Arizona Administrative Code, Title 21 — Child Safety

Ariz. Admin. Code tit. 21, ch. 2 DEPARTMENT OF CHILD SAFETY - RESERVED

Ariz. Admin. Code tit. 21, ch. 7 [Reserved]

Chapter 1 DEPARTMENT OF CHILD SAFETY - ADMINISTRATION

Article 1 RELEASE OF DEPARTMENT INFORMATION

Ariz. Admin. Code § R21-1-101 Definitions

The definitions contained in A.R.S. §§ 8-101, 8-201, 8-531, 8-801, 8-807, 8-807.01, and the following definitions apply in this Article:

1. "Abandonment" has the same meaning as "abandoned" in A.R.S. § 8-201.

2. "Abuse" means the same as in A.R.S. § 8-201.

3. "CASA" or "Court Appointed Special Advocate" means a person appointed under A.R.S. § 8-522.

4. "Centralized Intake Hotline" or "the Hotline," means the entity described in A.R.S. § 8-455.

5. "Child" means a person less than 18 years of age.

6. "Completed request" means a fully completed DCS form or a written communication submitted to DCS requesting DCS Information and providing all the information necessary, as determined by the Department, to process the request. The requester shall have the request notarized or signed by a Department employee to confirm the identity of the requester.

"Copying fee" means the final amount a requester is required to pay to the Department before the Department releases the requested DCS Information.

8. "DCS Information" means the same as in A.R.S. § 8-807 and includes information contained in a hard copy or electronic case record, and both oral and written information.

9. "Department" or "DCS" means the Arizona Department of Child Safety.

"Estimated copying fee" means the projected total amount of a copying fee. A requester is required to pay the estimated copying fee to the Department before the Department redacts and copies the requested DCS Information.

11. "FCRB" means the Foster Care Review Board established under A.R.S. § 8-515.01.

12. "Incoming communication" means a telephonic, written, or in-person contact to the Department that is received by or ultimately directed to the Centralized Intake Hotline.

13. "Neglect" means the same as in A.R.S. § 8-201.

14. "Person that provides oversight" means those individuals, entities, or bodies authorized by A.R.S. § 8-807 to have access to DCS Information that is reasonably necessary for the person to provide oversight of the Department.

15. "Person who is the subject of DCS Information" means a parent, guardian, custodian, adult household member, child, or other person identified in a DCS report.

16. "Personally identifiable information" means information that specifically identifies a protected individual and includes:

a. Name;

b. Date of Birth;

c. Street address;

d. Telephone, fax number, or email address;

e. Photograph;

f. Fingerprints;

g. Physical description;

h. Place, address, and telephone number of employment;

i. Social security number;

j. Tribal affiliation and identification number;

k. Driver's license number;

l. Auto license number;

m. Any other identifier that is specific to an individual; and

n. Any other information that would permit another person to readily identify the subject of the DCS Information.

"Protected individual" means a living person who is the subject of a DCS investigation and others whose personal information is confidential under A.R.S. § 8-807 and includes:

a. An alleged victim;

b. An alleged victim's sibling;

c. A parent, guardian, custodian, or adult household member;

d. A foster parent;

e. A child living with the alleged victim;

f. The person who made the report of child abuse or neglect; and

g. Any person whose life or safety would be endangered by disclosure of DCS Information.

18. "Redacting" means striking, blacking out, or otherwise editing out personally identifiable information or other information that is not subject to release under A.R.S. § 8-807 contained in DCS hard copy or electronic case records on protected individuals so that no one can access the information.

19. "Report" means an incoming communication to the Centralized Intake Hotline containing an allegation that meets the criteria in A.R.S. § 8-455.

20. "Request" means a written communication seeking DCS Information.

"Requester" means an individual, entity, or body that makes a request for DCS Information.

22. "Research requester" means an individual or organization that seeks DCS Information for a research or evaluation project.

"Workday" means Monday through Friday excluding Arizona state holidays and mandatory furlough days.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-102 Scope and Application

A. This Article governs requests for and release of DCS Information made under A.R.S. § 8-807 and A.R.S. § 8-807.01.

B. DCS maintains information in accordance with federal laws under A.R.S. § 8-807.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-103 Procedures for Requesting Dcs Information

A. A person who wishes to obtain DCS Information shall comply with A.R.S. § 8-807 and the requirements of this Article.

B. The requester shall submit to the Department a completed request or use the form provided by the Department. The request shall include the following information:

1. Requester's name, address, and telephone number;

2. Name of the child victim who is the subject of the DCS report, with as much of the following information as the requester can provide on the child victim:

a. Other possible spellings, names, or aliases for the child;

b. Date of birth;

c. The name of the child's caregivers, parents, guardians, and custodians; and

d. The date of the DCS report or time-frame for the report.

3. Any other data that the requester believes will assist the Department in identifying the DCS Information requested, such as:

a. The name of the child's siblings;

b. The child's Social Security number;

c. The name of the DCS Child Safety Worker handling the case; and

d. The location of the alleged abuse or neglect.

4. Any additional information the Department requests to assist in processing the person's request for DCS Information.

C. Before releasing DCS Information, the Department shall determine whether the requester is entitled to receive the DCS Information under this Article, A.R.S. § 8-807 and A.R.S. § 8-807.01.

D. This Section does not apply to:

1. A person or entity authorized to receive DCS Information under A.R.S. § 8-807 to:

a. Meet its duties to provide for the safety, permanency, and well-being of a child;

b. Provide services to the child, parent, guardian, custodian, or family members to strengthen the family;

c. Enforce or prosecute violations of child abuse or neglect laws;

d. Help investigate and prosecute any violation involving domestic violence as defined in A.R.S. § 13-3601 or violent sexual assault as defined in A.R.S. § 13-1423; or

e. Provide DCS Information to a defendant after a criminal charge has been filed as required by an order of the criminal court.

2. This Section also does not apply to:

a. Juvenile, domestic relations, family or conciliation court;

b. The parties or their attorneys in a dependency, guardianship, or termination of parental rights proceeding;

c. The FCRB;

d. A CASA; or

e. A person that provides oversight to the Department.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-104 Procedures for Processing a Request for Dcs Information

A. Upon receipt of a request for DCS Information, the Department shall determine whether the request is complete. If the request is incomplete, the Department shall either:

1. Return the request to the requester with a statement explaining the additional information the Department needs to process the request; or

2. Contact the requester to obtain the missing information.

B. Upon receipt of a completed request, the Department shall stamp the receipt date on the request. The receipt date is the day the Department receives the completed request.

C. Within 30 workdays of the receipt date, the Department shall provide the requester with one of the following written responses:

1. The requested DCS Information;

2. A statement that the requested DCS Information does not exist;

3. A statement that the Department cannot provide the requested DCS Information within 30 workdays, the reason for the delay, and the anticipated time-frame for response; or

4. A statement that the Department cannot release the requested DCS Information, with the statutory citation and the reason for the denial.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-105 Procedures for Processing a Request for Dcs Information from a Person or Entity Providing Services in Official Capacity

A. The Department shall release DCS Information without charging the fee required by R21-1-110 when a person or entity entitled to receive DCS Information requires information to:

1. Meet its duties to provide for the safety, permanency, and well-being of a child;

2. Provide services to the child, parent, guardian, custodian, or family members to strengthen the family;

3. Enforce or prosecute a violation of child abuse or neglect laws;

4. To help investigate and prosecute any violation involving domestic violence as defined in A.R.S. § 13-3601, or violent sexual assaults as defined in A.R.S. § 13-1423;

5. Provide DCS Information to a defendant as required by an order of the criminal court; or

6. Provide DCS Information to:

a. A juvenile, domestic relations, family or conciliation court;

b. The parties or their attorneys in a dependency, guardianship, or termination of parental rights proceeding;

c. The FCRB;

d. A CASA; or

e. A person that provides oversight of DCS.

B. Before releasing DCS Information under this Section, the Department shall determine that the person requesting DCS Information is a person entitled to receive DCS Information under this Section and A.R.S. § 8-807.

C. Within 30 workdays of the receipt date, the Department shall provide the requester with one of the following written responses:

1. The requested DCS Information;

2. A statement that the requested DCS Information does not exist;

3. A statement that the Department cannot provide the requested DCS Information within 30 workdays, the reason for the delay, and the anticipated time-frame for response; or

4. A statement that the Department cannot release the requested DCS Information, with the statutory citation and the reason for the denial.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-106 Release of Summary Dcs Information to a Person Who Reported Suspected Child Abuse and Neglect

A. A person who reports suspected child abuse or neglect to DCS may contact DCS to obtain a summary of the outcome of the investigation, as authorized by A.R.S. § 8-807.

B. After receiving a completed request and before releasing DCS Information, the Department shall determine that the person requesting DCS Information was the person who made the report as follows:

1. Obtain the name and telephone number of the requester, and

Compare the requester's name with the name of the person listed as the reporting source on the DCS report.

C. After determining the identity of the requester, the Department shall call and advise the requester whether the Department has statutory authority to provide the requested DCS Information.

D. If the requester is entitled to receive the requested DCS Information under A.R.S. § 8-807, DCS shall verbally provide the person a summary of the outcome with the following DCS Information:

1. Disposition of the report;

2. Investigation findings, if available; and

3. A general description of the services offered or provided to the child and family.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-107 Release of Dcs Information for a Research or Evaluation Project

A. A person seeking DCS Information for a research or evaluation project shall send a written request to the Department. A request shall include the following information:

1. If the person works for a research organization:

a. The name of the organization, and

b. The organization's mission;

2. A description of the research or evaluation project and the data requested, which explains how the results of the project will improve the Department;

3. A description of the plan for maintaining the confidentiality of personally identifiable information, if requested, and disseminating the results of the project; and

4. The funding source for the research or evaluation project.

B. Within 30 workdays of receipt of a completed request from a research requester, the Department shall:

1. Advise the requester whether the Department will provide the requested DCS Information,

2. Inform the requester of the estimated copying fee required under R21-1-110, and

3. Inform the requester of the expected time-frame for providing the requested DCS Information.

C. The Department shall provide the requester with the requested DCS Information, upon completion and after receipt of the copying fee.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-108 Release of Dcs Information to a Legislator or a Committee of the Legislature, or Another Person That Provides Oversight

A. A person that provides oversight of DCS and seeks DCS Information shall send a request to the Department and include the following information:

1. The name of the person seeking the information;

The purpose of the request and its relationship to the person's official duties; and

3. The person's signature, or the signature of an authorized agent for an entity or other body, confirming that the person or authorized agent understands the DCS Information shall not be further disclosed unless authorized by A.R.S. § 8-807.

B. A legislator or committee of the legislature seeking DCS Information to perform official duties shall send a request to the presiding officer of the body of which the state legislator is a member and include the name of the person whose case record is to be reviewed and any other information that will assist the Department in locating the record. The legislator shall also sign the request, confirming that the legislator understands that the DCS Information shall not be further disclosed unless authorized by A.R.S. § 8-807. The presiding officer shall forward the request to the Department within five workdays of receiving the request.

C. The copying fee required under R21-1-110 does not apply to this Section.

D. Within 10 workdays of receiving the request, the Department shall provide the requester with one of the following written responses:

1. The requested DCS Information;

2. A statement that the requested DCS Information does not exist;

3. A statement that the Department cannot provide the requested DCS Information within 10 workdays, the reason for the delay and the anticipated time-frame for response; or

4. A statement that the Department cannot provide the requested DCS Information, with the statutory citation and the reason for denial.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-109 Release of Dcs Information in a Case of Child Abuse, Abandonment, or Neglect That Has Resulted in a Fatality or near Fatality

A. A person who requests DCS Information under A.R.S. § 8-807.01 concerning a case of child abuse, abandonment, or neglect that resulted in a fatality or near fatality, shall send a written request to the Department.

B. Upon receipt of the request, the Department shall stamp the receipt date on the request and begin gathering the requested DCS Information.

C. Prior to release of DCS Information in a case of child abuse or neglect resulting in a fatality or near fatality, the Department shall consult with the County Attorney who shall promptly inform the Department if it believes the release would cause a specific material harm under A.R.S. § 8-807.01. The Department shall not release any information that the County Attorney indicates would cause specific material harm.

D. The Department shall notify the requester in writing of the estimated copying fee. If the requester does not want to proceed, the requester shall notify the Department within 72 hours to cancel the request. If this notification is oral, the requester shall confirm the cancellation in writing.

E. The requester shall pay the estimated copying fee before the Department copies any DCS Information.

F. After receipt of the final copying fee, the Department shall provide DCS Information consistent with A.R.S. § 8-807 and A.R.S. § 8-807.01.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-110 Fees

A. If the Department determines a request for DCS Information will result in a copying fee, the Department shall notify the requester of the estimated fee before copying any DCS Information.

B. Unless otherwise exempted by this Chapter, the Department may charge a copying fee at the current rate set by the Department, as provided on the DCS website at https://dcs.az.gov.

C. The copying fee applies to both paper and electronic copies. If the DCS Information is requested in an electronic format, but does not already exist in an electronic format, DCS shall apply additional fees that reflect the actual cost of conversion to copy the DCS Information to an electronic format.

D. The Department shall notify the requester in writing of the final copying fee.

E. The Department shall reimburse the requester if final copying costs are less than the estimated copying fee.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Article 2 DCS COMPREHENSIVE HEALTH PLAN

Ariz. Admin. Code § R21-1-201 Definitions

The definitions in A.R.S. § 8-501 and the following definitions apply to this Article.

1. "AHCCCS" means the Arizona Health Care Cost Containment System, which is the State's program for medical assistance available under Title XIX of the Social Security Act and state public insurance statutes, A.R.S. Title 36, Chapter 29.

2. "AHCCCS fee schedule" means the allowable amounts established by AHCCCS for medical, dental, and behavioral health services under A.R.S. § 36-2904 .

3. "Behavioral health recipient" means a Title XIX or Title XXI CMDP Member who is eligible for, and is receiving the behavioral health services through Medicaid behavioral health contractors.

4.2. "Child Safety Worker" means the same as A.R.S. § 8-801.

5. "CMDP" or "Comprehensive Medical and Dental Program" means the program authorized by A.R.S. § 8-512 and these rules.

6. "CMDP Member" means the same as in A.R.S. § 8-512, a child who is:

1. In a voluntary placement pursuant to section 8-806 .

2. In the custody of the department in an out-of-home placement.

3. In the custody of a probation department and placed in foster care. The department shall not provide this care if the cost exceeds funds currently appropriated and available for that purpose.

7.3. "Covered services" means those benefits as described in A.R.S. Title 36, Chapter 29, Article 1 and contained in the approved Medicaid State Plan.

4. "DCS CHP Member" means the same as in A.R.S. § 8-512, child who is:

a. In a voluntary placement under A.R.S. § 8-806.

b. In the custody of the Department in out-of-home placement.

c. In the custody of a probation department and placed in foster care. The Department shall not provide this care if the cost exceeds funds currently appropriated and available for that purpose.

5. "DCS Comprehensive Health Plan" or "DCS CHP" means the program authorized by A.R.S. § 8-512 and these rules.

8. 6. "Department" or "DCS" means the Department of Child Safety.

9. "Director" means the Director of the Department of Child Safety.

