9.1 Parental Complaint Process

Lead Agencies must maintain a record of substantiated parental complaints against child care providers and make information regarding such complaints available to the public on request. Lead Agencies must also provide a detailed description of the hotline or similar reporting process for parents to submit complaints about child care providers; the process for substantiating complaints; the manner in which the Lead Agency maintains a record of substantiated parental complaints; and ways that the Lead Agency makes information on such parental complaints available to the public on request. Lead Agencies are not required to limit the complaint process to parents. 9.1.1 Parental complaint process a. Describe the Lead Agency’s hotline or similar reporting process through which parents can submit complaints about child care providers, including a link if it is a Web-based process: For licensed family child care, parents can contact the county licensing agency to report concerns. Each family child care license certificate includes the statement, "To report concerns about your child's care, contact [county licensing agency name and phone number]," and the license certificate is required to be posted in a prominent location in the family child care program. In addition, each family child care provider is required to inform parents of the provider's policies, and of the procedures, for reporting maltreatment or licensing complaints to the county. For licensed child care centers, parents can contact the department to report concerns, either by calling the Licensing Division or submitting a description of their concern in writing. The Licensing Division has a main telephone number as well as an Intake Hotline. A parent can make a report through either of these numbers to speak directly to a child care licensor or an intake worker. Child care centers are required to post the number for the Licensing Division in a visible place in the facility. Parents can also access the telephone number through the Licensing Division’s child care center webpage. In addition, each child care center is required to inform parents of the center’s policies and procedures for reporting suspected child maltreatment or licensing complaints to the department. For certified license-exempt centers, parents can contact the department to report concerns, either by calling the Licensing Division or submitting a description of their concern in writing. The Licensing Division has a main telephone number as well as an Intake Hotline. A parent can make a report through either of these numbers to speak directly to a child care licensor or an intake worker. Parents can access the telephone number through the Licensing Division’s certification webpage. Finally, on the state’s consumer education website, ParentAware.org, there is a section titled, Health & Safety in Licensed & Certified Child Care Programs where consumers can find information on complaints for all provider types, including contact information. For legal non-licensed providers, parents can contact the local agency to report concerns. The local agency name, address and phone number are included on eligibility notices that the family receives. There is no web-based process for reporting complaints about legal nonlicensed providers, but local agency contact information can be found on the department’s webpage (https://mn.gov/dhs/people-we-serve/children-and- families/economic-assistance/child-care/contact-us/contact-us-a-to-z.jsp) b. Describe how the parental complaint process ensures broad access to services for families that speak languages other than English: The department supports English, Somali, Spanish, and Hmong languages through various platforms such as ParentAware.org and our Provider Hub. If a parent calls the department to make a complaint and speaks a language other than English, language interpreters are available. Local agencies may have staff or other methods to respond to providers with questions in other languages. c. Describe how the parental complaint process ensures broad access to services for persons with disabilities: State law requires state agencies to adhere to federal standards for accessible documents and websites. We have developed our information, websites, and web content to ensure compatibility with common adaptive technologies. d. For complaints about providers, including CCDF providers and non-CCDF providers, does the Lead Agency have a process and timeline for screening, substantiating, and responding to complaints, including information about whether the process includes monitoring? [x] Yes. If yes, describe: For licensed family child care, the county agency reviews each complaint received to determine whether the reported concern is either a possible licensing violation or maltreatment. If maltreatment is alleged, the county child protection unit conducts an investigation. If licensing violations are alleged, the county licensing staff conduct an investigation. When there are allegations of maltreatment or possible licensing violations, the child protection unit investigator or county licensor determines whether an onsite investigation is warranted, and if so, if the investigation will be unannounced. If licensing violations are substantiated, the county issues a correction order. If maltreatment is substantiated, or if there are serious or chronic licensing violations, the county submits a recommendation to the department for a licensing action and the department determines whether an action will be issued. For licensed child care centers, each report received by the department is reviewed and assessed to determine if the concern being reported involves possible licensing violations, maltreatment, or if it falls under the jurisdiction of another agency. If maltreatment is alleged, the report is investigated by a department investigator. If licensing violations are alleged, the report is investigated by a department child care center licensor. If the concerns fall within the jurisdiction of another agency, such as the health department or fire marshal, the concerns are referred to the appropriate agency. When there are allegations of maltreatment or possible licensing violations, the department’s investigator or department’s licensor determines whether an onsite investigation is warranted, and if so, if the investigation will be unannounced. When maltreatment is substantiated, or if there are serious or chronic licensing violations, a licensing action will be issued. When licensing violations are substantiated through an investigation of alleged licensing violations, a correction order or licensing sanction action is issued. For certified license-exempt centers, each report received by the department is reviewed and assessed to determine if the concern being reported involves possible certification violations, maltreatment, or if it falls under the jurisdiction of another agency. If maltreatment is alleged, the report is investigated by a department investigator. If certification violations are alleged, the report is investigated by a department licensor. The department’s licensor determines whether an onsite