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<SlideText><![CDATA[State of Tennessee  Licensing Investigations Module 1 Click Next to Get Started ]]></SlideText>
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<SlideText><![CDATA[Cover Introduction Introduction ]]></SlideText>
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<SlideText><![CDATA[NEED AN INTRO VIDEO FROM LOIS – welcoming evaluators to the training; explaining that this on-line course is adapted from a 3-day classroom training. It is a mix of written instructional material, clips from the classroom training, on-line activities and activities the participant will do with their supervisors.  (I’ll write bullet points).   Lois’s introduction of the trainers: New or from Tape 1  ]]></SlideText>
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<SlideText><![CDATA[This training is divided into two modules.   Module 1 provides background on the legal basis of licensing and on the effective use of regulatory authority.  It includes the following Units:   Introduction/Learning Objectives Unit 1: Licensing and the Law Unit 2: The Program Evaluator’s Use of Authority Unit 3: The Tools of Regulation   This module should take you about ____ to complete.  In Module 2 you’ll move on to the collection and use of data and all facets of the investigative process. You’ll be given assignments to discuss with your supervisor and opportunities to practice some investigative skills. This module includes the following Units:   Introduction Unit 4: Evidence: Building a Defensible Case Unit 5: The Investigation Process Unit 6: Investigation Skills   It should take you about __________  to complete.  ]]></SlideText>
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<SlideText><![CDATA[Course Objectives At the conclusion of this training you will: Objective 1 Objective 2 Objective 3 ]]></SlideText>
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<SlideText><![CDATA[Cover Legal The Legal Basis  of Licensing ]]></SlideText>
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<SlideText><![CDATA[The Legal Authority of Licensing In addition to laws and rules, the Department also has the authority to create public policy pursuant to rules and statute.  For instance, as part of its regulatory role the Department creates:  Procedure manuals, which contain policies of how codes are applied to regulated facilities, as well as  Policies which guide behaviors of the entities it regulates. Policy is an important tool in regulation, but it’s important to remember that policy is only enforceable when it is in written form and when it has been furnished to the provider by the Department.  That’s why many state licensing applications ask providers to attest to the fact that they have been given a copy of rules and policies when they sign the application.    ]]></SlideText>
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<SlideText><![CDATA[The Legal Authority of Licensing Within the sweeping authority granted to the Department, our regulatory responsibilities affect all citizens and families receiving on-site care for children or adults. In this training we’ll be talking about the duties of program evaluators in investigation, analysis of evidence, issuing enforcement actions, and preparing for and participating in hearings. But before we move into that discussion, let’s begin with some background on the law of regulation.   Acting within that authority, Our goal is to be reasonable regulators, encouraging compliance with laws, regulations and rules in order to ensure the health and safety of the citizens of the State of Tennessee. ]]></SlideText>
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<SlideText><![CDATA[There are three common sources of law:    Case law, based on principles decided in prior cases.  This includes your administrative hearings and also any higher court decisions that you may have received;  Statutory law, which is created by the legislature, and  Constitutional law, or law prescribed under the constitution. Licensing Law ]]></SlideText>
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<SlideText><![CDATA[Licensing Law Within that framework there is both Public Law and Private Law, both of which have implications for licensing.   Public law is concerned with:  Organization of government (Constitutional law) Relations between governments and individuals (Criminal law, civil law, rights and freedoms) Responsibilities of public officers (Administrative law) Relations between governments of nations (International law)   Licensing regulations are administrative public law. This is the authority you work under.   Private law is concerned with regulation of relations between private citizens.  Tort law (injury law), contract law, property law, business association law, wills and trusts and family law are all private law topics.  ]]></SlideText>
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<SlideText><![CDATA[Licensing Law Consider this situation:   A child in a child care center bumps her head jumping off of a sleeping cot and is severely injured.  As a program evaluator, you issue citations for lack of supervision and move to close the facility using the authority given to you by public law.  The family files a suit against the agency, using your report as evidence, but acting under the system of private tort law, (claiming that the Provider violated a “duty of care” owed to the child and parents).   In this case the result of non-compliance with supervision requirements has both public and private law consequences.   In licensing, sometimes the public and private law combine. ]]></SlideText>