10. "Foster parent" means the same as A.R.S. § 8-501 .

11. 7. "Medically necessary" means a covered service provided by a physician, or other licensed practitioner in the healing arts within the scope of practice under state law to prevent disease, disability, or other adverse health conditions or their progression, or to prolong life.

12. "Non-Title XIX Behavioral Health recipient," "non-Title XIX" or "State Only Member" means a CMDP Member who is not eligible for Title XIX or Title XXI, and is receiving all covered services including behavioral health services through CMDP.

13. 8. "Out-of-home care provider" means the person or entity with whom a child resides in out-of-home placement.

14. "Out-of-home placement" means the same as A.R.S. § 8-501 .

9. "Title XIX Member" means a DCS CHP Member who is eligible for benefits under Title XIX or Title XXI of the Social Security Act and is receiving all covered services including behavioral health services through DCS CHP.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-202 Eligible Member

A. The Department shall provide DCS CHP to a DCS CHP Member under A.R.S. § 8-512.

B. The Department shall not provide DCS CHP benefits to:

1. An individual who no longer meets the eligibility in A.R.S. § 8-512;

2. A child under the Bureau of Indian Affairs foster care program; or

3. A child placed in Arizona by another state whether voluntarily or under jurisdiction of the court of another state.

C. DCS CHP shall notify AHCCCS if a Title XIX and Title XXI eligible DCS CHP Member no longer meets the criteria for coverage in A.R.S. § 8-512 and this Article.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-203 Exceptions, Limitations, and Exclusions

1. The cost of any medical or dental service that:

a. Is not medically necessary for prevention, diagnosis, or treatment of a condition, illness, or injury; or

b. Any health or medical service that is not eligible for reimbursement by AHCCCS in 9 A.A.C. 22, Article 2, and includes cosmetic procedures, experimental treatment, and personal care items.

2. The portion of the cost of any covered service that exceeds the charges set by the current and approved AHCCCS fee schedule. A medical, dental, or other health provider shall not submit a claim for charges that exceed the AHCCCS fee schedule to any party, including:

a. The Department, its representatives, or any fiscal intermediary the Department may contract with to administer this program;

b. The CMDP Member;

c. The CMDP Member's;

i. Guardian,

ii. Custodian,

iii. Estate,

iv. Foster parent, or

v. Birth parent.

A. DCS CHP shall not pay for:

1. Non-medically necessary health services.

2. Any health service that is not eligible for reimbursement by AHCCCS in 9 A.A.C. Chapter 22, Article 2, including cosmetic procedures, experimental treatment, and personal care items.

3. The cost of care and services payable through any federal, state, county, or municipal program to which a DCS CHP Member may be entitled, except for the cost of care and services in excess of any such program.

4. The cost of care and services payable through an insurance carrier that provides coverage for the DCS CHP Member under A.R.S. § 8-512, except for the cost of care and services in excess of any such insurance benefits.

5. Any admission, service, item, or otherwise uncovered service identified in A.R.S. Title 36, Chapter 29, Article 1, or the approved Medicaid State Plan.

6. The cost of care and services provided to a behavioral health recipient received through Medicaid behavioral health contractors.

B. A health provider shall not submit a bill to or seek payment from the following for any covered services:

1. DCS CHP Member; or

2. DCS CHP Member's:

a. Guardian,

b. Custodian,

c. Estate,

d. Foster parent, or

e. Birth parent.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-204 Prior Authorization

A. Healthcare providers may be required to obtain authorization from DCS CHP or delegated entity before services are rendered in order for those services to be paid for under this Article and A.R.S. § 8-512.

B. DCS CHP shall not pay for any health service that requires prior authorization and was:

1. Not submitted for prior authorization; or

2. Submitted but prior authorization is not granted.

C. Healthcare providers shall obtain prior authorization from DCS CHP for certain services according to the provisions of A.R.S. Title 36, Chapter 29, Article 1, and 9 A.A.C. Chapter 22, Article 1.

D. In instances where a prior authorization is required for a service but not obtained by the Healthcare provider, the Healthcare provider shall not submit a claim or invoice for a service to any party, including:

1. The Department;

2. The Department's representatives;

3. Any delegated entity the Department may contract with to administer this program;

4. The DCS CHP Member; or

5. The DCS CHP Member's;

a. Guardian,

b. Custodian,

c. Estate,

d. Foster Parent, or

e. Birth parent.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-205 Coordination of Benefits

A. The Department shall determine the possible existence of any primary insurance coverage for a DCS CHP Member.

B. The Department shall request that the court include a statement in the court order requiring a parent, guardian, or custodian of a DCS CHP Member to cooperate with the Department in coordinating benefits with any existing health insurance carrier, and to maintain any health insurance coverage presently existing which covers a DCS CHP Member.

C. The Department shall advise the court when a parent or guardian of a DCS CHP Member refuses to cooperate with DCS CHP in providing or signing any document required to coordinate insurance benefits, or if the parent, guardian, or custodian fails to maintain any existing insurance coverage for the DCS CHP Member.

D. In a voluntary placement, the parent or guardian shall cooperate with the Department by providing and signing appropriate documents required to coordinate health insurance benefits.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-206 Identification Card

A. The Department shall issue a DCS CHP identification card for each DCS CHP Member.

B. The Department shall, upon placement, inform the out-of-home care provider in writing that:

1. The identification card is not transferable; and

2. The out-of-home care provider shall only use the card for covered services for the DCS CHP Member.

3. The out-of-home care provider shall only use the card while the CMDP Member remains eligible for CMDP coverage.

C. The Department shall give the out-of-home care provider oral and written instructions regarding the use of the identification card when procuring medical care, dental care, or other covered services for the CMDP Member.

D. The Department shall provide the name and contact information of the CMDP Member's behavioral health services provider.

E. C. An out-of-home care provider shall return the DCS CHP Member's identification card when the DCS CHP Member is:

1. No longer in out-of-home placement;

2. Placed with another out-of-home care provider; or

Runs away from the out-of-home placement.

F. D. The out-of-home care provider who has possession of the card shall:

1. Immediately return the identification card to the Department under subsections (C)(1) and (2); or

2. Have seven days from the date the DCS CHP Member runs away from the out-of-home care provider to return the card to the Department under subsection (C)(3).

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-207 Payment and Review of Claims

A. Healthcare provider shall submit a claim for payment in the manner prescribed by the Department

B. DCS CHP shall not pay a claim for a service if the DCS CHP Member does not keep an appointment, or if a service was not provided.

C. A healthcare provider shall provide a covered service to the DCS CHP Member before submitting a claim for the covered service to DCS CHP.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-208 Fraud, Waste, and Abuse of the Program

A. The Department shall establish a procedure to investigate any alleged fraud, waste, and abuse of DCS CHP. If the Department substantiates abuse, the Department shall take administrative action and may take legal action.

B. The Department shall monitor the activity of DCS CHP to ensure compliance with the program requirements.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-209 Administration of the Program

A. The Department may contract with any insurer, insurance plan, hospital service plan, or any health service plan authorized to do business in this state, with any fiscal intermediary, or with any combination of such plans or methods as permitted in A.R.S. Title 36, Chapter 29, Article 1.

B. Any contract with any of the entities listed in subsection (A), shall:

1. Be specific as to the responsibilities of each party to the contract;

Provide for reasonable payment to the contractor for its administrative and other services as required by the contract; and

3. Be consistent with the rules in this Article and authorizing legislation. The parties may make changes to the contract by mutual consent signed by an authorized representative of the Department and the contractor to be consistent with current rules and legislation.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-210 Program Practices

A. All federal and state laws, regulations, and rules regarding the disclosure and use of confidential health and personal information concerning a DCS CHP Member shall apply under this Article.

B. All federal and state non-discrimination laws, regulations, and rules shall apply under this Article.

C. The DCS CHP shall take into account the DCS CHP Member's and out-of-home care provider's literacy and culture and make interpreters and translation for health services available to a DCS CHP Member at no cost.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-211 Consent for Treatment

A. For a DCS CHP Member in a voluntary placement under A.R.S. § 8-806 only, the Department shall obtain consent of the parent or guardian for medical treatment involving surgery, general anesthesia, or blood transfusion of the DCS CHP Member, except for an emergency situation described in subsection (B).

B. In case of an emergency, in which the DCS CHP Member in voluntary placement is in need of immediate hospitalization, medical attention, or surgery, and when the parents of a DCS CHP Member in voluntary placement cannot readily be located, the consent shall be provided as described in A.R.S. § 8-514.05.

C. For a DCS CHP Member under R21-1-201(5)(b) who is in the custody of the Department in an out-of-home placement, the Department shall, if possible, obtain the consent of the parent or guardian of the DCS CHP Member for surgery, general anesthesia, or blood transfusion.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-212 Payment

A. DCS CHP may pay a Healthcare provider in accordance with the established AHCCCS fee schedule unless otherwise permitted by A.R.S. § 8-512, or in the contract between the Department or subcontractor and a provider.

B. A current AHCCCS fee schedule is available for a medical, dental, other health provider, and CMDP Member on the AHCCCS website, http://www.azahcccs.gov/. The Department shall also make the fee schedule available upon request.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Ariz. Admin. Code § R21-1-213 Provider Claim Disputes and Appeals

A. Claim disputes are governed by the Medicaid rules in 9 A.A.C. Chapter 34.

B. Appeals by Title XIX and Title XXI eligible CMDP Members are governed by the Medicaid rules for State Hearings in 9 A.A.C. Chapter 34.

C. Appeals by State-Only Members are governed by Article 3 of this Chapter.

A. Provider claim disputes and Member Appeals for a DCS CHP Member who is Medicaid eligible follow the rules prescribed in 9 A.A.C. 34.

B. Provider claim disputes and Member Appeals for a DCS CHP Member who is not Medicaid eligible follow:

1. A.A.C. R9-34-203 . Computation of Time,

2. A.A.C. R9-34-208 . Who May File,

3. A.A.C. R9-34-209 . Enrollee Time-frame for Filing an Appeal or Grievance with the Contractor,

4. A.A.C. R9-34-210 . Contractor General Requirements for Grievance or Appeal Process,

5. A.A.C. R9-34-213 . Contractor Time-frame for Standard Resolution of an Appeal,

6. A.A.C. R9-34-214 . Contractor Process for an Expedited Resolution of an Appeal,

7. A.A.C. R9-34-215 . Contractor Time-frame for an Expedited Appeal Resolution,

8. A.A.C. R9-34-225 . Reversed Appeal Resolutions,

A.A.C. R9-34-403 . Computation of Time,

10. A.A.C. R9-34-404 . Content of Claim Dispute, and

11. A.A.C. R9-34-405 . Filing a Claim Dispute for a Claim Involving a Member Enrolled with a Contractor.

C. Provider claim disputes and Member Appeals hearing procedures for a DCS CHP Member who is not Medicaid eligible follow the rules prescribed in 21 A.A.C. Chapter 1, Article 3.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015. Amended by final rulemaking at 27 A.A.R. 2518, effective 10/5/2021.

Article 3 APPEALS AND HEARING PROCEDURES

Ariz. Admin. Code § R21-1-301 Definitions

The following definitions apply in this Article.

1. "Administration" means the Department's organizational unit responsible for licensing or providing benefits or services that are the subject of an adverse action. The administrations covered by this Article are: OLR, CMDP, ILP, TILP, adoption subsidy and guardianship subsidy.

2. "Administrative appeal" means a written request to the Department to contest an adverse action at an administrative hearing.

"Administrative Law Judge" or "ALJ" means the same as A.R.S. § 41-1092(1).

4. "Adoption agency" means the same as "agency" in A.R.S. § 8-101(2).

5. "Adoption subsidy" means the same as A.R.S. § 8-141(A)(1) and includes the non-recurring adoption expense program under A.R.S. § 8-161 et seq.

6. "Adverse action" means the denial, suspension, or revocation of a foster home license, Child Welfare Agency license, and adoption agency license, or a denial or reduction of guardianship subsidy, adoption subsidy, or CMDP, ILP, or TILP services.

7. "Appealable agency action" means the same as A.R.S. § 41-1092(3).

8. "Appellant" means the party who requests a hearing with the Department to challenge an adverse action under R21-1-303.

9. "Applicant" means a person who has applied for a license issued by the Department or for benefits or services provided by the Department. Benefits and services under this Article include CMDP, ILP, TILP, guardianship subsidy, and adoption subsidy.

10. "Child Welfare Agency" means a person licensed by the Department to engage in the activities defined in A.R.S. § 8-501(A)(1).

11. "CMDP" means the Comprehensive Medical and Dental Program described in A.R.S. § 8-512.

12. "Client" means a person who is licensed or receiving benefits or services from one or more of the Administrations covered by this Article.

"Corrective action plan" means a written proposal specified by OLR for a foster parent, or a Child Welfare Agency to remedy the violation of a licensing requirement within a specified time-frame.

14. "Department" or "DCS" means the Arizona Department of Child Safety.

"Foster Home" means the same as A.R.S. § 8-501(A)(5) and includes a "Group Foster Home" defined in A.R.S. § 8-501(A)(7).

16. "Foster parent" means the same as A.R.S. § 8-501, and includes anyone licensed for any type of foster home including a group home.

17. "Guardianship subsidy" means the program described in A.R.S. § 8-814.

18. "Independent Living Program" or "ILP" means an array of assistance and support services that DCS provides, contracts, refers, or otherwise arranges to help a person eligible under A.R.S. § 8-521, to transition to adulthood by building the skills and resources necessary to ensure personal safety, well-being, and permanency into adulthood.

19. "Licensee" means a person currently licensed as a foster parent, Child Welfare Agency, or adoption agency.

20. "Noncompliance Status" means the Department has received and substantiated a complaint or a Department representative has observed a violation of an adoption agency's license that does not endanger the health, safety, or well-being of a client.

21. "Office of Administrative Hearings" or "OAH" means the State's independent, quasi-judicial, administrative hearing body defined in A.R.S. § 41-1092.01.

22. "Office of Licensing and Regulation" or "OLR" means the administration in the Department responsible for licensing a foster home, Child Welfare Agency and adoption agency.

23. "Person" means an individual, partnership, joint venture, company, corporation, firm, association, society, or institution.

24. "Transitional Independent Living Program" or "TILP" means a program of services that provides assistance and support in counseling, education, vocation and employment, and the attainment or maintenance of housing to a person who qualifies under A.R.S. § 8-521.01.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-302 Hearing Proceedings

Unless otherwise expressly addressed, all pre-hearing and hearing proceedings in A.R.S. §§ 41-1092.01 through A.R.S. 41-1092.09 and 2 A.A.C. 19 shall apply.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-303 Entitlement to a Hearing; Appealable and Not Appealable Actions

A. An applicant, licensee, or client, who disputes an adverse action may appeal and request an administrative hearing from the Department to challenge the adverse action as provided in this Article.

B. The following adverse actions are appealable:

An adverse licensing action on:

a. A foster home license (A.R.S. § 8-506);

b. A Child Welfare Agency license (A.R.S. § 8-506.01); and

c. An adoption agency license (A.R.S. § 8-126).

