Licensing Policy and Procedure Handbook Revision February 2010

This revision of the Licensing Policy and Procedures Handbook was published on February 1, 2010. Summaries of new or revised items are provided below.

Enforcement Team Conferences

The section below is revised at the request of field staff to clarify the policy regarding when and how to conduct enforcement team conferences. See:

Summary of Enforcement Team Conferences Revision (below)

Display of Revisions with Changes Highlighted (Word Document)

The following items are affected:

4421 Conducting Enforcement Team Conferences

4421.1 Time Frame for Conducting an Enforcement Team Conference

4421.11 Individual Branch Reviews

4421.12 Closed Branch Offices

4421.2 Requirements of an Enforcement Team Conference

4421.3 Conference Participants and Duties for the Enforcement Team Conference

4421.31 Responsibilities of the Monitoring Supervisor for the CPA's Main Office

4421.32 Responsibilities of the CPA Main Office Inspector

4421.33 Responsibilities of the Monitoring Supervisor and Inspector of a CPA Branch Office

4421.34 Responsibilities of an Investigation Supervisor

Summary of Enforcement Team Conferences Revision

Policy Change

Moved methods of participating (phone or face-to-face) to LPPH policy from LPPH procedure.

Procedure Changes

1.  Time frame for conducting the enforcement team conference (ETC):

     ETC must be held within the same calendar month as the issuance date of the full license.

2.  The CPA main monitoring supervisor is responsible for determining whether individual branch reviews (previously titled individual branch conferences) will be held. 

3.  Individual branch reviews, if any, must be held before the date of the enforcement team conference.

4.  Procedure added for handling closed branch offices.

5.  Responsibilities are defined: Split section that lists staff duties into the following categories and made additional procedural changes within these categories (see items 6-11, below):

  ·  CPA main monitoring supervisor

  ·  CPA main inspector

  ·  CPA branch office monitoring supervisor and inspector

  ·  Investigation supervisor

6.  CPA main monitoring supervisor responsibilities that have been changed or added:

  ·  Consults with CPA main inspector regarding the synopsis (Form 2907) instead of requiring a meeting.

  ·  Determines if individual branch office reviews should be held before the conference and informs the appropriate monitoring supervisors.

  ·  Submits Form 2956 to all conference participants and the director of RCCL (or director’s designee):

  ·  Submits Form 2956 within new time frame that requires submission of the form within 15 days of the enforcement team conference if no post-conference review is held. If a post-conference review is held, the time frame for submitting has not changed.

  ·  Reports outcomes of conference recommendations or follow-up activities according to three changes to the requirements of when and to whom the supervisor reports:

  ·  Reports as required only if the outcomes or follow-up activities involve adverse or corrective action.

  ·  Specifies that reporting must be made to the state office tracking specialist.

  ·  Adds time frame that the information must be reported within 90 days of the enforcement team conference.

7.  CPA main inspector responsibilities that have been changed or added:

  ·  Completes required Form 2907 before the enforcement team conference

  ·  Consults with CPA main monitoring supervisor when completing Form 2907, as needed.

  ·  Collects Form 2907 from each CPA branch inspector, if applicable.

8.  CPA branch monitoring supervisor and inspector responsibilities that have been added:

     The supervisor or inspector or both must participate in the enforcement team conference unless an individual branch review has been held and another staff member who attended the review is participating in the conference on their behalf.

9.  CPA branch monitoring supervisor responsibilities that have been changed or added:

  ·  Identify which staff members participating in the individual branch office review will participate in the enforcement team conference, if applicable.

  ·  Consult with CPA main inspector regarding the synopsis (Form 2907) instead of requiring a meeting.

  ·  Report the outcomes of conference recommendations or the follow-up activities to the main CPA monitoring supervisor.

10.  CPA branch inspector responsibilities that have been changed or added:

  ·  Completes required Form 2907 for the assigned branch before the enforcement team conference

  ·  Consults with his or her supervisor regarding the branch office synopsis (Form 2907), as needed;

  ·  Forwards a copy of Form 2907 to the main CPA inspector before the enforcement team conference as directed by the CPA main office monitoring supervisor;

  ·  Reports to his or her supervisor the outcomes of compliance recommendations or follow-up activities.

11.  Investigative supervisor responsibilities that have changed:

      Only required to attend the conference if there have been abuse or neglect investigations within the last year.