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: Parents and the general public may submit complaints or report suspected licensing violations or illegal child operations to the Lead Agency by contacting the Tennessee Child Care Complaint Hotline by telephone at (800) 462-8261 or email at ChildCareHotline.DHS@tn.gov. Complaints may also be made in person at Lead Agency office locations. Complaints are typically received by the Lead Agency via dedicated sources, such as the Lead Agency’s Tennessee Child Care Complaint Hotline, Customer Service, Office of Inspector General, or other programs; and other state agencies, such as the Tennessee Department of Children’s Services (TDCS). The Lead Agency also accepts complaints from other sources. The Lead Agency receives complaints for CCDF and non-CCDF child care providers. Lead Agency staff receiving the complaint will collect as much information as is available. A complainant will be asked for their name and contact information should additional information be needed; however, a complainant may choose to remain anonymous. The following information is desired, at a minimum: a) name and address of the child care provider; b) specific circumstances and details of the complaint; c) date and time of the alleged incident; d) full names of all staff and children involved; and e) the location of the alleged incident. Lead Agency processes for screening, substantiating, and responding to complaints are defined by Tennessee Department of Human Services Policy 13.03 Receiving and Investigating Complaints at Child Care Agencies. All complaints received against child care providers alleging violation of licensure rules and/or statute must be investigated for conclusion within 30 business days and in accordance with the determined risk level. Joint investigations with external agencies, e.g., Tennessee Department of Children’s Services (TDCS), may require more than thirty business days to investigate. Additional detail may be found at 9.1.1.d. b. Describe how the parental complaint process ensures broad access to services for families that speak languages other than English: The Lead Agency offers assistance through translation or interpretation services. The Lead Agency website features an interactive virtual agent configured to accommodate Arabic, Somali, and Spanish speakers. Customers may contact the Lead Agency through its One DHS telephone number at (833) 772-8347 (TDHS) and/or the TTY number at 711. Following a recorded message, customers will reach an operator who can facilitate an interpreter. Customer may also receive assistance at any local Lead Agency office. The Lead Agency hours of operation are Monday￿Friday, from 8am to 4:30pm Central Time. Interpretation, translation, and disability services are free. c. Describe how the parental complaint process ensures broad access to services for persons with disabilities: The Lead Agency offers assistance through disability services. Customers may contact the Lead Agency through its One DHS telephone number at (833) 772-8347 (TDHS) and/or the TTY number at 711. Following a recorded message, customers will reach an operator who can facilitate additional support services. Customer may also receive assistance at any local Lead Agency office. The Lead Agency hours of operation are Monday￿Friday, from 8am to 4:30pm Central Time. Interpretation, translation, and disability services are free. 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: Lead Agency processes for screening, substantiating, and responding to complaints are defined by Tennessee Department of Human Services Policy 13.03 Receiving and Investigating Complaints at Child Care Agencies. All complaints received against child care providers alleging violation of licensure rules and/or statute must be investigated within 30 business days and in accordance with the determined risk level. Joint investigations with external agencies, e.g., Tennessee Department of Children’s Services (TDCS), may require more than thirty business days to investigate. Complaints received for child care providers licensed by the Lead Agency are automatically assigned through eLicensing, the Lead Agency’s case management system. Upon receipt of a complaint, assigned Lead Agency staff consult with supervisors to determine if additional information is needed to develop an appropriate investigative strategy, including timeframes for the investigation. An investigative work plan, when appropriate, may be completed to support the investigative strategy. All complaints alleging violation of Lead Agency licensure rules at Tenn. Comp. R. & Regs. 1240-04-01 require investigation. • Complaints alleging a fatality, imminent risk, actual harm or injury must be investigated the same day or within 24 hours and no later than the next business day. Complaints alleging abuse, neglect, or maltreatment as well as improper supervision, inappropriate discipline, or injury to a child are also referred to TDCS and may require the Lead Agency to implement a safety plan. • Complaints alleging unlicensed and/or illegal operations must be investigated within 24 hours. • Complaints alleging major rule violations or potential for future risk of harm must be investigated within five (5) business days. • Complaints alleging minor licensing violations must be investigated within 10 business days. • Complaint allegations determined not to be a violation of statute and/or rule are screened out. Complaints received for license-exempt child care providers regulated by the Tennessee Department of Education (TDOE), including those that may participate in the Child Care Payment Assistance/Certificate Program, require investigation be initiated by TDOE no later than the next business day and investigation be completed within 10 business days. TDOE requires that complaint allegations relating to infants and toddlers are investigated within 24 hours. Joint investigation between TDOE and TDCS may require more than thirty (30) business days to investigate complaints alleging abuse, neglect, maltreatment, or serious injury. Complaints alleging potential waste, fraud, or abuse by child care providers licensed by the Lead Agency and license-exempt providers participating in the Child Care Payment Assistance/Certificate Program are reviewed by the Lead Agency’s Child Care Program Reliability and Compliance team to determine if a referral to the Office of Inspector General for investigation is necessary. [ ] No. e. For substantiated parental complaints, who maintains the record for CCDF and non-CCDF providers? The Lead Agency maintains an internal record of all complaints received for CCDF and non-CCDF providers, including those regulated by the Tennessee Department of Education (TDOE), in its electronic eLicensing documentation system. 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: Monitoring visit results of child care providers regulated by the Tennessee Department of Education (TDOE) and Lead Agency staff are posted to the Lead Agency’s consumer website, including monitoring that may be associated with a complaint, including observations of non-compliance and corrective action. The Lead Agency maintains an internal record of all complaints in its electronic eLicensing documentation system. Parents and/or the general public may inquire about complaints by telephone or email directly from the Lead Agency or Tennessee Department of Education (TDOE) staff with monitoring responsibility for a child care provider. Lead Agency or TDOE staff may provide a verbal account of the electronic record about the number of complaints, the type(s) of complaint, or whether a complaint was validated. There is no fee associated with making an inquiry. A more extensive public records request may also be requested in writing from TDOE or the Lead Agency’s Public Information and Legislative Office (PILO). In this context, extensive generally refers to requests for entire case records, or requests for records for all programs in a specified county or region. In instances where the entire case record is requested, steps must be taken to ensure that any protected information is appropriately redacted.