investigation is warranted, and if so, if the investigation will be unannounced. If the concerns fall within the jurisdiction of another agency, such as the health department or fire marshal, the concerns are referred to the appropriate agency. When there are allegations of maltreatment or possible certification violations, the department investigator or department licensor determines whether an onsite investigation is warranted. If maltreatment is substantiated, or if there are serious or chronic certification violations, the department has the authority to de-certify the center. When certification violations are substantiated through an investigation of alleged certification violations, a correction order will be issued. For legal nonlicensed providers: The local agency must report complaints concerning the health or safety of children in care within 24 hours to the appropriate agency. The appropriate agency could include the child protection agency, the county public health agency, local law enforcement, or other agencies. Each local agency has different internal processes to screen, substantiate and respond to complaints, as procedures are determined at the local level. The local agency policies and procedures are included in the biennial County and Tribal Child Care Fund Plan. The local agency could choose to end the provider’s authorization to receive child care subsidy payments immediately if they determine the report indicates imminent risk to the children in care. Each local agency also sets standards for unsafe care. If the substantiated complaint meets the unsafe care standards set in the local agency’s child care fund plan, the provider’s authorization to receive child care subsidy payments can be terminated. Monitoring is not required by the local or lead agency in order to terminate authorization for payments though may be part of the process for other agencies that substantiate the complaint (i.e., child protection, public health or local law enforcement). For non-CCDF, non-licensed providers: Non-CCDF, non-licensed providers are not under the jurisdiction of the Lead Agency. The appropriate authority (for example, child safety and permanency, the police, health department, etc.) is responsible for screening, substantiating and responding to complaints for these providers. Each of these agencies has different internal processes and timelines to screen, substantiate and respond to complaints, as procedures are determined at the local level and monitoring may be included. [ ] No. e. For substantiated parental complaints, who maintains the record for CCDF and non-CCDF providers? For licensed family child care, substantiated complaints are maintained in the program’s licensing record, which is maintained by the county licensing agency. For licensed child care centers and certified license-exempt centers, substantiated complaints are maintained in the program’s licensing record and licensing database at the department. Each report is entered into the database when received and updated to reflect the findings of the investigation when the investigation is completed. In addition, each investigative report and documentation gathered during the course of the investigation to support the findings is maintained electronically in the program’s licensing record. When complaint information is received, internal records are searched by Intake staff to review historical information that may be pertinent to a new report. For licensed child care centers, licensed family child care providers, and certified license- exempt providers, the state must maintain a record of complaints for 7 years. Substantiated child maltreatment allegations must be maintained for 10 years. For legal nonlicensed providers: The local agency must maintain a record of substantiated complaints for at least 3 years. Substantiated child maltreatment allegations must be maintained for 10 years. County and Tribal agencies identify their process for maintaining a record of substantiated complaints in their County and Tribal Child Care Fund Plan. f. Describe how information about substantiated parental complaints is made available to the public; this information can include the consumer education website discussed in subsection 9.2: For licensed child care centers and certified license-exempt centers, substantiated parental complaints, like all substantiated complaints, are either included in a correction order as a licensing violation or in a licensing action. Licensing actions issued to providers are posted directly on the department’s Licensing Information Lookup webpage. When a complaint is substantiated (including parental complaints) and a correction order is issued, the results of the monitoring visit are made available in a plain language format on the department’s Licensing Information Lookup webpage, including the date of the visit, type of visit (i.e., investigation), and outcome of visit (i.e., licensing violations were found). The monitoring information also includes a description of the violation(s), a citation to the relevant requirement(s), and a description of how each violation was corrected (including whether the violation was corrected on-site or if the violation is under appeal). Members of the public can request from the department a copy of the correction orders issued to the provider. When substantiated parental complaints involve determined maltreatment, investigative memorandums are issued to providers, and are posted directly on the department’s Licensing Information Lookup webpage. All licensing records are accessible via a link on the individual provider listings on the consumer education website, ParentAware.org. For licensed family child care programs, substantiated parental complaints, like all substantiated complaints, are either included in a correction order as a licensing violation or in a licensing action. Licensing actions issued to providers are posted directly on the Department’s Licensing Information Lookup webpage. When a complaint is substantiated (including parental complaints) and a correction order is issued, the results of the monitoring visit are made available in a plain language format on the department’s Licensing Information Lookup webpage, including the date of the visit, type of visit (i.e., investigation), and outcome of visit (i.e., licensing violations were found). The monitoring information also includes a description of the violation(s), a citation to the relevant requirement(s), and a description of how each violation was corrected (including whether the violation was corrected on-site or if the violation is under appeal). Members of the public can request from the county licensing agency a copy of the correction orders issued to the provider. All licensing records are accessible via a link on the individual provider listings on the consumer education website, ParentAware.org. For legal nonlicensed providers, members of the public may request to see the record of substantiated complaints for legal nonlicensed providers registered by their local agency. Local agencies identify their process for releasing substantiated complaints in their County and Tribal Child Care Fund Plan.