2. Any decision denying, reducing, or terminating:

a. An adoption subsidy (A.R.S. § 8-145);

b. Nonrecurring expenses (A.R.S. § 8-166);

c. A permanent guardianship subsidy (A.R.S. § 8-814);

d. Independent Living Program services (A.R.S. § 8-521);

e. Transitional Independent Living Program services (A.R.S. § 8-521.01); and

f. CMDP services or benefits for non-Title XIX and Title XXI eligible individuals. Title XIX and Title XXI eligible individuals must follow A.R.S. § 36-2903.01 and 9 A.A.C. 34, and may request an Administrative Hearing through the Arizona Health Care Cost Containment System.

C. The following actions are not appealable:

1. An adverse action resulting from a uniform change in federal or state law, unless the Department has misapplied the law to the person seeking the hearing;

Failure to obtain a Level One fingerprint clearance card;

3. Imposition of noncompliance status for an adoption agency;

4. Imposition of a corrective action plan for a foster home or a Child Welfare Agency license;

5. Removal of a child from a placement;

6. Failure to enter into a contract with a particular licensee or to place a child with a particular licensee; and

Imposition of a provisional license for a foster home under A.R.S. § 8-509(D).

D. A finding of child abuse or neglect in a DCS investigation is not appealable under this Article. A person may appeal a proposed finding of child abuse or neglect made in a DCS investigation of a person or a licensee as prescribed in A.R.S. § 8-811 and A.A.C. Title 21, Chapter 1, Article 5.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-304 Computation of Time

A. In computing any time period:

1. The term "day" means a calendar day;

2. The term "work day" means Monday through Friday, excluding Arizona state holidays;

3. The date of the act, event, notice, or default from which a designated time period begins to run is not counted as part of the time period; and

4. The last day of the designated time period is counted, unless it is a Saturday, Sunday, or Arizona state holiday.

B. The mailing date is the date of the document, unless the facts show otherwise.

C. A document mailed by the Department is deemed received by the addressee, five days after the mailing date to the addressee's last known address, unless the facts show otherwise.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-305 Request for Hearing: Form; Time Limits; Presumptions

A. An appellant who wishes to appeal an adverse action shall file a written request within the following time frames for a hearing with the Administration:

1. For a Child Welfare Agency, 20 days after receipt of the adverse action notice under A.R.S. § 8-506.01;

2. For a foster home license revocation, 25 days after the mailing date of the adverse action notice under A.R.S. § 8-506;

3. For all other appeals covered by this Article, 20 days after receipt of the adverse action notice.

B. The Administration shall provide a form for requesting an administrative hearing and, upon request, shall assist an appellant in completing the form.

C. An appellant shall include the following information in the request for an administrative hearing:

1. Name, address, and telephone number, and if applicable, e-mail address of the person subject to the adverse action;

2. Identification of the Administration initiating the adverse action;

3. A description of the adverse action that is the subject of the appeal;

The date of the notice or letter of adverse action; and

5. A statement explaining why the adverse action is unauthorized, unlawful, or an abuse of discretion.

D. The Department shall not deny an appeal solely because the request does not include all the information listed in subsection (C), so long as the request contains sufficient information for the Department to determine the identity of the appellant.

E. The Department shall forward the request for a hearing to OAH along with the information specified in A.A.C. R2-19-103 .

F. A request for hearing is deemed filed with the Department:

1. On the mailing date, as shown by the postmark, if sent first-class mail, postage prepaid, through the United States Postal Service to the Department; or

2. On the date actually received by the Department, if not mailed as provided in subsection (F)(1).

G. An appellant whose appeal is denied as untimely may request a review by the Department Director or designee. The request for review shall contain the following information:

1. Whether the appellant received the adverse action notice, and if so, when the appellant received the notice;

2. If the appellant did not receive the adverse action notice;

a. Whether the appellant moved recently, and if so, whether the appellant notified the Department of the new address;

b. The type of mail receptacle the appellant uses;

c. The person that collects or receives the appellant's mail besides the appellant such as the appellant's;

i. Spouse,

ii. Child, or

iii. Roommate.

d. Whether the appellant has or is currently experiencing problems in receiving mail such as:

i. Not receiving the appellant's own mail; or

ii. Receiving others' mail;

3. If the appellant did not receive the adverse action notice, how the appellant found out about the adverse action; and

4. The date the appellant made the appeal to the Department and the method sent such as:

a. Hand delivery,

b. U.S. Mail,

c. Fax, or

d. E-mail.

H. The Department Director or designee may determine that a document was timely filed if the appellant demonstrates that the delay in submission was due to any of the following reasons:

1. Department error or misinformation;

2. Delay or other action by the United States Postal Service; or

3. Delay caused by the appellant changing mailing addresses at a time when the appellant had no duty to notify the Administration of the change.

I. When the Administration receives a request for a hearing that was not filed on time, the Department Director or desig-nee shall determine if the delay meets the criteria under subsection (H), and if so, shall schedule a hearing with OAH.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-306 Administration: Transmittal of Appeal

An Administration that receives a request for an appeal shall send the OAH a copy of the request and a copy of the adverse action notice within two work days of receipt of the request. The Administration shall include all information as specified in A.A.C. R2-19-103.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-307 Stay of Adverse Action Pending Appeal

A. If an applicant, licensee, or client does not appeal, the Department shall carry out the adverse action after the time for filing an appeal has passed, or sooner if the appellant waives the delay of action in writing.

B. If an applicant, licensee, or client does not appeal, the Department shall not carry out the adverse action if the appellant has an additional appealable adverse action notice that may result in the same adverse action proposed in the current notice, and the time for filing an appeal to the additional adverse action notice has not passed.

C. If an appellant timely appeals an appealable adverse action as provided in R21-1-305, the Department shall not carry out the adverse action until an administrative hearing has been held and the Director certifies a final administrative decision.

D. If an appellant timely appeals an adverse action under R21-1-305, the Department may immediately carry out the adverse action under the following circumstances:

1. The appellant expressively waives the delay of action;

2. The appeal challenges an adverse action that is not appealable under R21-1-303(C) ;

3. The appellant withdraws the request for hearing;

4. The appellant fails to appear for the hearing; or

5. The Department summarily suspends a license and makes all of the required findings under A.R.S. § 41-1064.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-308 Hearings: Location; Notice; Time

A. The hearing shall be held by OAH.

B. OAH may schedule a telephonic hearing or permit a witness to appear telephonically as granted in A.A.C. R2-19-114.

C. After receiving a request for an appeal, the Department shall hold the hearing:

1. For a foster parent, 10 days after the Department receives the request for an appeal under A.R.S. § 8-506;

2. For a Child Welfare Agency, 10 days after the Department receives the request for an appeal under A.R.S. § 506.01; and

3. The time listed in A.R.S. § 41-1092.05(A)(2) for all other appeals.

D. The Department shall mail a notice of hearing to all interested parties at least 20 days before the scheduled hearing date, except where the hearing is held within the 10-day period specified in subsection (C)(1) and (C)(2). For hearings held within the 10-day period, the Department shall notify the parties by telephone and send a written notice at the earliest date practicable.

E. The notice of the hearing shall be in writing and shall include the information required in A.R.S § 41-1092.05(D) and A.A.C. R2-19-104.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-309 Rescheduling a Hearing

A. An appellant may request to postpone or reschedule a hearing under R2-19-110.

B. Except in emergency circumstances, the appellant shall file a request for postponement at least five work days before the scheduled hearing date. OAH may deny an untimely request by considering the factors in A.A.C. R2-19-110.

C. When OAH reschedules a hearing under this Section or under A.A.C. R2-19-110, OAH notifies all interested parties in writing of the rescheduled hearing. The notice requirements in R21-1-305(A) do not apply to postponed or rescheduled hearings.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-310 Subpoenas

A. A party who wishes to have a witness testify at a hearing, or to offer a particular document or item in evidence, shall first attempt to obtain the witness or evidence by voluntary means.

B. A party shall request a subpoena under A.A.C. R2-19-106 and A.A.C. R2-19-113.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-311 Parties' Rights

A party to a hearing has the following rights:

1. The right to request a postponement of the hearing, as provided in A.A.C. R2-19-106(A)(2) and A.A.C. R2-19-110.

2. The right to a copy, before or during the hearing, of documents in the Department's file regarding the appellant, and documents the Department may use at the hearing, except documents:

a. Shielded by the attorney-client privilege;

b. Shielded by work-product privilege; or

c. Otherwise prohibited by federal or state confidentiality laws.

3. The right to file a motion with OAH to disqualify an ALJ from conducting a hearing as provided in A.R.S. § 41-1092.07(A);

4. The right to request subpoenas for witnesses and evidence as provided in A.A.C. R2-19-113 ;

5. The right to represent themselves or be represented by a licensed attorney, subject to any limitations prescribed in the Rules of the Supreme Court of Arizona, Rule 31;

6. The right to present evidence and to cross-examine witnesses; and

7. The right to further appeal, if dissatisfied with a decision.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-312 Withdrawal of an Appeal

A. An appellant may withdraw an appeal at any time prior to the scheduled hearing by signing a written statement expressing the intent to withdraw. The Department shall make a form available for an appellant to withdraw an appeal. An appellant may also orally withdraw an appeal on the open record under A.A.C. R2-19-111.

B. The Department shall sign the form and file the form at OAH.

C. OAH shall vacate the hearing and return the matter to the Department under A.A.C. R2-19-111.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-313 Effect of the Decision

A. If the Department Director reviews the ALJ's recommended decision the Director may agree or disagree with the recommended decision as permitted in A.R.S. § 41-1092.08(F).

B. The Department Director's final administrative decision becomes effective on the day OAH certifies the Department Director's final administrative decision.

C. If the Department Director chooses not to review the recommended decision, then the ALJ's recommended decision becomes the final administrative decision within the timeframe under A.R.S. § 41-1092.08.

D. If the final administrative decision affirms the adverse action, the adverse action remains in effect until the appellant appeals and obtains a higher judicial decision reversing or vacating the final administrative decision.

E. If a final administrative decision reverses the Department's adverse action, the Department shall not take the adverse action.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2554, effective 11/30/2015.

Ariz. Admin. Code § R21-1-314 Judicial Review

Any party adversely affected by a final administrative decision may seek judicial review as prescribed in A.R.S. § 1092.08 and A.A.C. R2-19-122.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Article 4 FINGERPRINTING

Ariz. Admin. Code § R21-1-401 Definitions

In this Article, unless the context otherwise requires:

1. "Applicant" means personnel who apply for a Level One fingerprint clearance card or a person who applies for a license or certificate issued by the Department and who A.R.S. § 46-141(I) requires to submit a full set of fingerprints for the purpose of obtaining a state and federal criminal records check.

2. "Criminal History" means the same as A.R.S. § 41-1750(Y)(5).

3. "Department" or "DCS" means the Arizona Department of Child Safety.

"Direct visual supervision" means within sight and hearing of a provider or personnel who have a Level One fingerprint clearance card.

5. "Juvenile" means an individual who is less than 18 years of age.

6. "Level One fingerprint clearance card" means the same as A.R.S. § 41-1758.07(A).

7. "License" means the whole or part of a Department permit, registration, or similar form of permission or authorization required by law, but does not include a foster home license.

8. "Person" means a corporation, company, partnership, firm, association or society, as well as a natural person.

9. "Provider" means a federally recognized Indian tribe, county, political subdivision, military base, or person with whom the Department contracts or licenses to provide services to juveniles.

"Personnel" means paid or unpaid persons who have or may have direct contact with juveniles or provide services directly to juveniles for a provider, including the provider, consultants, subcontractors, volunteers, students, and persons otherwise affiliated with the provider.

11. "Services directly to juveniles" means in-person interaction between a provider or personnel and a juvenile.

12. "Supervised" means that personnel are within direct visual supervision at all times when providing services of any nature directly to juveniles, including psychological, medical, or any ancillary services.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-402 Applicability

This Article covers any applicant, provider, and personnel. This Article does not apply to a foster home license or adoptive home certification.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-403 Time Period Prior to Results of Personnel Criminal Records Check or Issuance of a Level One Fingerprint Clearance Card

A. A provider shall not allow an applicant who applies for a Level One fingerprint clearance card under A.R.S § 46-141 to provide services directly to juveniles or have unsupervised contact with juveniles until the applicant obtains a valid Level One fingerprint clearance card.

B. A provider shall not allow an applicant who is required to submit fingerprints to the Department under A.R.S. § 46-141(I) to provide services directly to or have unsupervised contact with juveniles unless the applicant clears the Criminal records check or obtains a valid Level One fingerprint clearance card, as applicable.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-404 Effect of No Criminal History Disclosed

A provider may allow an applicant or personnel who certifies under A.R.S. § 46-141(E), (F), and (G) that the applicant or personnel has not been convicted of or is awaiting trial for an offense listed in A.R.S. § 41-1758.07(B) or (C), or A.R.S. § 46-141(G), and who is not subject to registration as a sex offender in this state or any other jurisdiction, to provide supervised services directly to juveniles.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-405 Effect of Proscribed Criminal History Disclosed or Discovered

A. A provider shall not allow an applicant or personnel who disclose or have been convicted of or are awaiting trial for an offense listed in A.R.S. § 41-1758.07(B) or (C), or A.R.S. § 46-141(G), or who are subject to registration as a sex offender in this state or any other jurisdiction to provide services directly to or have any contact with juveniles.

B. A provider shall not allow an applicant or personnel who apply for a Good Cause Exception under A.R.S. § 41-619.55 to provide services directly to or have any contact with juveniles until the Good Cause Exception is granted.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-406 Effect of Denied, Expired, Revoked or Suspended Level One Fingerprint Clearance Card

Upon notification by the Department of the denial, expiration, revocation, or suspension of a Level One fingerprint clearance card, the provider shall immediately prohibit those personnel from providing services directly to or having any contact with juveniles.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Article 5 SUBSTANTIATION OF REPORT FINDINGS

Ariz. Admin. Code § R21-1-501 Definitions

The following definitions apply to this Article.

1. "Abuse" means the same as A.R.S. § 8-201(2).

2. "Amend the finding" means the same as A.R.S. § 8-811(L)(1).

3. "Case Record" means the Report of child abuse and neglect and related records the Department intends to submit at the hearing, including information from internal and external sources.

4. "Central Registry" means the information maintained by the Department of substantiated reports of child abuse or neglect for the purposes of A.R.S. § 8-804.

5. "Completed Investigation" means the case record and the proposed substantiated finding for the report of child abuse or neglect have been reviewed and approved by a supervisor and contains all of the information required to support a finding of proposed substantiation.

6. "Day" means a calendar day.

7. "Department" or "DCS" means the Arizona Department of Child Safety.

"Ineligibility Letter" means a notice sent from the Department via first class mail to a person alleged to have committed child abuse or neglect stating that the person is not entitled to an administrative hearing on the issue for one of the reasons listed in R21-1-505.

"Initial Notification Letter" means a notice sent from the Department via first class mail to an alleged perpetrator informing the person of the proposed finding of child abuse or neglect to be entered in the Central Registry and describing appeal rights to challenge the proposed finding.

10. "Legally excluded" means that an alleged perpetrator is not entitled to an administrative hearing under A.R.S. § 8-811, because:

a. A court or administrative law judge has made a finding of abuse or neglect based on the same allegations as in the proposed substantiated finding; or

b. A court has found that a child is dependent, or has terminated a parent's rights based upon the same allegations of abuse or neglect as in the proposed substantiated finding.

