director, superintendent, or administrator, and program director possess adequate education, professional development, and experience to perform the positions' essential functions.

(1) In a program where the executive director operates primarily as an administrator and employs a program director, an executive director hired after June 15, 1990, has a minimum of a bachelor's degree from an accredited college or university.

(2) Individuals solely responsible for direct program supervision, when filling executive director or program director positions, meet at a minimum, one of the qualifications in (A) through (D) of this paragraph:

(A) a bachelor's degree from an accredited college or university with at least nine-college credit hours in family focus, individual function and interaction, child development, sociology, social work, or a closely related subject, and 36 months children's services experience;

(B) a master's degree in social work, psychology, guidance and counseling, sociology, child development, human relations, behavioral science or other closely related subject from an accredited college or university and 24 months children's services experience;

(C) a doctorate in medicine, social work, psychology, guidance and counseling, sociology, child development, human relations, or closely related subject from an accredited college or university and 12 months children's services experience; or

(D) for programs specializing in substance abuse treatment, certification as a Qualified Substance Abuse Professional (QSAP).

(e)Child care and supervisory personnel qualifications. Child care and supervisory personnel possess adequate education, professional development, and experience to perform the position's essential functions.

(1) Child care personnel are at least 21 years of age.

(2) Personnel hired after June 15, 1990, have a high school diploma or equivalent within 12 months of employment.

(3) Personnel hired on or after November 1, 2024, have a high school diploma, General Education Development (GED), or Licensing-approved equivalent.

(f)Social services personnel qualifications. Social services personnel or contractors possess adequate education, professional development, and experience to perform the position's essential functions.

(1) Social services supervisory personnel responsible for developing and implementing the social services program, meet at a minimum, one of the qualifications in (A) through (D) of this paragraph, including a bachelor's degree:

(A) in social work from an accredited college or university;

(B) in behavioral science, social science, or other related subject from an accredited college or university and 12 months children's services experience;

(C) with at least nine-college credit hours in family focus, individual function and interactions, child development, sociology, social work, or a closely related subject, and 48 months children's services experience; or

(D) for programs specializing in substance abuse treatment, when social services personnel are supervised by a QSAP.

(2) Social services personnel hired after June 15, 1990, providing only casework services have a bachelor's degree in a related subject from an accredited college or university.

(g)Employment requirements. Personnel meet requirements in (1) through (3) of this subsection.

(1)References. The program obtains three references for personnel prior to employment. Copies are maintained in the employee's personnel record.

(2)Tuberculin test. Tuberculosis testing is not required routinely. Programs comply with the Oklahoma State Department of Health recommendation regarding tuberculin skin testing, when there is a local identified tuberculin exposure.

(3)Performance evaluation. A written performance evaluation is updated at least annually and maintained in the employee's personnel record.

(h)Background investigations - general.

(1)Required individuals. Background investigations are required, per the Oklahoma Child Care Facilities Licensing Act, Section 404.1 of Title 10 of the Oklahoma Statutes, unless an exception, per (3) of this subsection applies for:

(A) owners, prior to authorization to operate;

(B) responsible entities, prior to authorization to operate and, when there is a change in a responsible entity;

(C) personnel applicants, prior to hire; however, the program may hire individuals, when:

(i) the program has submitted a criminal history review request to the Office of Background Investigations (OBI) and received a preliminary approval indicating the fingerprint results are received from OBI;

(ii) criminal history review results from the OBI are received by the program. However, until complete results are received, the individual does not have unsupervised access to residents; and

(iii) coming from another licensed program owned by the same business entity. Individuals are not required to repeat the background investigation process, unless required, per (2) of this subsection, with the exception of criminal history restriction waivers, provided there is no break in employment from the business entity; and

(D) individuals with unsupervised resident access, prior to having resident access, unless an exception, per (3) of this subsection applies;

(E) adults living in the facility prior to authorization to operate or moving into the facility of an existing program. This includes residents, who become 18 years of age while living in the facility, unless exempt as a resident receiving services from the program; and

(F) individuals having access to, or review of, fingerprint results, prior to access to or review of results.

(2)Resubmission of criminal history reviews as of November 2, 2017. Effective November 2, 2017, programs request a criminal history review process, excluding fingerprinting, for required individuals every five years. However, criminal history reviews requested prior to November 2, 2017, are resubmitted by November 1, 2022.

(3)Non-required individuals. Background investigations are not required for:

(A) specialized service professionals who are not program personnel, provided parent releases are obtained, per Oklahoma Administrative Code (OAC) 340:110-3-154(a)(4)(E);

(B) volunteer drivers transporting residents irregularly and not filling another position, provided parent releases are obtained, per OAC 340:110-3-154(a)(4)(E);

(C) contracted drivers not filling another position or having unsupervised resident access;

(D) contracted non-personnel not having unsupervised resident access, such as when the program contracts for special activities or facility repair;

(E) individuals who are not program personnel and have contact with residents as part of family, community, and social activities, education, or employment, provided administrative and program policies are met including policy regarding trips away from the facility; and

(F) residents who become 18 years of age while living in the facility and continue to receive program services.

