Utah Admin. Code R380-600-7 - Inspection and Investigation Process
(1) OL may schedule announced and unannounced
inspections to follow statute, contract, and federal requirements according to
each category.
(2) OL may adopt the
findings from an inspection conducted by another local or federal agency or by
the department staff on behalf of another local or federal agency as part of
the provider's compliance history.
(3) The provider shall cooperate with OL to
monitor rule compliance and rule compliance maintenance any time the program or
facility is serving clients by giving to OL full access to:
(a) the building;
(b) any client who independently consents to
speak with OL staff;
(c) staff;
and
(d) any program or facility
record.
(4) The provider
shall cooperate with OL by immediately responding to each request for
information necessary to demonstrate rule compliance before, during, and after
inspections.
(5) The provider shall
make available and permit reproduction of program or facility records and
documents by, or on behalf of, the department as necessary to ascertain
compliance with any applicable law, rule, and regulation.
(6) The provider shall ensure that the
integrity of OL's information gathering process is not compromised by
withholding or manipulating information or influencing any specific response of
staff or clients.
(7) The provider
shall allow OL to access any program or facility record or staff at an
administrative or certified location that is not located at the licensed
site.
(8) Except for when an
inspection is conducted by another local or federal agency, or by the
department staff on behalf of another local or federal agency, OL shall serve a
written inspection report to the provider once the inspection process is
complete and approved by OL management.
(9) If the provider is out of compliance with
any applicable rule, statute, or requirement, the provider shall:
(a) come into compliance within the required
correction time frames as stated in the respective inspection report;
(b) pay any applicable penalty and inspection
fee; and
(c) maintain compliance
with each applicable rule, statute, or requirement.
(10) OL may require immediate compliance with
any rule that is found out of compliance and that represents an imminent risk
to any client.
(11) Once an
inspection is completed and the inspection report is produced by OL, OL shall
post each citation from each inspection and each substantiated noncompliance
from a complaint investigation on the division website for no less than 36
months.
(12) The provider shall
follow OL's directions when OL requires a plan of correction.
(13) OL may require additional inspections as
part of the plan of correction.
(14) OL may investigate any complaint or
incident that suggest noncompliance with any rule or statute, except for:
(a) an anonymous complaint against a provider
within child care licensing; or
(b)
a complaint against a provider within child care licensing that alleges an
issue that happened six or more months before the complaint is
received.
(15) Except as
noted for child care complaints in Subsection
R380-600-9(15),
OL reserves discretion to decline investigation of a complaint that is
anonymous, unrelated to current conditions of the program, or not an alleged
violation of a rule or statute.
(16) When a critical incident occurs under
the direct responsibility and supervision of the program or facility, the
provider shall:
(a) submit a report of the
critical incident to OL in a format required by OL within one business day of
the critical incident occurrence;
(b) additionally ensure any allegation of an
incident of abuse, neglect, or exploitation of a client is reported to the
Division of Child and Family Services for a minor client or Adult Protective
Services for an adult client and law enforcement within 24 hours;
(c) notify the parent or legal guardian of
each involved client within a 24-hour period from the time of the
incident;
(d) if the critical
incident involves any client in the custody of the department or under contract
with the department, notify the involved department division immediately;
and
(e) collect, maintain, and
submit original witness statements and supporting documentation, including
video footage if available, regarding each critical incident to OL upon
request.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
(1) The office may schedule announced and unannounced inspections to follow statute, contract, and federal requirements according to each category .
(2) The office may adopt the findings from an inspection conducted by another local or federal agency, or by the department staff on behalf of another local or federal agency as part of the provider 's compliance history.
(3) The provider shall cooperate with the office to monitor rule compliance and rule compliance maintenance anytime the program or facility is serving clients by giving to the office full access to:
(a) the building;
(b) clients;
(c) staff; and
(d) any program or facility records.
(4) The provider shall cooperate with the office by promptly responding to any request for information necessary to demonstrate rule compliance before, during, and after inspections.
(5) The provider shall make available and permit reproduction of program or facility records and documents by, or on behalf of, the department as necessary to ascertain compliance with applicable laws, rules, and federal regulations.
(6) The provider shall ensure that the integrity of the office 's information gathering process is not compromised by withholding or manipulating information or influencing any specific response of staff or clients.
(7) The provider shall allow the office to access any program or facility record or staff at an administrative or certified location that is not located at the licensed site.
(8) Except for when an inspection is conducted by another local or federal agency, or by the department staff on behalf of another local or federal agency, the office shall serve a written inspection report to the provider once the inspection process is complete and approved by division management.
(9) If the provider is out of compliance with any applicable administrative rules, statute, or requirements, the provider shall:
(a) come into compliance within the required correction time frames as stated in the respective inspection report ;
(b) pay any applicable penalties and inspection fees; and
(c) maintain compliance with each applicable administrative rules, statute, or requirements.
(10) The office may require immediate compliance with any administrative rule that is found out of compliance and that represents an imminent risk to any client .
(11) Once an inspection is completed and the inspection report is produced by the office , the office shall post any citations from any inspection and any substantiated noncompliance from a complaint investigation on the division website for no less than 36 months.
(12) The provider shall follow the office 's directions when the office requires a plan of correction .
(13) Except for certified facilities following a CMS plan of correction , the office may allow the provider to have one plan of correction in a 36-month period.
(14) The office may require additional inspections as part of the plan of correction .
(15) The office may investigate any complaint or incident that suggest noncompliance with any rules or statute, except for:
(a) an anonymous complaint against a provider within Child Care Licensing; or
(b) a complaint against a provider within Child Care Licensing that alleges an issue that happened six or more weeks before the complaint is received.
(16) When a critical incident occurs under the direct responsibility and supervision of the program or facility , the licensee or certificate holder shall:
(a) submit a report of the critical incident to the office in format required by the office within one business day of the critical incident occurrence;
(b) notify the legal guardian of each involved client within a 24-hour period from the time of the incident;
(c) if the critical incident involves any client in the custody of the department or under contract with the department , notify the involved department division immediately; and
(d) collect, maintain, and submit original witness statements and supporting documentation, including video footage if available, regarding each critical incident to the office upon request.