11. "Neglect" or "neglected" means the same as A.R.S. § 8-201(24).

12. "Perpetrator" means a person who has committed child abuse or neglect under the standards required for listing in the Central Registry.

13. "Probable Cause" means some credible evidence that abuse or neglect occurred.

14. "Proposed Substantiated Finding" means the Department has investigated and found probable cause to support an allegation of abuse or neglect sufficient to place the alleged perpetrator's name in the Central Registry, subject to the alleged perpetrator's right to notice and a hearing.

15. "PSRT" means the Department's Protective Services Review Team, that administers the process described in A.R.S. § 8-811 for review and appeal of proposed substantiated findings of child abuse or neglect.

16. "Report For Investigation" means the same as A.R.S. § 8-201(30).

17. "Substantiated Finding" means a proposed substantiated finding that:

a. An administrative law judge found to be true by a probable cause standard of proof after notice and an administrative hearing and the Department Director accepted the decision;

b. The alleged perpetrator did not timely appeal; or

c. The alleged perpetrator was not entitled to an administrative hearing because the alleged perpetrator was legally excluded as defined in subsection (11).

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-502 Initial Notification Letter

A. When PSRT receives a proposed substantiated finding, PSRT shall notify an alleged perpetrator that:

1. The Department intends to substantiate the proposed finding and place the alleged perpetrator's name in the Central Registry;

2. The alleged perpetrator may obtain a copy of the Report for Investigation; and

3. The alleged perpetrator has the right to an administrative hearing before the person's name is entered in the Central Registry.

B. The Department shall send the Initial Notification Letter to the alleged perpetrator no more than 14 days after the Completed Investigation.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-503 Time Frame to Request an Administrative Hearing

A. An alleged perpetrator shall request a hearing on the proposed substantiated finding by the Department within 20 days from the mailing date of the Initial Notification Letter. The mailing date of the Initial Notification Letter is deemed the date of the letter.

B. A request is timely if:

1. The request is postmarked no later than 20 days from the mailing date of the Initial Notification Letter;

2. The request is not postmarked, and the request is stamped as received by the Department within 20 days of the mailing date of the initial notification letter;

C. If the Department determines a hearing request is untimely, the Department shall enter the alleged perpetrator's name on the Central Registry unless:

1. The delay is due to Department error;

2. The delay is due to the postal service; or

3. There is evidence the delay is due to circumstances beyond the reasonable control of the alleged perpetrator.

D. To request an administrative timeliness review, the alleged perpetrator shall submit:

1. An oral or written request to PSRT using the contact information on the initial notification letter;

2. A statement explaining why the request is untimely; and

3. Evidence of the cause of the untimeliness.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-504 Psrt Review

A. Upon receiving a timely request for an administrative hearing, the PSRT shall within 60 days review the Case Record and shall:

1. Determine there is no probable cause that the alleged perpetrator committed child abuse or neglect and amend the proposed substantiated finding to unsubstantiated; or

2. Determine there is probable cause and send the alleged perpetrator a hearing notice.

B. The hearing notice shall include:

1. The date and time of the hearing;

2. Notification of the right to request a settlement conference no later than 20 days before the hearing; and

3. Notification of the right, upon oral or written request to the Department, to receive a copy of the case record, redacted as required by A.R.S. § 8-807.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-505 Exceptions to Right to a Hearing

A. An alleged perpetrator shall be eligible to have an administrative hearing unless the alleged perpetrator is legally excluded.

B. The Department shall mail an alleged perpetrator who is legally excluded an Ineligibility Letter within seven days of the PSRT determination of ineligibility for an appeal.

C. The Department shall not schedule an administrative hearing if the alleged perpetrator:

1. Is a party in a pending civil, criminal, or administrative proceeding in which the same allegations of child abuse or neglect are at issue; or

2. Has a pending juvenile proceeding in which the same allegations of child abuse or neglect are at issue.

D. An alleged perpetrator whose hearing is not scheduled under subsection (C)(1) shall have six months from the date of the Ineligibility Letter to provide court documentation to the Department showing:

1. The results of the legal action;

2. That the proceedings are still pending; or

3. That the legal action did not determine the allegations of child abuse and neglect.

E. If the alleged perpetrator does not contact the Department within six months of the date of the Ineligibility Letter with the information listed in subsection (D), the Department shall enter the person's name and the finding in the Central Registry.

F. Notwithstanding subsection (E), if the alleged perpetrator contacts the Department after six months and provides the documentation in subsection (D) the alleged perpetrator may be entitled to a hearing subject to the provisions of R21-1-508.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-506 Dependency Adjudication

If the court in a proceeding described in A.R.S. § 8-811(F)(3), makes a finding of dependency based on child abuse or neglect against a person, the Department shall enter the person's name and the fact of the dependency finding in the Central Registry.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-507 Director Review and Further Appeal after the Administrative Hearing

A. An administrative law judge's decision is not final until the Department Director reviews the decision. The Director has 30 days to review the administrative decision. The Director may accept, reject or modify an administrative law judge's decision under A.R.S. § 41-1092.08.

B. A perpetrator may appeal the final administrative decision under A.R.S. Title 12, Chapter 7, Article 6.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Ariz. Admin. Code § R21-1-508 Entry into the Central Registry

A. If the perpetrator does not appeal the proposed substantiation, PSRT shall enter the perpetrator's name and the substantiated finding in the Central Registry.

B. If the administrative decision upholds the substantiation and the Department Director accepts the decision, PSRT shall enter the perpetrator's name and the substantiated finding in the Central Registry no later than 20 days after the date of the final administrative decision.

C. The Department shall not enter the person's name or the finding in the Central Registry if the:

1. Final administrative decision holds that the allegations of abuse or neglect are not substantiated; or

2. A court ruling described in R21-1-505(C) finds no abuse or neglect by the alleged perpetrator.

D. If the court ruling described in R21-1-505(C) finds abuse or neglect by the perpetrator, the PSRT shall enter the person's name and the substantiated finding in the Central Registry.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2555, effective 11/30/2015.

Chapter 3 DEPARTMENT OF CHILD SAFETY - CENTRALIZED INTAKE HOTLINE

Article 1 DEFINTIONS

Ariz. Admin. Code § R21-3-101 Definitions

The definitions in A.R.S. §§ 8-101, 8-201, 8-501, 8-455, 8-531 and 8-801, and the following definitions apply in this Chapter and Title 21, Chapter 4:

1. "Abuse" means the same as in A.R.S. § 8-201.

2. "Centralized Intake Hotline" or "the Hotline" means the same as in A.R.S. § 8-455.

3. "Child" means the same as in A.R.S. § 8-101.

4. "Child Safety Specialist" means the same as "child safety worker" as in A.R.S. § 8-801.

5. "Child safety services" means the same as in A.R.S. § 8-801.

6. "Child welfare agency" means the same as in A.R.S. § 8-501.

7. "Criminal conduct allegation" means the same as in A.R.S. § 8-201.

8. "Criminal investigation" means an investigation of criminal allegations conducted by a law enforcement agency.

9. "Criminal offense" means an allegation of abuse and neglect perpetrated by someone other than a parent, guardian, custodian, or other adult member of the child's household that, if true, would constitute a felony offense.

10. "Custodian" means a person defined in A.R.S. § 8-201.

11. "DCS Investigator" means a DCS employee who investigates allegations of child abuse or neglect pursuant to A.R.S. §§ 8-456 and 8-471.

12. "DCS Report" means a communication received by the Centralized Intake Hotline that alleges child abuse or neglect that meets the criteria for a report as set forth in A.R.S. § 8-455.

13. "Department" or "DCS" means the Arizona Department of Child Safety.

"Finding" means one of the following:

a. The Department has determined during its investigation that probable cause exists to substantiate the allegation of abuse or neglect of a child, and

i. The specific person responsible has been identified, or

ii. The specific person responsible has not been identified,

b. The Department has determined during its investigation that the allegation of abuse or neglect is unsubstantiated; or

c. After a thorough search, the Department is unable to locate the alleged abused or neglected child.

15. "Guardian" means the same as a person who has the duty and authority of a "Guardianship of the person" in A.R.S. § 8-531.

16. "Household member" means a parent, guardian, custodian, or an adult who at the time of the alleged abuse or neglect resided in the child victim's home.

17. "Incoming communication" or "communication" means contact with DCS concerning alleged abuse or neglect of a child by any method that is received by or ultimately directed to the Centralized Intake Hotline.

"Intake Specialist" means the same as "hotline worker" in A.R.S. § 8-455 and means an employee of the Department trained in Centralized Intake Hotline procedures.

19. "Investigation" means using investigative techniques to search out and examine the facts to determine whether a child has been abused or neglected as provided for in A.R.S. §§ 8-456 and 8-471.

20. "Investigative protocols," also called "Joint investigative protocols" and "Multi-disciplinary Protocols," means a guide for the conduct of criminal conduct investigations mandated by A.R.S. § 8-817.

21. "Neglect" or "neglected" means the same as in A.R.S. § 8-201.

22. "OCWI Investigator" means a DCS Investigator who is assigned to the Office of Child Welfare Investigations, and whose primary duties and responsibilities are prescribed in A.R.S. § 8-471.

23. "Other child in the home" means a child residing in the same home as either the alleged child victim or the alleged perpetrator at the time of the alleged abuse or neglect.

24. "Out-of-Home placement" means the same as in A.R.S. § 8-501.

25. "Parent" means the same as in A.R.S. § 8-501.

26. "Probable cause" means some credible evidence that abuse or neglect occurred.

27. "PSRT" means the Department's Protective Services Review Team that administers the process described in A.R.S. § 8-811 for review and appeal of proposed substantiated findings of child abuse or neglect.

28. "Reporting Source" means a person who reports child abuse or neglect to the Department or to a peace officer as prescribed in A.R.S. § 13-3620, even if the communication does not meet the criteria for a DCS report as set forth in A.R.S. § 8-455.

29. "Response time" means the period of time designated by the Hotline and begins when a DCS report is assigned to a DCS field unit for investigation and ends when the DCS Investigator initiates the investigation by an attempt to make in-person contact with the alleged child victim. Any proposed changes to the response time shall be submitted to the DCS Community Advisory Committee as established in A.R.S. § 8-459 for review and discussion prior to implementation.

30. "Safe haven provider" means the same as in A.R.S. § 13-3623.01.

31. "Substantiated" means that there is probable cause to believe the child was abused or neglected.

32. "Temporary custody" means the same as in A.R.S. § 8-821.

33. "Unsubstantiated" means that there was insufficient evidence to substantiate that the child was abused or neglected when the finding was entered into the Department's case management information system.

History

• New section made by exempt rulemaking at 21 A.A.R. 3247, effective 1/26/2016.

Article 2 RECEIPT AND SCREENING OF COMMUNICATIONS

Ariz. Admin. Code § R21-3-201 Receipt of Information; Centralized Intake Hotline

A. The Department shall operate a Centralized Intake Hotline to receive and screen communications of suspected abuse or neglect of a child.

B. The Department shall publicize on the Department's website the availability and the purposes of the Centralized Intake Hotline.

C. The Department shall accept an anonymous communication if the source refuses to provide identifying and contact information.

D. When the Centralized Intake Hotline receives an incoming communication, the Intake Specialist shall gather relevant information to determine whether it meets the criteria for a DCS Report as prescribed in A.R.S. § 8-455.

History

• New section made by exempt rulemaking at 21 A.A.R. 3247, effective 1/26/2016.

Ariz. Admin. Code § R21-3-202 Preliminary Screening

The following allegations standing alone do not meet the criteria for a DCS Report unless the communication also includes an allegation of child abuse or neglect as defined in A.R.S. § 8-201 and otherwise meets the criteria as set forth in A.R.S. § 8-455:

1. The child is absent from school;

2. The child is age eight years or older and has allegedly committed a delinquent act;

3. The sibling of a child eight years or older has allegedly committed a delinquent act;

4. The sibling or other child living in the home who is age eight years or older allegedly committed a delinquent act against the alleged child victim;

5. The child's parents are absent from the home or are unable to care for the child but made appropriate arrangements for the child's care;

6. The child is receiving treatment from an accredited Christian Science practitioner, or other religious or spiritual healer, but the child's health is not:

a. In imminent risk of harm; or

b. Endangered by the lack of medical care;

7. The child has minor hygienic problems;

8. The child is the subject of a custody or visitation dispute;

9. The spiritual neglect of a child or the religious practices or beliefs to which a child is exposed;

10. The child's parent, guardian, or custodian questions the use of or refuses to put the child on psychiatric medication but the child's health is not:

a. In imminent risk of harm; or

b. Endangered by the refusal to put the child on the recommended psychiatric medicine; or

11. The child is a safe haven newborn infant. A child is considered a safe haven newborn infant if the parent or agent of the parent voluntarily delivered the newborn to a safe haven provider per A.R.S. §§ 8-528 and 13-3623.01; and following a physical examination of the child at a hospital the child is determined to be unharmed, and 30 days of age or younger. The child shall not qualify as a safe haven newborn infant if:

a. The physical examination results in suspicion of abuse or neglect that meets criteria as a DCS Report; or

b. The child is believed to be an alleged victim in an open DCS Report.

12. The child is in the custody of the federal government, and the alleged abuse or neglect occurred in a foreign country;

13. The suspected perpetrator is deceased and there is no indication that the perpetrator's death occurred during an act of abuse or neglect against the child; or

14. The suspected perpetrator's parental rights are terminated as to the alleged child victim.

History

• New section made by exempt rulemaking at 21 A.A.R. 3247, effective 1/26/2016. Amended by final rulemaking at 29 A.A.R. 1697, effective 9/10/2023.

Ariz. Admin. Code § R21-3-203 Disposition of Communications

A. DCS Report. If a communication meets criteria for a DCS Report, the Intake Specialist shall:

1. Enter the DCS Report information into the Department's case management information system;

2. Assign an appropriate response time, ranging from an immediate response to a response time not to exceed seven days;

3. Immediately transmit the DCS Report to the appropriate field unit; and

4. Inform the reporting source that the information meets criteria for a DCS Report, that the report will be sent to a field unit, and provide the reporting source, when identified, with contact information for the field unit.

B. Non-report. If a communication does not meet criteria for a DCS Report, the Intake Specialist:

1. Shall record the information regarding a child who is already in the Department's care, custody, and control, and forward it to the Child Safety Specialist managing that child's case;

2. Shall advise the reporting source to notify the appropriate law enforcement agency of an allegation of child abuse or neglect by a person other than a child's parent, guardian, custodian, or adult member of the household;

Shall inform the reporting source that the information does not meet criteria for a DCS Report, and that the information will be documented in the Department's case management information system; and

4. May refer the reporting source to a community resource, when appropriate.

C. Forwarding information on non-DCS Reports. If a communication does not meet criteria for a DCS Report, the Intake Specialist shall forward the information or allegations of abuse or neglect to:

1. The appropriate law enforcement agency concerning a felony criminal offense against a child;

2. The DCS Office of Licensing and Regulation, if the communication involves a DCS licensed out-of-home placement;

3. The appropriate child protection agency, if the child lives in another jurisdiction;

4. The appropriate licensing or certifying agency if a child is at a state licensed or certified child care home or facility;

5. The appropriate licensing agency if a child is at a state licensed behavioral health facility; or

6. The Arizona Department of Economic Security (DES) Adult Protective Services if the alleged victim is over the age of 18 years.

