Department of Early Education and Care - Appendix A

Tasks Performed During a Licensing Visit.

Overview

The tasks listed below are examples of items that may be reviewed when EEC conducts a licensing visit, from a report we generated from the Licensing Education Analytical Database. Depending on the nature and purpose of the visit, not all of these items will be reviewed during any single visit.

Visit Items	Description
Accurate medication log	Review medication log
Adequate staffing	Observation of daily activities
[Administrator]/staff in charge of shift	Interviews with staff, [surroundings] observation
Administrator or designee on shift	Observation of daily activities
Appropriate supervision	Observation of daily activities
Bathing and toilet spaces	Facility inspection
Behavior management	Interviews with residents, [surroundings] observation
Behavior support, de-escalation techniques/physical intervention techniques	Observation of daily activities
[Background record check] licensee and reviewer	Check on licensee and reviewer [background record check] application and approval.
Building and grounds	Facility inspection
Case management	Interviews with residents, interviews with clinical staff
Cleaning / physical plant [COVID-19] related	—Written procedure of cleaning, sanitizing, and disinfecting —Separate space for sick and symptomatic residents
Cleaning/maintenance/physical plant	—Evidence of cleaning, maintenance —Good repair, homelike —Emergency procedures near phone —Emergency evacuation drills completed —Kitchen/dining/food
Communication log	Review of communication log
CPR/first aid–certified staff	Training/certification review
Current building, fire, and health certificates	Document review
Daily routine and structure activities	Observation of daily activities
Discharge	Review of resident discharge record
Discretionary [background record check]	Review personnel files
Evacuation drills	Review fire drill log
Evacuation routes posted	Facility inspection
Grooming and hygiene	Observation of daily activities, brief conversations with residents
Handbook	Interviews with residents, review of handbook
Health and safety 1	—Universal precautions and infection control —Plan for meeting emergency needs
Health and safety 2	—Behavior management and support and role of childcare —Interactions with residents
Health and safety [COVID-19] related	—Staff have access to [COVID-19] related health and safety policies and supplies: masks, cleaning materials, physical distancing, visits, group sizes, screening, etc. —Visit policy updated
Incident reports	Resident record review
Indoors clean, safe, good repair, appropriately furnished	Facility inspection
Kitchen and dining	Facility inspection
Living units	Facility inspection
Med storage	Facility inspection
Medical and dental	Resident record review
Medication	—Policy/procedure —Accurate log
Medication	Interviews with residents, [resident] record review, [medical demonstration], interviews with staff, interviews with nursing
Medication administration	Observation of daily activities
Medications and hazards secured	Facility inspection
Notification and reporting	—Internal investigation submissions —Required notification occurring as needed
Notification and Reporting–[COVID‑19] related	—Weekly census reporting —[COVID-19] cases and exposures, close contacts
Nutrition	Facility inspection
Ongoing training	Staff interviews, review of personnel records
Organizational chart	Request current [organizational] chart
Orientation	Staff interviews, review of personnel records
Outdoor area clean and free of hazards	Facility inspection
Personnel records	Review of personnel records
Placement agreement	Resident record review
Placement register	Review of placement register (shelter only)
Positive interactions with residents	Observation of daily activities
[Preparation] for new resident	Interviews with residents, interviews with staff
Preplacement visit	Interviews with residents
Programming	Interviews with residents, milieu observation
Quarterly restraint reporting	System/file review
Recreational services	Interviews with staff, interviews with residents, milieu observation
Required inspections	Document review
Resident discharge summary	Review of resident discharge summary
Resident handbook	Brief conversations with residents
Resident records	Resident record review
Residents aware of rules	Resident interviews
Residents aware of rules and evacuations procedures	Observation of daily activities
Restraint	Interviews with resident, restraint [demonstration]
Restraint curriculum	System/file review
Restraint incident reports	Resident record review
Review of incident reports	Review of incident reports
Role of childcare staff	Interviews with resident, milieu observation
Separation	Observation of daily activities
Service planning	Interview with residents, resident record review, clinician interviews
Staff aware of individual resident plans	Observation of daily activities
Staff orientation	Training/certification review
Staff supervision	Brief conversations with staff
Staff training	Training/certification review
Staffing and supervision	—Orientation/training provided —Protection from abuse and neglect —Written description of staffing —CPR/[first aid] available at all times —Plan for on-call
Staffing schedule	Review four weeks of staffing schedules
Submitted documents	Review of submitted documents
Submitted policies	System/file review
Substantial program changes	Entrance/[administrator] interview
Supervision	Staff interviews
Transportation vehicles	Vehicle inspection
Visits, mail, [telephone]	Observation of daily activities, brief conversations with residents

Date published:	November 25, 2024