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<SlideText><![CDATA[Licensing Law A word about Due Process   An important principle to keep in mind as you exercise the authority delegated to your agency is the principle of “due process.”  Due process is guaranteed under the 14th Amendment to the U.S. Constitution: “All persons born or naturalized in the United States...are citizens of the United States….  No state shall make or enforce any law which shall abridge the privileges or immunities of the citizens of the United States; nor shall any state deprive any person of life, liberty or property, without due process of law… .” Ratified on July 28, 1868. ]]></SlideText>
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<Title><![CDATA[Due Process]]></Title>
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<Title><![CDATA[Due Process in Tennessee]]></Title>
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<SlideText><![CDATA[Licensing Law Due Process   One distinction to keep in mind: Although a license is treated as a property right which must be accorded due process, being granted a license remains a privilege.   As Sandie says:  “Just because they want a license doesn’t mean they get it, and just because they have a license doesn’t mean they get to keep it.”  A license is a privilege based on the provider’s agreement to operate within compliance requirements.   ]]></SlideText>
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<SlideText><![CDATA[Licensing Law Historical Development of Public Regulation of Human Care - Facilities and Programs  “Public policy manifests the common sense and common conscience of the citizens as a whole that extends throughout the state and is applied to matters of public health, safety and welfare.  … Policy fluctuates with the changing economic needs, social customs and moral aspirations of the people.  Public policy enters into and influences the enactment, execution and interpretation of legislation.”  Legal Encyclopedia Thompson/Gale Internet Definition 7/27/06 Today we take it for granted that legal provisions are in place to protect the rights of children and other vulnerable populations.  But in fact the regulation of human care programs such as child care, residential care of developmentally disabled adults and children, or residential programs for neglected children and for delinquent or wayward youth is relatively new in relation to the history of US democracy.  Early in the 19th century, blind, deaf or disabled children were usually placed in almshouses along with adults who suffered from various forms of disability. (Day, P. 224)  ]]></SlideText>
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<SlideText><![CDATA[Licensing Law Historical Development of Public Regulation of Human Care - Facilities and Programs  In fact, prior to 1875, U.S. or state authorities had no legal means to interfere in cases of battered children. This situation changed as a result of the case of "Mary Ellen”, a nine-year-old girl who was being severely and cruelly treated.  In 1874, neighbors of Mary Ellen reported to Etta Wheeler, a church worker, that the girl, who was "indentured to Francis and Mary Connolly”, was being whipped daily, stabbed with scissors & tied to a bed. Mary Ellen was rumored to be the daughter of Mary's ex‑husband. Etta Wheeler ]]></SlideText>
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<SlideText><![CDATA[Licensing Law Historical Development of Public Regulation of Human Care - Facilities and Programs  When Wheeler found that there was no lawful way to rescue the child from her brutal guardians, she went to Henry Bergh of the SPCA (Society for Prevention of Cruelty to Animals) for help. Under the premise that the child was a member of the animal kingdom, the SPCA obtained a write of habeas corpus to remove Mary Ellen from her home. With the intervention of the New York Society for the Prevention of Cruelty to Animals (SPCA), her case was brought before the New York Supreme Court. On April 9, 1874, she was carried into the New York Supreme Court, where her case was tried. The girl was described as ”pitifully thin, with a scissors wound on her cheek.” Mrs. Connolly was sentenced to a year in prison. Mary Ellen was given a new home.   ]]></SlideText>
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<SlideText><![CDATA[Licensing Law Historical Development of Public Regulation of Human Care - Facilities and Programs  The following April, the New York Society for the Prevention of Cruelty to Children (NTSPCC) was incorporated. Before-and-after photos of Mary Ellen “still hang at the New York SPCA.” (Wallace.)   So in the history of licensing, our regulation is not very old. In fact, licensing of child care facilities didn’t begin until 1940’s and 1950’s in most states.  But remember what we said about regulation and public policy: “Policy fluctuates with the changing economic needs, social customs and moral aspirations of the people.  Public policy enters into and influences the enactment, execution and interpretation of legislation.” Legal Encyclopedia Thompson/Gale Internet Definition 7/27/06 Licensing policy is not static: as we learn more about best practices in child development and safety, public policy (as reflected in child care licensing rules and policies), is likely to continue to evolve.  ]]></SlideText>
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<SlideText><![CDATA[Cover Conclusion Conclusion ]]></SlideText>
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