History

• New section made by exempt rulemaking at 21 A.A.R. 3247, effective 1/26/2016.

Ariz. Admin. Code § R21-3-204 Quality Assurance

The Department shall conduct a review at least weekly of communications concerning alleged abuse or neglect of a child, which do not meet criteria for a DCS Report, to verify the communications are properly classified.

History

• New section made by exempt rulemaking at 21 A.A.R. 3247, effective 1/26/2016.

Chapter 4 DEPARTMENT OF CHILD SAFETY - RESPONSE TO REPORTS

Article 1 INVESTIGATIONS

Ariz. Admin. Code § R21-4-101 Definitions

The definitions in A.R.S. §§ 8-101, 8-201, 8-455, 8-501, 8-531, and 8-801, and R21-3-101 apply in this Chapter.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-102 Response Times

The DCS Investigator shall respond to the DCS report as required under R21-3-203.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-103 Methods of Investigation

A. DCS shall investigate or respond to each DCS Report by interviewing or personally observing the alleged child victim, interviewing other children and individuals, reviewing documents, and using other accepted investigative techniques, as necessary, to gather sufficient information to:

1. Determine whether the child subject of the report is currently safe or unsafe;

2. Support or refute the allegation of abuse or neglect;

3. Determine the name, age, and condition of other children in the home; and

4. Determine whether child safety services are needed.

B. DCS shall do the following to investigate each DCS report unless one or more of the circumstances listed in subsection (C) exist:

1. Contact the reporting source;

2. Review prior DCS Reports concerning the alleged child victim;

3. Review prior DCS Reports concerning the alleged perpetrator;

4. Interview or facilitate the interview of the alleged child victim or personally observe the alleged child victim;

5. Interview the alleged perpetrator;

6. Interview all other adult household members and verbal children in the home who may have relevant information;

7. Review available court orders that restrict contact with the child by a parent or other person in the home; and

8. Use additional investigative methods based on the factual circumstance of the case.

C. If during the course of an investigation one or more of the following circumstances exists, DCS is not required to take all of the investigative actions otherwise required by this section:

1. The family exercises their right not to cooperate under A.R.S. § 8-803 or is unwilling or unable to cooperate;

2. Other persons who may have relevant information are unwilling or unable to cooperate;

3. The alleged victim is currently over the age of 18 years and the alleged perpetrator has no access to the other children in the household;

4. The alleged child victim is deceased and no surviving child resides in the household;

5. The alleged perpetrator resides outside Arizona and there is no indication or information that the alleged child victim or the other children in the household are currently being abused or neglected;

6. The alleged abuse or neglect occurred more than three years ago and there is no indication or information that the alleged child victim or the other children in the household are currently being abused or neglected;

7. The alleged child victim or the child victim's family cannot be located after DCS has made diligent efforts to locate;

8. A law enforcement agency has investigated the specific allegations contained in the report and the Department has determined that the child is currently safe;

9. A law enforcement or prosecutorial agency requests that the DCS Investigator not contact the alleged perpetrator or other persons with relevant information; or

10. A federal or state law or court order prohibits or restricts DCS from fully investigating the report.

D. If during the course of an investigation the DCS Investigator gathers sufficient information to determine that the child is not a victim of abuse or neglect, the DCS Investigator may close the investigation.

E. A DCS Investigator shall collaborate with law enforcement when applicable.

F. A DCS Investigator may interview a child without the prior written consent of the parent, guardian, or custodian of the child as set forth in A.R.S. §§ 8-802 and 8-471.

G. A DCS Investigator may exclude a parent, guardian, custodian, household member, or any other individual from being present during an interview with the alleged victim, the alleged victim's siblings, or other children residing in the alleged victim's household.

H. If a DCS Investigator discovers evidence of other incidents of abuse or neglect that are not contained in the DCS Report, the DCS Investigator shall make a report to the Hotline regarding those incidents.

I. A DCS Investigator who is not assigned to OCWI may investigate a DCS Report containing criminal conduct allegations, as necessary. A DCS Investigator not assigned to OCWI will receive advanced training regarding joint investigation protocol per A.R.S. § 8-817 and forensic interview training as a prerequisite to investigating criminal conduct allegations. A DCS Investigator not assigned to OCWI should receive training consistent with A.R.S. § 8-471(D) if investigating criminal conduct allegations.

J. If an alleged child victim resides outside the Department's jurisdiction, the Department shall coordinate with the appropriate child protection agency in the jurisdiction where the child is located.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-104 Coordination with Law Enforcement

A. In DCS Reports containing a criminal conduct allegation, a DCS Investigator shall coordinate with law enforcement pursuant to the applicable Joint Investigative Protocol. In DCS Reports that do not contain a criminal conduct allegation, a DCS Investigator shall coordinate with law enforcement as appropriate.

B. When a DCS Investigator investigates a DCS Report containing allegations of criminal conduct across jurisdictions, the DCS Investigator shall follow the Joint Investigative Protocol of the jurisdiction where the lead investigative agency is located.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-105 Investigation Findings; Required Documentation

A. After completing an investigation, the DCS Investigator or Child Safety Specialist shall propose substantiation if there is probable cause to believe a child was abused or neglected or, if not, shall unsubstantiate the allegation.

B. A DCS Investigator or Child Safety Specialist shall document the finding and the reason in the case record.

C. A DCS Supervisor shall review the proposed finding and shall notify PSRT of a proposed substantiation.

D. DCS shall provide the parent, guardian, or custodian written notice of the outcome of the investigation.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-106 Ongoing Services; Case Closure

A DCS Investigator shall close a case if the investigation determines the child or children are not in need of child safety services, whether or not the allegations are substantiated or unsubstantiated.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-107 Procedures for Temporary Custody

A. Using a uniform safety and risk assessment tool, a DCS Investigator shall determine whether the child can remain safely in the home or needs to be taken into temporary custody of the Department.

B. Before taking temporary custody of a child, the Department shall consider whether the Department may:

1. Help the family obtain resources such as emergency food, shelter, clothing, or utilities, so that the child may safely remain in the home;

2. Enter into an agreement with the child's parent, guardian, or custodian that provides for the alleged abuser to leave the home and for remaining family members to protect the child;

3. Help the protective parent, guardian, or custodian and the child leave the home of the alleged abuser; and

4. Place the child in a voluntary placement agreement as provided in A.R.S. § 8-806.

C. A DCS Investigator shall submit the reasons for temporary custody and the supporting information to a DCS Supervisor and obtain approval from the DCS Supervisor prior to taking temporary custody of a child, except as provided in A.R.S. § 8-822.

D. A DCS Investigator may take a child into temporary custody for a period of not more than 12 hours to have the child examined by a medical doctor or psychologist, if the circumstances indicate that there is reasonable likelihood to believe that a child has suffered serious physical or emotional harm as provided in A.R.S. § 8-821.

E. Under A.R.S. § 8-515.05, a DCS Investigator may remove a foster child from an out-of-home placement on an emergency basis to protect the child from harm or risk of harm without prior notification of the Department's intent to remove.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Ariz. Admin. Code § R21-4-108 Quality Assurance

DCS shall conduct regular reviews of responses to reports to verify that investigations are properly conducted and procedures for temporary custody are followed.

History

• New section made by exempt rulemaking at 21 A.A.R. 3252, effective 1/26/2016.

Chapter 5 DEPARTMENT OF CHILD SAFETY - PERMANENCY AND SUPPORT SERVICES

Article 4 ADOPTION ENTITY SERVICES

Ariz. Admin. Code § R21-4-416 Transportation

An adoption entity that transports an adoptive child shall:

1. Ensure that any person who transports an adoptive child is informed of the child's medical needs and is capable of meeting any medical needs that are reasonably likely to arise during transport;

2. Not leave an adoptive child unattended during transportation if the adoptive child:

a. Is less than seven years of age;

b. Has a developmental disability; and

c. Is more than seven years of age if the adoption entity has determined, and documented in the child's record, that the child is physically and emotionally incapable of traveling alone;

3. Require all persons who provide transport to carry personal identification and a written statement from the adoption entity describing the person's authority and responsibilities while performing transport duties;

4. Require proof of driver's license from any person accepting temporary or permanent responsibility for transporting an adoptive child during the course of placement;

5. Document all transportation plans and actual transportation events in the child's record;

6. All vehicles used in transporting adoptive children shall be insured;

Ensure that an adoptive child is properly secured in a child restraint system that meets the requirements listed in R21-9-224(E).

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Article 1 INTERSTATE COMPACT ON THE PLACEMENT OF CHILDREN

Ariz. Admin. Code § R21-5-101 Definitions

The definitions contained in A.R.S. § 8-548 and the following definitions apply in this Article:

1. "Child" means any person less than the age of 18 years.

2. "Compact" or 'ICPC" means the Interstate Compact on the Placement of Children.

3. "Compact Administrator" means the same as A.R.S. § 8-548.

4. "Compact State" means a state that is a member of the Interstate Compact on the Placement of Children.

5. "Department" or "DCS" means the Arizona Department of Child Safety.

"Interstate placement" means any movement of a child from one state to another state for the purpose of establishing a suitable living environment and providing necessary care.

"Intra-state placement" means the placement of a child within a state by an agency of that state.

"Placement" means the same as in A.R.S. § 8-548.

9. "Receiving state" means the same as in A.R.S. § 8-548.

10. "Sending agency" means the same as in A.R.S. § 8-548.

11. "Sending state" means the state where the sending agency is located, or the state in which the court holds exclusive jurisdiction over a child, which causes, permits, or enables the child to be sent to another state.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Ariz. Admin. Code § R21-5-102 Authority

The ICPC is governed by A.R.S. §§ 8-548 through 8-548.06 and the ICPC regulations. ICPC regulations are posted on the Association of Administrators of the Interstate Compact on the Placement of Children website. These regulations supplement those authorities and must be read in conjunction with them.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Ariz. Admin. Code § R21-5-103 Conditions of Placement

No person, court, or public or private agency in a Compact State shall place a child in another Compact State until the Compact Administrator in the receiving state has notified the Compact Administrator in the sending state, on a prescribed form, that such placement does not appear to be contrary to the interests of the child and does not violate any applicable laws of the receiving state.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Ariz. Admin. Code § R21-5-104 Financial Responsibility

The sending person, court, or public or private agency shall be held financially responsible for:

1. Sending the child to the receiving state;

2. Returning the child to the sending state; and

3. Treatment of the child during the period of placement.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Ariz. Admin. Code § R21-5-105 Applicability

A. Except as listed in sub-section B, the ICPC applies to the placement of:

1. Children in another Compact State by an agency, court or person, which has care or custody of the children.

2. Foreign-born children who are brought under the jurisdiction of a Compact State by an international child placing agency.

B. In addition to the children listed in statute that are not subject to ICPC, the ICPC does not apply:

1. When a child is placed in an institution caring for the mentally ill, mentally impaired, epileptic, or in any institution primarily educational in character or in any hospital or other medical facility.

2. To the placement of children into and out of the United States when the other jurisdiction involved is a foreign country.

3. When a sending court or agency seeks an independent (not ICPC related) courtesy check for placement with a parent from whom the child was not removed, the responsibility for credentials and quality of the courtesy check rests directly with the sending court or agency and the person or party in the receiving state who agrees to conduct the courtesy check without invoking the protection of the ICPC home study process. This does not prohibit a sending state from requesting an ICPC.

4. The Compact does not apply in court cases of paternity, divorce, custody, and probate pursuant to which or in situations where children are being placed with parents or relatives or non-relatives.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Ariz. Admin. Code § R21-5-106 Placement Approval

Sending and receiving states must obtain approval from the Compact Administrator in both the sending and receiving states prior to the placement of a child in another Compact State.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Ariz. Admin. Code § R21-5-107 Operations

In providing services provided under this Article, the sending and the receiving state shall:

1. Maintain all information required by state and federal law.

2. Comply with all federal and their respective state laws and regulations regarding the disclosure and use of confidential health and personal information.

3. Comply with all federal and their respective state non-discrimination laws and regulations.

4. Ensure that interpreters, including assistance for the visually or hearing impaired, are available to those receiving services at no cost.

History

• New section made by exempt rulemaking at 21 A.A.R. 2979, effective 1/2/2016.

Article 2 INDEPENDENT LIVING AND TRANSITIONAL INDEPENDENT LIVING PROGRAMS

Ariz. Admin. Code § R21-5-201 Definitions

The following definitions apply to this Article:

1. "Active participation" means the foster youth is demonstrating efforts toward completion of case plan goals such as regular attendance at school or employment that results in school credits or earned wages.

2. "Aftercare services" means assistance and support available to eligible, former foster youth living in Arizona after the Department, tribal foster care, or other state foster care case is dismissed, and includes services available through the Transitional Independent Living Program.

3. "Age of majority" means that a person is at least 18 years old.

4. "Approved living arrangement" means a residence that has been reviewed by the assigned Child Safety Worker or other responsible agency staff and approved within the individual case plan.

5. "Arizona Young Adult Program" means a group of programs and services designed to assist eligible youth to make a successful transition to adulthood. The programs and services include Independent Living Services, the Independent Living Subsidy Program, Voluntary Out-of-home Care for Foster Youth 18 through 20 Years of Age, and the Transitional Independent Living Program.

6. "Child placing agency" means the same as in A.R.S. § 8-501(A)(1)(a)(iii), and includes a Child Welfare Agency that OLR licenses as a Placing Agency to place a child in a licensed foster home, or facility.

7. "Child Welfare Agency" means the same as in A.R.S. § 8-501.

8. "Child Safety Worker" means the same as in A.R.S. § 8-801.

9. "Custody of the Department" means that the foster youth:

a. Is in out-of-home care under the supervision of the Department while the subject of a dependency petition, as an adjudicated dependent, or placed voluntarily under A.R.S. § 8-806; or

b. Is 18, 19, or 20 years of age, a resident of Arizona, and has signed an individual case plan agreement for voluntary out-of-home care. This includes foster youth who were dually adjudicated (dependent and delinquent) and released from a secure setting prior to, or on the foster youth's 19th birthday.

10. "Department" or "DCS" means the Arizona Department of Child Safety.

"Eligible youth" means a person who meets the qualifications in A.R.S. § 8-521 for the Independent Living Program, the qualifications in A.R.S. § 8-521.01 for the Transitional Independent Living Program, or is a person who was formerly in another state's child welfare program who would otherwise be eligible.

12. "Employment" means:

a. Paid employment;

b. Participation in employment-readiness activities, which include career assessment and exploration, and part time enrollment in an employment or career readiness education program;

c. Volunteer positions;

d. Job-shadowing;

e. Internship; or

f. Other paid or unpaid employment-related activities.

"Extraordinary purchase" means an expenditure by an eligible youth that impedes an eligible youth's ability to meet the financial obligations outlined in the eligible youth's budget.

"Foster youth" means a person in the custody of the Department.