(i)Background investigations - Restricted Registry. The program conducts an online search of the Restricted Registry, also known as Joshua's List, when required, per (h) of this Section.

(1)Non-registrants. Non-registrants are individuals not recorded on the Restricted Registry.

(2)Registrants. Registrants are individuals recorded on the Restricted Registry, who are prohibited from licensure, ownership, employment, unsupervised-resident access, facility residence, and prohibited individuals, per (j) of this Section.

(j)Background investigations - criminal history. The program and required individuals complete the criminal history review process. The program receives the completed criminal history review results from OBI, when required, per (h) of this Section.

(1)Criminal history prohibitions. Individuals with criminal history prohibitions are prohibited, per (k) of this Section. Criminal history prohibitions include:

(A) required registration under the:

(i) Sex Offenders Registration Act, including state and national repositories; or

(ii) Mary Rippy Violent Crime Offenders Registration Act; or

(B) pleas of guilty or nolo contendere (no contest), or convictions of felonies involving:

(i) murder, as defined in Section 1111 of Title 18 of United States Code;

(ii) child abuse or neglect;

(iii) crimes against children, including child pornography;

(iv) spousal abuse;

(v) crimes involving rape or sexual assault;

(vi) kidnapping;

(vii) arson;

(viii) physical assault or battery; or

(ix) a drug-related offense committed during the preceding five years, unless a criminal history restriction waiver, per (2) of this subsection is granted; or

(C) pleas of guilty or nolo contendere (no contest), or convictions of violent misdemeanors committed as adults against a child involving:

(i) child abuse or child endangerment; or

(ii) sexual assault; or

(D) pleas of guilty or nolo contendere (no contest), or convictions of misdemeanors involving child pornography.

(2)Criminal history restrictions. Individuals with criminal history restrictions are prohibited, per (k) of this Section, unless a criminal history restriction waiver is granted. Criminal history restrictions include pending charges, pleas of guilty or nolo contendere (no contest), or conviction of criminal activity involving:

(A) gross irresponsibility or disregard for the safety of others;

(B) violence against an individual;

(C) sexual misconduct;

(D) child abuse or neglect;

(E) animal cruelty;

(F) illegal drug possession, sale, or distribution; or

(G) a pattern of criminal activity.

(3)Criminal history restriction waivers. Restriction waivers are described in (A) through (C) of this paragraph.

(A) Restriction waivers may be requested for individuals having criminal history restrictions. The owner, responsible entity, or director completes requests on an OKDHSform.

(B) Restriction waivers are not requested or granted for:

(i) Restricted Registry registrants;

(ii) individuals with criminal history prohibitions; or

(iii) individuals whose sentence has not expired for criminal history restrictions.

(C) Individuals identified in pending or denied restriction waiver requests are prohibited, per (k) of this Section.

(k)Prohibited individuals.

(1)Background investigation of required individuals. The program does not allow a required individual to be the owner or responsible entity, to be employed, live in the facility, or have:

(A) resident access, such as being present at the facility during the hours of operation or present with the residents in care while off-site, when the individual has:

(i) criminal history prohibitions;

(ii) criminal history restrictions, unless a criminal history restriction waiver is granted. Individuals identified in a pending or denied restriction waiver request are prohibited; or

(iii) a substantiated heinous and shocking abuse finding; or

(B) unsupervised resident access, when the individual is a Restricted Registry registrant.

(2)Background investigation statements and consents. Individuals are prohibited to be the owner or responsible entity, to be employed, or to live in the facility, when:

(A) the individual refuses to consent to background investigations, per (h) of this Section; or

(B) knowingly makes a materially-false statement in connection with criminal background investigations.

(3)Alcohol, drugs, and medication. When residents are in care, no individual employed by the program or providing program services may use or be under the influence of:

(A) alcohol or illegal drugs; or

(B) medication impairing his or her functioning.

(4)Child endangerment. An individual whose health or behavior would endanger residents' health, safety, or well-being is prohibited from living in or being on the premises when residents are in care.

(5)Criminal allegations. When personnel is alleged to have committed an act, per (j) of this Section, the program's executive director determines and documents when the personnel is removed from resident contact until the allegation is resolved. However, when criminal charges are filed, the accused is removed from resident contact until the charges are resolved.

(6)Deferred sentences. Individuals having a deferred sentence for charges in (j)(2) of this Section are removed from resident contact for the deferment duration.

(l)Orientation. Personnel receive orientation after employment date and within 30-calendar days of employment.

(1) Personnel receive orientation prior to assignment as the primary personnel responsible for residents.

(2) Orientation includes, at least:

(A) confidentiality;

(B) resident grievance process;

(C) fire and disaster plans;

(D) suicide awareness and protocol;

(E) emergency medical procedures;

(F) organizational structure;

(G) program philosophy;

(H) personnel policy and procedures;

(I) mandatory child abuse reporting; and

(J) administrative policy and procedure regarding behavior management.

