Inspection Process Project

About the Inspection Process Project

The Community Care Licensing Division (CCLD) is focusing its efforts on three priority areas: prevention, compliance and enforcement.

Prevention

Enhancing technical support to licensees from LPAs and the Technical Support Program; developing resource guides and trainings for licensees and potential licensees; and deploying online resources, including quarterly updates and provider information notices.

Compliance

Creating clear and consistent expectations for licensees to address issues in real-time to ensure the health and safety of the individuals that are served and provide technical assistance to licensees on statutory and regulatory requirements.

Enforcement

Providing LPAs with a compendium of inspection's tools to ensure inspections are thorough and consistent; bolstering the LPA Training Academies; and deploying ongoing staff training and data analytics to target resources in priority areas.

Improving the effectiveness and quality of the inspection process, which includes developing and deploying comprehensive, data-driven inspection tools is essential to these efforts. The Compliance and Regulatory Enforcement (CARE) Tools, developed as part of the Inspection Process Project, are for use in the Adult and Senior Care (ASC) Program, Children's Residential Program and Child Care Program. The CARE Tools will be used by Licensing Program Analysts (LPAs) when conducting inspections in licensed facilities.

Compliance and Regulatory Enforcement (CARE) Tools

NEW! CARE Tools Webpage

Inspection Project Vision

Inspection Project Tool Development 

Inspection Tool Development Methodology

Inspection Project Updates

Fall 2019 Quarterly Update

Adult and Senior Care

The domains listed below are not used for all adult facility types, as some domains do not apply to all facility types or have few requirements. The eleven difference domains found in the CARE Tools for Adult Care facility types are listed below:

  • Client/Resident Records-Incident Reports: client records, admission agreement, register of clients, needs and services plan, etc.
  • Client/Resident Rights-Information: personal rights, administration, animals and pets in facilities, etc.
  • Disaster Preparedness: disaster and mass casualty plan, etc.
  • Emergency Intervention: emergency intervention documentation and reporting requirements, emergency intervention staff training, medical examination, etc.
  • Food Service: food service, food service-related personnel requirements, etc.
  • Health-Related-Services: care for clients with contractures, care for clients with incontinence, care for clients who rely upon others to perform all activities of daily living, etc.
  • Incidental Medical Services: restricted health conditions, prohibited health conditions, inhalation-assistive devices, etc.
  • Infection Control: mitigation plan, hygiene protocols, personal protective equipment, etc.
  • Operational Requirements: plan of operation, fire clearance, safeguarding resident cash, property and valuables, etc.
  • Personnel Records-Training: personnel records, health-related services, personnel requirements, etc.
  • Physical Plant/Environmental Safety: posting of license, limitations on capacity and ambulatory status, water supply clearance, buildings and groups, etc.
  • Staffing: staff-client ratios, staffing-related personnel requirements, night supervision, etc.

The CARE Tools for Senior Care facilities contain requirements in the following licensing domains:

  • Operational Requirements: plan of operation, required insurances, fire clearance, etc.
  • Physical Plant/Environmental Safety: facility maintenance, living accommodations, storage space, etc.
  • Staffing: administrator presence, sufficient staffing, night supervision, etc.
  • Personnel Records/Staff Training: criminal record clearance/exemption, training, etc.
  • Resident Rights/Information: resident councils, family councils, resident rights, etc.
  • Resident Records/Incident Reports: admission agreements, register of residents, etc.
  • Food Service: meal requirements, food supply, menus, food preparation, etc.
  • Planned Activities: resident participation, community-centered activities, etc.
  • Incidental Medical and Dental: plan for incidental medical and dental care, medications, etc.
  • Infection Control: mitigation plan, hygiene protocols, personal protective equipment, etc.
  • Residents with Special Health Needs: hospice care, residents with dementia, postural supports, etc.
  • Disaster Preparedness: emergency plan/disaster & mass casualty plan, etc.

Visit the CARE Tools webpage for program specific tools.

Child Care

The CARE Tools for Child Care facilities contain requirements in the following licensing domains for Child Care Centers:

  • Care and Supervision: protecting children in care, monitoring food intake or special diets, assistance in diapering, toileting, dressing, grooming, other personal hygiene needs, taking medication, etc.
  • Children's Records: documentation on special diet or medical needs, individual development plans, etc.
  • Food service: food and beverages provided to children in care
  • Personal Rights: children's personal rights
  • Physical Plant: furniture, toys, flooring, cleanliness, etc.
  • Reporting Requirements: reporting incidents, etc.
  • Staff Records: staff experience, qualifications, training, general information applicable to staff, etc.
  • Staffing Ratio and Capacity: staffing ratios per number of children in care
  • Toddler Component: children 18 months to three years of age

The CARE Tools for for Child Care facilities contain requirements in the following licensing domains for Family Child Care Homes:

  • Care and Supervision: protecting children in care, monitoring food intake or special diets, assistance in diapering, toileting, dressing, grooming, other personal hygiene needs, taking medication, etc.
  • Facility Administration: documentation related to criminal record clearances and exemptions, personnel requirements, reporting requirements, etc.
  • Personal Rights: children's personal rights
  • Physical Plant: furniture, toys, flooring, cleanliness, etc.
  • Records: documentation related to immunization, emergency contact information, etc.
  • Staffing Ratio and Capacity: staffing ratios per number of children in care

Visit the CARE Tools webpage for program specific tools.

Children's Residential

The CARE Tools for Children’s Residential facilities tools contain requirements in the following licensing domains for Foster Family Agencies:

  • Physical Plant/ Environmental Safety: facility furniture, equipment, supplies, safety and cleanliness
  • Operational Requirements: facility accreditation, licensure, board of directors’ information, register of clients, emergency procedures
  • Staffing/Personnel Records: staff roster, trainings, clearances, personnel requirements, qualifications, and duties
  • Client Records: admission agreement, intake procedures, health records, bedroom sharing arrangements, needs and services plan
  • Core-Therapeutic Services: core services and mental health supports provided to children/youth
  • Clients with Special Health Care Needs: individualized health care plans, postural support and protective devices, records for specialized resource family and certified family homes
  • Resource Family Records: applicant requirements, clearances, training, home environment assessment, family evaluation, certificate of approval
  • Resource Family Portability Records: documentation of resource family portability application and approval
  • Certified Family Records: applicant requirements, clearances, training, written record of home study, certificate of approval

The CARE Tools for Children’s Residential facilities contain requirements in the following licensing domains for Transitional Housing Placement Program:

  • Physical Plant/ Environmental Safety: facility furniture, equipment, fire clearance, telephone access
  • Operational Requirements: safeguards for youth’s cash allowances and personal valuables, identification of participant living units, register of clients, participant expectations and consequences
  • Staffing/Personnel Records: staff roster, trainings, clearances, personnel requirements, qualifications, and duties
  • Client Records: admission agreement, intake procedures, health records, cash allowances, needs and services and transitional independent living plan

Visit the CARE Tools webpage for program specific tools.