15. "Full-time student" means an eligible youth enrolled in an education program identified by the program as being full-time due to the number of credits, credit hours, or other measure of enrollment.

16. "Independent Living Program" means the program authorized by A.R.S § 8-521 to provide an Independent Living Subsidy and educational case management to a foster youth.

17. "Independent Living Services" or "IL Services" means an array of assistance and support services, including those provided under the Independent Living Program, that the Departments provides, contracts, refers, or otherwise arranges that are designed to help a foster youth transition to adulthood by building skills and resources necessary to ensure personal safety, well-being, and permanency into adulthood.

18. "Independent Living Subsidy" or "IL Subsidy" means a monthly stipend provided under the Independent Living Program to a foster youth, to assist in meeting monthly living expenses. This stipend replaces any foster care maintenance payment from the Department for support of the foster youth's daily living expenses.

19. "Individual case plan" means an agreement between an eligible foster youth and the Department, directed by the foster youth that documents specific services and assistance that support the foster youth's goals in relation to:

a. Natural supports including permanent connections to and relationships with family and community, including peer and community mentors;

b. A safe, stable, desired living arrangement, which may include a permanent arrangement such as guardianship or adoption;

c. Daily living skills;

d. Secondary and postsecondary education and training;

e. Employment and career planning;

f. Physical health, including reproductive health;

g. Life care planning;

h. Emotional health;

i. Mental health;

j. Spiritual or faith needs;

k. Interpersonal relationships; and

l. Age-appropriate extra-curricular, enrichment, and social activities.

20. "Individual service plan" means an agreement that is directed by an eligible youth in the TIL Program that documents specific services and assistance to support the eligible youth's goals including, as applicable:

a. Financial,

b. Housing,

c. Counseling,

d. Employment,

e. Education, and

f. Other appropriate support and services.

21. "Life skills assessment" means a measure of an eligible youth's ability to function in a variety of areas such as daily living skills, knowledge of community resources, and budgeting, as determined by a validated assessment tool.

22. "Medical professional" means a doctor of medicine or osteopathy, physician's assistant, or registered nurse practitioner licensed in A.R.S. Title 32, or a doctor of medicine licensed and authorized to practice in another state or foreign country. A medical professional from another state or foreign country must provide verification of valid and current licensure in that state or country.

23. "Misuse of funds" means that an eligible youth has expended money provided by the Department for specific purposes (such as education or living expenses) on an item that is not permitted by law (such as illegal drugs and alcohol), or on an extraordinary purchase that is not included in an approved budget or individual case or service plan, to the degree that the funds are not available for necessary items and purchases approved within the case plan, service plan, or budget.

24. "Natural supports" means relationships and connections that occur in everyday life, independent of formal services, with people or groups who provide personal or other support during a person's lifetime.

25. "Out-of-home care" means a placement approved by the Department such as a licensed foster home, residential group care facility operated by a Child Welfare Agency, therapeutic residential facility, independent living setting, approved unlicensed independent living setting, or in a relative or non-relative placement. Out-of-home care excludes a detention facility, forestry camp, training school, or any other facility operated primarily for the detention of a child who is determined delinquent.

"Personal Crisis" means an unexpected event or series of events in an eligible youth's life that prevents or impedes participation in scheduled services or activities.

27. "Residential group care facility" means a Child Welfare Agency that is licensed to receive more than five children for 24-hour social, emotional, or educational supervised care and maintenance at the request of a child, child placing agency, law enforcement agency, parent, guardian, or court. A residential group care facility provides care in a residential setting for children for an extended period of time.

28. "Responsible agency staff" means the assigned Child Safety Worker, another identified Department employee, or contracted staff.

29. "Service team members" means the eligible youth, the youth's attorney(s), the Guardian ad Litem (GAL), the Court Appointed Special Advocate (CASA), tribal child welfare staff, other parties to the dependency case, contract, or other service providers, responsible agency staff, and other adults involved with the youth or supporting the youth's activities or employment.

"Substantial non-compliance" means an eligible youth's:

a. Termination from an educational, vocational, or employment program due to lack of attendance or failure to make satisfactory progress as defined by the program for reasons unrelated to physical health including pregnancy, emotional, or mental health;

b. Persistent lack of communication during a 60-day period with the assigned Child Safety Worker or other responsible agency staff known to the youth that results in a loss of contact with the eligible youth, or interferes with the Department's ability to provide services and supervision or to document individual case plan or service plan progress;

c. Persistent misuse of funds provided to support individual case plan or service plan goals; or

d. For an eligible foster youth, failure to communicate unexpected changes in the living arrangement as agreed to in the individual case plan or the Independent Living Subsidy agreement.

"Transitional Independent Living Program" or "TIL Program" means a program of services for residents of Arizona who are eligible youth under A.R.S. § 8-521.01, that provides assistance and support in counseling, education, vocation, employment, and the attainment or maintenance of housing.

32. "Transitional Independent Living Services" or "TIL Services" means those services the Department provides through the Transitional Independent Living Program under A.R.S. § 8-521.01, and may include assistance and support with health care, money management, housing, counseling, education, vocational training, and employment. The Department or its contractors provide services through a written agreement with the eligible youth.

33. "Validated assessment tool" means a written or verbal survey tool that can demonstrate empirical evidence for reliability and validity.

34. "Work day" means Monday through Friday, excluding Arizona state holidays.

35. "Young Adult Transitional Insurance" means a category of health care coverage under the state Medicaid program (Arizona Health Care Cost Containment System or AHCCCS) for Medicaid eligible youth who have reached the age of majority in foster care.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016. Amended by emergency rulemaking at 25 A.A.R. 771, effective 3/21/2019. Amended by final rulemaking at 26 A.A.R. 241, effective 3/15/2020.

Ariz. Admin. Code § R21-5-202 Provision of Services

A. The Department shall provide services and stipends for the IL Services, IL Subsidy, and TIL services to eligible youth in a manner that is fair and equitable.

B. The Department shall provide Independent Living Services to eligible foster youth based on needs identified by the eligible foster youth, by service team recommendations, or the findings of a life skills assessment. The services shall address needs identified in the eligible foster youth's individual case plan and may include one or more of the following, depending on the individual case plan goals:

1. Information and assistance to create and maintain a network of natural supports;

2. Independent living skills training;

3. Program incentives;

4. Information and assistance in life care and health care planning, including enrollment in a health plan;

5. Educational, career, and vocational planning;

Financial assistance for post-secondary education and training;

7. Out-of-home care for foster youth 18 through 20 years of age; or

Aftercare services through the Transitional Independent Living Program.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Ariz. Admin. Code § R21-5-203 Denial of Services

The Department shall deny services if a person does not meet the eligibility requirements of A.R.S. §§ 8-806, 8-521, 8-521.01, and R21-5-204.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Ariz. Admin. Code § R21-5-204 Eligibility

A. Independent Living Services. In order to be eligible for IL Services a person shall:

1. Be at least 16 years of age and less than 21 years of age;

2. Be in the custody of the Department or tribal child welfare agency;

3. Reside in out-of-home care;

4. Be referred by the eligible youth's assigned Child Safety Worker, other Department staff, or a tribal social services representative; and

5. Be a resident of Arizona if 18, 19, or 20 years of age.

B. Independent Living Subsidy.

1. In order to be eligible for the IL Subsidy, a person shall:

a. Be at least 17 years of age, in the custody of the Department, and employed or a full-time student.

b. With the assistance of the responsible agency staff, complete the Independent Living Subsidy Agreement or other approved forms designated by the Department.

2. Conditions for approval and continuation in the Independent Living Subsidy Program include:

a. Active participation in activities outlined in the individual case plan;

b. Adherence to the terms of the IL Subsidy Agreement, including:

i. Communication with the Child Safety Worker;

ii. Maintenance of a Department-approved living arrangement, including approval of a roommate, except those assigned by school or work; and

iii. Participation in scheduled meetings to review progress and update the individual case plan and IL Subsidy Agreement.

Eligible youth 18, 19, and 20 years of age who are temporarily residing out of state for the purpose of education or vocational training, and who maintain Arizona residency, may receive the Independent Living Subsidy under the same conditions as above.

C. Transitional Independent Living Program. Under A.R.S. § 8-521.01, in order to be eligible for the Transitional Independent Living Program, a person must be less than 21 years of age and have been in out-of-home care and in the custody of the Department, a licensed residential group care facility, or a tribal child welfare agency while 16, 17, or 18 years of age. Persons who were in another state's child welfare agency under the same conditions are also eligible.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Ariz. Admin. Code § R21-5-205 Out-of-home Care Services for Foster Youth 18 through 20 Years of Age

A. The Department may provide out-of-home care services and supervision to a foster youth less than 21 years of age, who reached the age of 18 years while in the custody of the Department, and was either in out-of-home care or in secure care, as defined by A.R.S. § 8-201, through a delinquency action, when the foster youth:

Requests out-of-home care;

2. Has residency in the state of Arizona;

3. Participates in developing an individual case plan agreement for out-of-home care; and

4. Demonstrates acceptance of personal responsibility for his or her part of the agreement through active participation in the individual case plan.

B. The foster youth, Child Safety Worker, and involved service team members shall develop the individual case plan for out-of-home care:

1. Within the 90-day period prior to the foster youth's 18th birthday for foster youth continuing in out-of-home care past 18 years of age;

2. Within ten work days for foster youth who enter out-of-home care during the 90-day period prior to the foster youth's 18th birthday; and

3. For eligible youth re-entering foster care at 18 years of age or older, within seven work days of the eligible youth's return to Department care and supervision.

C. The individual case plan shall outline the services and supports to be provided under R21-5-202(B) and include at least one of the following activities:

1. Completion of secondary education or a program leading to an equivalent credential;

2. Enrollment in an institution that provides post-secondary education or vocational education;

3. Participation in a program or activity designed to promote or remove barriers to employment; or

4. Employment of at least 80 hours per month.

D. Foster youth participating in out-of-home care shall demonstrate acceptance of personal responsibility by actively participating in an individual case plan, unless prevented by a documented behavioral health or medical condition, or other personal crisis or life event, such as pregnancy, birth, necessary maternity leave as determined by a medical professional, adoption, or guardianship of a child.

E. The Child Safety Worker shall support the foster youth to address any documented condition, crisis, or life event listed in subsection (D), by:

Facilitating a youth led discussion that includes a review of the supports and services available as intervention strategies, to assist in resolving the condition, crisis, or concern;

Documenting the foster youth's preferred intervention strategy for addressing the condition, crisis, or concern; and

3. Expeditiously providing or otherwise arranging the preferred intervention strategy.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016. Amended by emergency rulemaking at 25 A.A.R. 771, effective 3/21/2019. Amended by final rulemaking at 26 A.A.R. 241, effective 3/15/2020.

Ariz. Admin. Code § R21-5-206 Transitional Independent Living Program

A. The Transitional Independent Living Program provides services to eligible youth, under A.R.S. § 8-521.01 that complements their own efforts toward becoming self-sufficient. The Department may provide the following assistance, depending on individual service plan goals:

1. Financial,

2. Housing,

3. Counseling,

4. Employment,

5. Education, and

6. Other appropriate support and services.

B. The eligible youth requesting services through the Transitional Independent Living Program shall provide the following information to the responsible agency staff:

1. Identifying information including:

a. Name (and any aliases); and

b. Date of birth;

2. Information regarding the eligible youth's former foster care status such as the state or tribal child welfare system where the youth was in care, and approximate dates of care, if known; and

3. Any available contact information for the youth, including:

i. Phone number,

ii. Friend or family phone number,

iii. Email address, and

iv. Any other communication method identified by the youth.

C. An eligible youth and responsible agency staff shall develop an individual service plan for the eligible youth to receive these services.

D. The individual service plan shall address the level of need based on the items noted in subsection (A).

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Ariz. Admin. Code § R21-5-207 Re-entry into Out-of-home Care

A. The Department shall facilitate re-entry into out-of-home care for eligible youth participating in the Transitional Independent Living Program.

B. On request for re-entry by the eligible youth, the Department shall confirm the eligible youth's request to receive out-of-home care, supervision, and other services with the youth and within ten work days:

1. Facilitate a meeting with the eligible youth to review the requirements under R21-5-205 ;

2. Assist the eligible youth to develop an individual case plan that includes an effective date for reopening the Department case;

3. Identify the name and contact information of the Child Safety Worker or responsible agency staff assigned to the case;

Identify the out-of-home care type selected such as, foster home, residential group care facility, Independent Living Program, or other arrangement;

5. Notify the identified Child Safety Worker or responsible agency staff assigned to the case; and

6. Complete all necessary authorizations for out-of-home care and other services to reasonably ensure a smooth transition from the TIL Services to the IL Services.

C. If the eligible youth reports he or she is in crisis and unsafe, the Department shall immediately assess the youth's safety and assist the youth to secure a safe living arrangement and to manage the crisis.

D. An eligible youth may request to postpone re-entry, decline re-entry at any time, or re-initiate the request any time prior to the eligible youth's 21st birthday. The responsibilities of the Department to process the request for re-entry shall begin upon the Department's receipt of the eligible youth's request for re-entry under subsection (B).

E. Supports and services shall continue for youth who re-enter out-of-home care, as outlined in R21-5-205.

F. If the Department denies re-entry, the Department shall provide the youth with written notification of the reason for this decision and the youth's grievance and appeal rights within 15 work days of the request for re-entry.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Ariz. Admin. Code § R21-5-208 Termination of Services

A. The Department may terminate IL Services, including out-of-home care for foster youth 18 through 20 years of age, and TIL services if the eligible youth:

1. Reaches the age of 21 years;

2. Reaches the age of 18 years and does not desire continued services;

3. Makes a voluntary decision to terminate services; or

4. Demonstrates substantial non-compliance or otherwise refuses to meet the requirements of the individual case plan or individual service plan after the responsible agency staff or designee has made active efforts to engage the eligible youth in identifying and resolving issues, including assessing the effectiveness of current services, and identifying and providing additional or different support services.

B. The Department shall deny IL Services, including out-of-home care for foster youth age 18 through 20 years, and TIL services if the Department determines the person is:

1. Not eligible;

2. Unwilling to create an individual case or service plan; or

3. Not participating in the individual case or service plan.

C. The Child Safety Worker or responsible agency staff shall notify the person in writing of the Department's decision to terminate or deny services within ten work days of the person's application for services.

D. The notice shall include information on the person's right to grieve any decision to terminate or deny services.

E. Within ten work days of the notice to terminate or deny services, the Child Safety Worker or responsible agency staff shall contact the person to:

1. Assist the person through the grievance process including the completion and submittal of any required Department forms; or

2. Identify and engage a personal advocate to assist the person through the grievance process, including the completion and submittal of any required Department forms.

F. When termination of services to a foster youth is planned due to one of the reasons outlined in (A)(1-3) of this Section, the Child Safety Worker or responsible agency staff shall schedule a discharge staffing with the foster youth within ten work days of the foster youth's 21st birthday or the Department's receipt of the foster youth's notice to discontinue services to provide any necessary documents not previously provided, such as a birth certificate, social security card, state identification card, credit report, and a copy of the foster youth's health and education records.