(3) OKDHS Publication No. 86-78, Licensing Requirements for Residential Child Care Facilities, is part of the orientation process and available to personnel at all times.

(4) Orientation counts toward total professional development hours for the first 12 months.

(m)Personnel professional development. Professional development the program schedules is obtained on or after personnel's employment date. Personnel meet professional development requirements in (1) through (7) of this subsection.

(1)Professional development for the administrator and program director. The administrator and program director obtain at least 12-clock hours of professional development annually. Hours are prorated at one hour per month for personnel not employed for a full-calendar year. The content pertains to position roles and responsibilities.

(2)Professional development for social services personnel. Social services personnel, including licensed mental health professionals and those providing casework services, obtain at least 12-clock hours professional development annually. Hours are prorated at one hour per month for personnel not employed for a full-calendar year. The content pertains to the position roles and responsibilities.

(3)Professional development for child care personnel. Child care personnel receive professional development.

(A) Full-time child care personnel obtain at least 24-clock hours of professional development courses annually. Hours are prorated at two hours per month for personnel not employed for a full-calendar year.

(B) Part-time child care personnel obtain at least 12-clock hours of professional development courses annually.

(C) On-call or substitute child care personnel obtain at least six-clock hours of professional development courses annually.

(D) The child care personnel professional development is relative to the assigned positions, roles, and responsibilities.

(E) When residents are in care on the facility premises or on a program-sponsored field trip, at least one personnel is present with current age-appropriate first aid and cardio-pulmonary resuscitation (CPR) documentation. All other child care personnel obtain and maintain age-appropriate first aid and CPR within 90-calendar days of employment. CPR and first aid training are conducted by a certified instructor from an OKDHS-approved source.

(F) Child care personnel with a current nursing certification or degree are exempt from the first aid certification requirement.

(4)Professional development for support personnel. Support personnel providing occasional instruction or professional development to residents obtain at least six-clock hours of professional development courses annually. The content is relative to the position, role, and responsibility or resident interactions.

(5)Behavioral intervention techniques. Within 90-calendar days of employment, and prior to being solely responsible for residents, child care personnel and support personnel providing occasional instruction to residents provide current certification in OKDHS-approved behavioral intervention techniques, to include:

(A) rules and appropriate consequences of various interventions;

(B) techniques for early de-escalation and preventive intervention;

(C) team approaches to behavior management;

(D) verbal crisis intervention; and

(E) safe and appropriate physical restraint, when applicable, per program policy.

(6)Reasonable and prudent parent standard professional development. A designated, on-site official authorized to apply the reasonable and prudent parent standard receives professional development on the use of reasonable and prudent parent standards.

(7)Contracted personnel professional development. Contracted personnel not providing direct care or counted in the supervision ratio are exempt from meeting the personnel professional development requirements in (m)(1) through (6) of this Section.

(n)Documentation. Orientation and professional development hours are documented and available for Licensing review. Documentation includes personnel names attending, course titles and descriptions, dates, hours attended, and trainer or facilitator names.

(o)Personnel records. Programs maintain personnel records for each employee.

(1) The program submits to Licensing at the time of request for license:

(A) a current employee list; and

(B) an OKDHS-provided personnel information sheet, for each employee.

(2) The program maintains written personnel information for each employee. The personnel file includes:

(A) an OKDHS-provided personnel information sheet, completed for each personnel upon employment and submitted to Licensing within two weeks of his or her employment;

(B) an application, resume, or personnel information sheet documenting position specific qualifications;

(C) criminal history review requests and results documentation;

(D) other applicable criminal history records;

(E) three references;

(F) annual performance evaluation reports and notes relating to the individual's program employment;

(G) the employment date;

(H) the date and reason for leaving employment; and

(I) program required health records.

(3) Personnel records are maintained for at least 12 months following the last employment date, unless the requirements specifically state otherwise.

(4) Licensing has access to personnel records and other confidential documents relevant to personnel.

Okla. Admin. Code § 340:110-3-153.1

Added at 18 Ok Reg 3331, eff 10-1-01 (emergency); Added at 19 Ok Reg 1171, eff 5-13-02; 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 31 Ok Reg 154, eff 11-1-13 (emergency); Amended at 31 Ok Reg 1854, eff 9-15-14; Amended at 33 Ok Reg 146, eff 11-2-15 (emergency)

Amended by Oklahoma Register, Volume 33, Issue 24, September 1, 2016, eff. 9/15/2016

Amended by Oklahoma Register, Volume 35, Issue 24, September 4, 2018, eff. 9/17/2018

Amended by Oklahoma Register, Volume 37, Issue 24, September 1, 2020, eff. 11/1/2020

Amended by Oklahoma Register, Volume 38, Issue 24, September 1, 2021, eff. 9/15/2021

Amended by Oklahoma Register, Volume 40, Issue 22, August 1, 2023, eff 9/15/2023

Amended by Oklahoma Register, Volume 41, Issue 23, August 15, 2024, eff. 9/16/2024