G. The Department shall not terminate services for substantial non-compliance under subsection (A)(4) until the Child Safety Worker or responsible agency staff satisfies all responsibilities including:

Staffing of the individual case or service plan;

2. Adhering to the grievance process described in R21-5-209 ; and

Developing and implementing a discharge plan that provides information on available community resources, and connects the person to those resources.

H. Services shall remain in effect until the reasons for termination are resolved or the grievance or appeal process is completed.

I. For Independent Living Subsidy only, if the Department determines that continuation of the Independent Living Subsidy would place the foster youth at risk of immediate harm, the Child Safety Worker or responsible agency staff shall:

Document this fact in the case file progress notes, and

2. Arrange for a safe living arrangement and sufficient support services to reasonably ensure the foster youth's safety in the interim.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Ariz. Admin. Code § R21-5-209 Grievance Process

A. A person eligible for services under R21-5-204 who disagrees with a Department adverse action decision to reduce, terminate, or deny services for that person may:

1. File a grievance under this Section;

2. Choose not to file a grievance and appeal the adverse action under A.A.C. Title 21, Chapter 1, Article 3 by filing a notice of appeal within 20 days after receipt of the adverse action decision reducing, terminating, or denying services; or

3. File a grievance, and if the person is dissatisfied with the results of the grievance process, appeal under A.A.C. Title 21, Chapter 1, Article 3 by filing a notice of appeal within 20 days after receipt of the grievance response letter.

B. In the event that a person disagrees with a Department decision to reduce, terminate, or deny services, the Child Safety Worker or responsible agency staff shall:

Inform the person of the formal grievance process;

2. Provide the person with the Department's grievance form and directions for submittal to the designated Department staff, such as the Department's Ombudsman's Office; and

3. Offer to assist the person in completing and submitting the form, or referring the person to the appropriate Department staff, such as the Department's Ombudsman, for assistance in completing and submitting the form.

C. Upon receipt of the grievance form, the Department shall:

1. Schedule a face-to-face meeting with the person who filed the grievance within seven work days from the date the grievance was received by the Department, or schedule a teleconference if a face-to-face meeting is not possible;

2. Evaluate the grievance to determine if the grievance can be resolved by the Department to the satisfaction of the person;

3. Mail a grievance response letter to the person within three work days of the meeting; and

4. Include an appeal form with the grievance response letter so the person may appeal the adverse action.

D. If the person agrees with the Department's decision to terminate services, the Child Safety Worker or responsible agency staff shall proceed with case closure including completing a discharge plan with the person that includes information on aftercare services and other community based support.

E. The Department shall retain documentation of all grievances in the case file according to the Department's retention schedule.

History

• New section made by exempt rulemaking at 21 A.A.R. 3255, effective 1/24/2016.

Chapter 9 DEPARTMENT OF CHILD SAFETY - ADOPTION AGENCY LICENSING

Article 2 ADOPTION AGENCY LICENSING REQUIREMENTS

Ariz. Admin. Code § R21-5-235 Noncompliance Status: Corrective Action Plan

A. OLR shall place an adoption agency in noncompliance status when an OLR representative observes or receives and validates a complaint in an area that does not endanger the health, safety, or well-being of a client.

B. OLR shall mail the adoption agency written notice of the noncompliance status, the reason for that status, and recommendations for changes the adoption agency can make to cure the identified problem.

C. No later than 14 days following the date of the noncompliance notice, the adoption agency shall provide OLR with a written plan showing how the adoption agency shall correct the problem that resulted in the noncompliance status, with an estimated time-frame in that the adoption agency shall implement the corrective action. OLR may extend the 14-day time-frame when the adoption agency has demonstrated a good faith effort to address and resolve the identified problem.

D. Imposition of a corrective action plan is not appealable.

E. Failure to comply with the requirements of a corrective action plan may result in an adverse licensing action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Chapter 5 DEPARTMENT OF CHILD SAFETY - PERMANENCY AND SUPPORT SERVICES

Article 3 DEPARTMENT ADOPTION SERVICES

Ariz. Admin. Code § R21-5-301 Definitions

In addition to the definitions in A.R.S. § 8-101, the following definitions apply in this Article, Article 4 of this Chapter, and 21 A.A.C. 9:

1. "Adoptable child" means a child who is legally available for adoption but who has not been placed for adoption.

2. "Adoptee" means a child who is the subject of a legal petition for adoption.

3. "Adoption agency" means an individual or entity, including a corporation, company, partnership, firm, association, or society, other than the Department, licensed by the Department to place a child for adoption.

4. "Adoption entity" or "entity" means the Department and includes an adoption agency, but does not include a private attorney who is licensed to practice law in the state of Arizona and who is only assisting in a direct placement adoption to the extent allowed by A.R.S. § 8-130(C).

5. "Adoption placement" or "placement" means the act of placing an adoptable child in the home of an adoptive parent who has filed, or is contemplating filing, a petition to adopt the child.

6. "Adoption Registry" means the electronic database described in A.R.S. § 8-105.

7. "Adoption services" means activities conducted in furtherance of an adoption and includes the activities listed in A.A.C. R21-5-303 and R21-9-201(B).

8. "Adoptive parent" means an individual who has successfully completed the application process and has been certified by the court to adopt. An adoptive parent includes an individual who does not have a child placed in their home.

"Agency placement" means the child is placed in an adoptive home chosen by the adoption agency.

10. "AHCCCS" means the Arizona Health Care Cost Containment System, which is the State's program for medical assistance available under Title XIX of the Social Security Act and state public insurance statutes under A.R.S. Title 36, Chapter 29.

11. "Applicant" means an individual who has applied to become an adoptive parent.

12. "Birth parent" means the biological mother or father of a child.

"Central Registry" means the information maintained by the Department of substantiated reports of child abuse or neglect for the purposes of A.R.S. § 8-804.

14. "Certification application" means the form that an applicant submits to an adoption entity or to the court to request a certification investigation to become certified as an adoptive parent.

15. "Certification investigation" means the process referred to in A.R.S. § 8-105(C) by which an adoption entity determines if an applicant is a fit and proper person to adopt.

16. "Certification order" means a judicial determination that an applicant is acceptable to adopt children.

17. "Certification report" or "adoptive home study" means the written report described in A.R.S. § 8-105, in which an adoption entity summarizes the results of a certification investigation and makes a recommendation for or against certification of an applicant.

18. "Child with special needs" means a child who has one of the special needs listed in A.R.S. § 8-141.

19. "Department" or "DCS" means the Arizona Department of Child Safety.

"Developmentally appropriate" means an action that takes into account:

a. A child's age and family background;

b. The predictable changes that occur in a child's physical, emotional, social, cultural, and cognitive development; and

c. A child's pattern and history of growth, personality, and learning style.

21. "Direct placement" means the child is placed in an adoptive home by the birth parent or legal parent.

22. "Final report to the court" means a written report that includes a social study under A.R.S. § 8-112, in which an adoption entity advises the court of the entity's assessment and recommendations about the finalization of a particular adoption.

23. "Foster parent" means the same as in A.R.S. § 8-501.

24. "ICPC" means the Interstate Compact on the Placement of Children described in A.R.S. § 8-548.

25. "ICWA" means the Indian Child Welfare Act described in 25 U.S.C. 1901 et seq.

26. "Legally available" means a child whose birth or legal parents are deceased, have voluntarily relinquished their parental rights, or whose parental rights have been terminated by the court.

27. "License" means a permission granted by the Department to an adoption agency authorizing the adoption agency to perform adoption services in A.A.C. R21-9-201(B).

28. "Open adoption" means an adoption in which the adoptive parent and the birth or legal parent agree to share varying degrees of each other's personal information for future contact.

29. "Out-of-state agency" means any person or entity that is authorized or licensed by a state other than Arizona, or a foreign country, to perform adoption services.

30. "Placed child" means an adoptable child who has been placed with an adoptive parent, and the adoptive parent has not yet filed a petition to adopt the child.

31. "Placement supervision period" means the time period from the date of adoption placement until the court enters a final order of adoption, during which the adoptive parent has the rights under A.R.S. § 8-113.

32. "Reasonable fee" means

a. A fee commensurate with:

i. The actual cost of providing a specific adoption service or item to a specific individual, or

ii. The average cost of a service or item if the adoption entity routinely uses an averaging method to determine the cost of a particular service or item.

b. A reasonable fee may include reasonable compensation for officers and employees and a reasonable profit margin above actual or averaged costs.

33. "Service plan" means a written document of developmentally appropriate pre-placement and post-placement services necessary to facilitate a child's transition to an adoptive home.

34. "Social study" means the written report described in A.R.S. § 8-112, after a petition for adoption has been filed, where the adoption entity summarizes the results of its investigation, and makes a definite recommendation for or against the proposed adoption and the reasons for that recommendation.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-302 Adoption Registry: Information Maintained; Confidentiality

A. The Department shall maintain and keep current the Adoption Registry with the information required under A.R.S. § 8-105. The Adoption Registry shall include the following current information for each child or adoptive parent listed on the Adoption Registry:

1. The child's availability for adoptive placement,

2. The adoptive parent's certification status,

3. The adoptive parent's availability for adoptive placement, and

4. The type of child the adoptive parent is open to considering for adoption including:

a. Age;

b. Sex; or

c. Special needs.

B. Upon request, the Department shall provide personally identifiable Adoption Registry information to:

1. The court;

2. An adoption agency, including a private attorney;

3. Under a court order, a National or Regional Adoption registry and exchange; and

4. An out-of-state agency.

C. Before providing information, the Department shall obtain, from the person requesting the information, the following:

1. The name and affiliation of the person requesting the information;

2. The reason for the request; and

3. If the requesting party is other than a court representative, a signed statement acknowledging that the information is confidential and promising not to release the information to anyone except as allowed by A.R.S. §§ 8-120, 8-121, and 8-105.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-303 Department Adoption Services

A. The Department provides the following adoption services for families and children in accordance with the limitations and provisions of A.R.S. Title 8, Chapter 1, Article 1:

1. For families:

a. Recruiting adoptive parents;

b. Informing persons interested in adopting a child about the adoption process;

c. Conducting certification investigations of applicants under A.R.S. § 8-105;

d. Preparing certification reports under A.R.S § 8-105; and

e. Submitting the names and profiles of adoptive parents for listing in the Adoption Registry.

2. For children:

a. Accepting adoption consents from birth parents;

b. Preparing non-identifying, pre-placement information on adoptive children for adoptive parents, as required in A.R.S. § 8-129;

c. Submitting the name and profile of an adoptive child for listing in the Adoption Registry;

d. Preparing a child for adoptive placement;

e. Matching an adoptable child with an adoptive parent;

f. Placing an adoptable child in the home of an adoptive parent;

g. Investigating and reporting to the court on the acceptability of an adoptive parent under A.R.S. § 8-105(H);

h. Monitoring an adoption placement during the placement supervision period;

i. Providing services to a child placed for adoption and the adoptive family to assist with adjustment to the adoption placement.

j. Conducting a social study under A.R.S.§ 8-112 and preparing a final report to the court determining suitability of placement; and

k. Assisting an attorney by providing legal documents to enable an adoptive parent to complete the adoption process.

B. When performing adoption services, the Department shall adhere to the standards established for an adoption agency in 21 A.A.C. 9.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-304 Department Procedures for Processing Certification Applications

A. Upon review of a certification application, the Department shall notify the applicant in writing that the application is either complete or incomplete. An application is complete when it contains the information and supporting documentation described in R21-5-404 . If the application is incomplete, the notice shall specify what information is missing.

B. An applicant with an incomplete application has 30 days from the date of the notice to provide the missing information. If the applicant fails to do so, the Department may close the file. An applicant whose file has been closed and who later wishes to apply for certification may reapply.

C. Upon review of a complete application, the Department shall decide whether to accept the application, according to the priority schedule listed in R21-5-305, and the availability of the Department's resources. If the Department cannot accept the application, the Department shall return the original application and all supporting documentation to the applicant. The applicant may reapply.

D. After the Department accepts the completed application, the Department shall provide the applicant written notice of the acceptance. The Department shall complete the certification investigation as specified in R21-5-405 within 90 days of the date of the notice. The Department shall prepare a certification report under R21-5-406.

E. The Department shall process a renewal application under this Section and R21-5-407.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-305 Department Priorities for Receipt of Services

The Department shall accept and process certification applications and render adoption services according to the following priority schedule:

1. An applicant for whom the court has ordered the Department to do a certification investigation and report;

2. An applicant seeking to adopt a particular adoptable child with special needs;

3. An applicant wishing to adopt a child with special needs;

4. An applicant considering adopting a child with special needs; and

5. All other applicants.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-306 Department Recruitment Efforts

The Department shall actively recruit persons to adopt children with special needs by:

Publicizing the need for such adoptive parents;

2. Registering adoptable children, as appropriate, with the Adoption Registry or other local, state, regional and national adoption resources;

Advising prospective adoptive parents of:

a. The availability of children with special needs,

b. The procedures involved in adopting such children, and

c. The support services and subsidies that may be available to persons adopting such children; and

4. Other measures similar to those described in this Section.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-307 Expired

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016. Section expired under A.R.S. § 41-1056(J) at 26 A.A.R. 1322, effective June 3, 2020 (Supp. 20-2).

Ariz. Admin. Code § R21-5-308 Termination of Adoption Services

A. The Department may terminate services to an applicant or adoptive parent when:

1. The adoption is finalized;

2. The applicant or adoptive parent requests closure before receiving a child for placement;

3. The applicant or adoptive parent ceases to be a resident of Arizona before receiving a child for placement;

4. The court declines to certify the applicant or adoptive parent;

5. The applicant or adoptive parent refuses to comply with the requirements in A.R.S. Title 8, Chapter 1, Article 1, or this Chapter, Articles 3 and 4;

The applicant fails to submit a completed certification application within 90 days of the date on which the Department sent the person an application form;

7. The adoptive parent is no longer willing to be an adoptive parent; or.

8. The adoptive parent is no longer certified to adopt.

B. The Department may terminate adoption services to an adoptive child when:

1. The court issues a final adoption order; or

2. The court determines that adoption is no longer the most appropriate case plan for the child, and the Department provides alternate services consistent with the child's new case plan.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Article 4 ADOPTION ENTITY SERVICES

Ariz. Admin. Code § R21-5-401 Definitions

The definitions in R21-5-301 apply in this Article.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-402 Recruitment

A. When recruiting applicants, an adoption entity shall comply with the requirements of this Section.

B. The adoption entity shall conduct recruitment efforts pursuant to a written plan, which shall describe:

1. Specific recruitment goals, including:

a. The number and composition of adoptive parents the entity will serve; and

b. The children the entity will accept for placement and any limitations such as:

i. Age;

ii. Medical special needs;

iii. Developmental special needs;

iv. Mental health; or behavioral health special needs.

2. Methods of recruitment;

3. The number and professional qualifications of staff designated to handle recruitment; and

4. The means by which the adoption entity shall fund the agency's recruitment efforts.

C. The adoption entity's recruitment efforts shall be consistent with the personal characteristics of the children the entity has available for adoption and reasonably expects will become available for adoption through the entity.

D. An adoption entity shall not:

1. Promise to place more children than the adoption entity's prior history shows it can reasonably expect to place;

Promise to place a child in less time than the average waiting period demonstrated by the adoption entity's past practice;

3. Promise adoption subsidy prior to the formal approval and receipt of an adoption assistance agreement that meets the requirements of A.R.S. Title 8 Chapter 1 Article 2; or

4. Make any other statements or promises the entity knows or reasonably should know are false, misleading, or inaccurate.

E. The Department may take an adverse licensing action against an adoption agency that does not comply with this Section.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-403 Orientation: Persons Interested in Adoption

A. Prior to accepting a certification application from a person considering the adoption of a child, or an application for placement from a person who intends to seek a placement through the adoption entity, an adoption entity shall provide the person with an adoption orientation, which shall explain the following:

1. The adoption process, including all legally mandated procedures, and estimated time-frames for completion of such procedures;

2. The adoption entity's policies and procedures that directly affect services to adoptive parents;

3. The adoption entity's fee structure and written fee agreement;

4. The types and number of children the agency typically has had and reasonably expects to have available for adoption placement and the average length of time between certification and placement;

5. The Department's responsibility for licensing and monitoring agencies, and the public's right to register a complaint about an agency as prescribed in 21 A.A.C. 9, Article 2;

6. The function of the Adoption Registry and the adoptive parent's right to decide whether to be included in the Adoption Registry; and

Confidentiality requirements, open adoptions, and the confidential intermediary program described in A.R.S. § 8-134.

B. A person who is already knowledgeable about all or part of the matters listed in subsection (A) may waive orientation on those matters, with the approval of the adoption entity. A person may be knowledgeable due to a prior adoption through an Arizona adoption entity, employment in adoption services, or for other similar reasons.

C. An adoption entity shall maintain written documentation showing that any person who has applied to the entity for certification or for placement of a child has received the orientation described in subsection (A), required by R21-9-227, or has obtained a waiver described in subsection (B). If some or all of the adoption orientation is waived, the adoption entity shall document the matters waived and the reasons for the waiver.

D. An adoption entity shall not charge a person for anything other than a certification application fee, or enter into an adoption fee agreement with a person, until the person has received the orientation in subsection (A).

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-404 Application for Certification

An applicant who wishes to become certified as an adoptive parent shall apply for certification as provided in A.R.S. § 8-105. An adoption entity shall require an applicant to provide at least the following information:

1. Personally identifying information for each prospective adoptive parent, including:

a. Name and date of birth;

b. Social Security number;

c. Race and ethnicity;

d. Physical description;

e. Current address and duration of Arizona residency;

f. Marital history; and

g. The name, address, and phone number of immediate family members, including emancipated adult children;

2. The name, date of birth, and social security number of any person currently residing with the applicant;

3. A listing of the applicant's insurance policies, including:

a. Any insurance that may be available to cover the medical expenses of a birth mother or adoptive child; and

b. The name of the insured, the insurance policy number, and the effective dates of coverage;

4. A current financial statement describing the applicant's assets, income, debts, and financial obligations;

5. A physician's statement as to the applicant's current physical and mental health;

6. A medical and psychological history on the applicant and the applicant's household members. The history may be a declaration by the applicant of past physical and mental illness for the applicant and any household member;

7. The applicant's employment history;

8. The applicant's social history;

9. A statement from the applicant as to the type of child the applicant seeks to adopt and whether the applicant desires to adopt or would consider adopting a child with special needs;

10. Information on the following legal proceedings in which the applicant has been a party:

a. Dependency proceedings,

b. Severance or termination of parental rights proceedings,

c. Child support enforcement proceedings,

d. Proceedings involving allegations of child abuse or neglect,

e. Adoption proceedings, or

f. All criminal proceedings;

11. The applicant's prior history of adoption certification, including prior applications for certification and the dates of any certification denials;

12. Whether the applicant wishes to be listed on the Adoption Registry;

13. A fingerprint card or fingerprints processed through the Court, meeting the requirements of A.R.S. § 41.1758.07 on each applicant and each adult residing in the home more than the age of 18 years; and

14. The names, addresses, and phone numbers of five personal references; two references from family members related to the applicant by blood or marriage, and three other references, who have known the applicant at least two years and who can attest to the applicant's character and fitness to adopt.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-405 Certification Investigation

A. Following acceptance of a completed certification application, the adoption entity shall conduct a certification investigation that includes:

1. Personal interviews with the adoptive family. Such interviews shall:

a. Occur on at least two separate occasions, at least one of which shall be at the adoptive parent's residence;

b. Comprise no less than four hours of in person contact, and at least one hour shall take place at the adoptive parent's residence;

c. Include at least one separate interview with each member of the adoptive parent's household who is more than the age of five; and

d. Include at least one joint interview with both adoptive parents if they are married;

2. Written statements from and personal contact (either a face-to-face meeting or a telephone call) with at least three of the applicant's personal references;

3. An inquiry as to whether the applicant wishes to be listed in the Adoption Registry;

4. Verification of the applicant's financial condition through a review of one or more of the documents listed in subsection (A)(7)(g) below;

5. A request to the Department for a check of the Central Registry to determine if the applicant has a past record of substantiated allegations of child abuse or neglect;

6. An evaluation of the success of the placement of other children adopted by the applicant;

7. A review of any supporting documentation the adoption entity reasonably deems necessary to determine an applicant's fitness to adopt, including:

a. A physician's statement regarding the physical health of other adult household members and the applicant's children living in the home;

b. A statement from a psychiatrist or psychologist regarding the mental health of the applicant and the applicant's other household members;

c. Birth certificates;

d. Marriage certificate;

e. Dissolution of marriage or divorce papers and orders, including child support documentation;

f. Military discharge papers;

g. Financial statements, tax returns, pay stubs, and W-2 statements;

h. Bankruptcy papers;

i. Insurance policy information; and

j. Documentation showing Arizona residency.

B. A person who meets the qualifications listed in 21 A.A.C. 9, Article 2, shall perform the certification investigation and shall document all personal contacts made and all information reviewed and considered during the investigation.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-406 Certification Report and Recommendation

A. Upon completion of the certification investigation, the adoption entity shall prepare a certification report under A.R.S. § 8-105.

B. In determining whether to recommend certification of an applicant, the adoption entity shall consider all factors bearing on fitness to adopt, including, but not limited to:

1. The factors listed in A.R.S. § 8-105;

2. The length and stability of the applicant's marital relationship, if applicable;

3. The applicant's age and health;

4. Past, significant disturbances, or events in the applicant's immediate family, such as:

a. Involuntary job separation,

b. Divorce, or death of spouse, child, or parent, and

c. History of child abuse or neglect;

5. The applicant's ability to financially provide for an adopted child; and

6. The applicant's history of providing financial support to the applicant's other children, including compliance with court-ordered child support obligations.

C. The certification report shall specifically note any instances where an applicant has:

1. Been charged with, been convicted of, pled no contest to, or is awaiting trial, on charges of an offense listed in A.R.S. § 41-1758.07; or

2. Been a party to a dependency, guardianship, or termination of parental rights action.

D. If the report recommends denial of certification, the adoption entity shall send the applicant written notice of the unfavorable recommendation, the reason for the denial, and an explanation of the applicant's right under A.R.S. § 8-105, to petition the court for review. The adoption entity shall mail the notice to the applicant at least five work days prior to filing the certification report with the Court.

E. The adoption entity may notify the adoptive parent of the Court's certification decision if the Court fails to do so.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-407 Renewal of Certification

A. A certified adoptive parent who has not filed a petition for adoption within one year of the original certification order, may apply for an extension of certification, as provided in A.R.S. § 8-105.

B. If the Court directs an adoption entity to investigate a certified adoptive parent who has requested a renewal of certification, the entity shall obtain from the adoptive parent seeking renewal:

1. A copy of the request for renewal of certification;

2. An updated profile of any changes in the certified adoptive parent's social, family, medical, and financial circumstances;

3. New fingerprint clearance per Court requirements, following original certification;

4. A current physical health statement for all members of the adoptive parent's household at least every third year following original certification; and

5. Other information as the Court may request.

C. When investigating a request for a renewal of certification, the adoption entity shall, at a minimum, complete the following:

1. Conduct an in person interview at the applicant's home with the applicant and the applicant's other household members more than the age of five years,

Investigate any change in circumstances described in the request for renewal as necessary to determine continuing fitness to adopt, and

3. Document all actions.

D. Upon completion of the renewal investigation, the adoption entity shall prepare and file with the Court a certification investigation that shall contain a recommendation for or against renewal of certification.

E. If the adoption entity recommends that certification not be renewed, the entity shall send the adoptive parent the notice in R21-5-406(D).

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-408 Communication with Adoptive Parents Awaiting Placement

Upon request, an adoption entity shall inform an adoptive parent awaiting placement of a child of the following:

1. The status of the adoptive parent's case;

2. The number of children the adoption entity currently has available for adoption;

3. The number of times the adoptive parent has been considered for the placement of a child;

4. The number of approved adoptive parents awaiting placement of a child through the adoption entity; and

5. The number of placements the adoption entity made in the prior year, the number of placements the adoption entity has made to date in the current year, and the number of placements the adoption entity anticipates making during the remainder of the current year.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-409 Prohibitions Regarding Birth Parents

An adoption entity shall not:

1. Promise a birth parent that the birth parent shall have future contact with the child or the adoptive parent but may explain the concept of open adoption;

2. Promise a birth parent that the child will be placed with a specific adoptive parent or type of adoptive parent, except in a direct placement adoption. The adoption entity may advise the parent that it will use the entity's best efforts to honor any placement preferences the birth parent may have, to the extent that such preferences are consistent with the best interests of the child;

Promise a birth parent any financial or other consideration prohibited by law; or

4. Do or say anything to coerce or pressure a birth parent to sign a consent to adopt.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-410 Information about Birth Parents

A. Before accepting a child for placement, the adoption entity shall make a good faith effort to obtain the following information described in this Section from the child's birth parent, or person having custody of the child:

1. Information about each birth parent including:

a. Name and any aliases used;

b. Address, phone number, and residential history;

c. Date and place of birth;

d. Social security number;

e. Race, citizenship, and any Native American tribal affiliation or membership;

f. Physical description;

g. Name of current employer and employment history;

h. Educational history;

i. Marital history and status;

j. Record of other births and children born to the birth parent;

k. Hobbies;

l. Future plans;

m. Record of arrests or convictions;

n. Medical, psychological, and substance use history;

o. For the birth mother, history of prenatal care, gestational substance or drug abuse, pregnancy, and delivery;

p. Immediate family relationships; and

q. Significant family events.

2. An explanation of the birth parent's decision to place the child for adoption, the factors that influenced the decision, and a record of any counseling the birth parent received concerning the decision.

3. A record of the birth parent's contact with the child.

4. A statement of the birth parent's feelings about future contact with the child.

5. A list of the birth parent's preferences regarding an adoptive home for the child.

6. Medical or psychological history on the birth parent's own parents, siblings, grandparents, aunts, uncles, and first cousins.

7. Information on the child being surrendered for adoption, as appropriate to the age of the child and the child's:

a. Developmental history,

b. Medical and psychological history,

c. Family background,

d. Educational history, and

e. Membership in or affiliation with any Native American tribe.

8. A listing of the birth parent's insurance policies, including:

a. Any insurance that may be available to cover the medical expenses of the birth mother or adoptive child; and

b. The name of the insured, the insurance policy number, and the effective dates of coverage.

B. The adoption entity shall document all statements and information in a permanent record.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-411 Pre-consent Conference with Birth Parents

A. The adoption entity shall have a pre-consent conference with each birth parent who must provide consent to adoption under A.R.S. § 8-106, to explain in a language and form that each birth parent can understand the following:

1. The legal and practical consequences of executing a consent, including:

a. Applicable ICWA provisions; and

b. The fact that the consent, and all other affidavits executed in connection with an adoption, are executed under penalty of perjury;

2. The irrevocability and inalterability of a consent;

3. The legal prohibition against paying the birth parent to execute a consent;

4. The fact that the birth parent has no obligation to sign the consent; and

5. The provisions of A.R S. § 8-106, regarding an affidavit of any potential father

B. The pre-consent conference shall occur:

1. No earlier than 12 hours after the birth of a child if the conference was not held before the birth under subsection (B)(2);

2. No earlier than 60 days before the anticipated due date, if the conference is held before the child's birth;

3. At least 24 hours before presenting a birth parent with the consent form for signature; and

4. At a time that takes into account the known medical and emotional condition of each available birth parent.

C. The person conducting the pre-consent conference shall provide the birth parent with a sample consent form and shall convey the information described in subsection (A) in a language and form that the birth parent can understand.

D. The person conducting the pre-consent conference shall document that the information was given and understood and shall obtain the birth parent's signature on the documentation. If the conference is by telephone under subsection (E), the person may obtain the signature through the mail at a later date. If the conference is not held, the person shall document the reason under subsection (E).

E. The pre-consent conference may be by telephone and is not required if the birth parent cannot be located or refuses to participate in the conference. The adoption entity shall document the reason why the conference did not occur.

F. If required to obtain a consent from a birth father under A.R.S.§ 8-106, the adoption entity shall, prior to obtaining the birth father's signature, advise the birth father of the matters listed in subsection (A) in a form and language the birth father can understand. The adoption entity shall include the advice listed in subsection (A) on the consent form.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-412 Consent to Adopt; Unknown Birth Parent

A. A person who obtains a birth parent's signature on a consent shall not do so until the person reasonably determines:

1. That the requirements of R21-5-411 have been met;

2. That the birth parent is not acting under duress;

3. That the birth parent is physically and mentally capable of exercising informed consent; and

4. That the birth parent has revealed all information known about the identity and location of the other birth parent.

B. No one shall advise a birth parent to falsely state that he or she does not know the identity or location of the other birth parent.

C. When a birth parent professes not to know the identity or location of the other birth parent, the person taking the consent shall explain the risks and consequences of this response, including the following:

Potential invalidation of the adoption;

2. Potential detriment to the child's social and physical well-being, due to lack of information concerning the unidentified birth parent's social and medical history; and

3. Potential penalties for perjury.

D. When a birth parent knows, but refuses to disclose, the identity or location of the other birth parent, the adoption entity shall advise the birth parent as provided in subsection (C) and shall also explain that the Court may refuse to finalize the adoption.

E. The adoption entity shall document all action taken in compliance with this Section.

F. The adoption entity shall give the birth parent a copy of the consent and retain a copy in the permanent adoption file.

G. The adoption entity shall request a search of the confidential putative fathers registry of information that the Arizona Department of Health Services maintains under A.R.S.§ 8-106.01 when:

1. A birth father's identity is unknown or undisclosed, and

2. The adoption entity believes that a search of the putative fathers registry may prevent disruption of a placement or an adoption.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-413 Adoptable Child: Assessment and Service Plan

A. Prior to selecting an adoptive placement for an adoptable child, the adoption entity shall:

1. Assess the child's medical, psychological, social, and developmental needs;

Design an adoptive family profile consistent with the child's needs and best interests;

3. Develop a written service plan; and

4. Assess whether the child is a potential candidate for an adoption subsidy.

B. The service plan shall, at a minimum, include:

1. Placing the child on the Adoption Registry if there is no adoptive parent readily available to adopt the child;

2. Giving the child a developmentally appropriate explanation of the adoption process.

C. The adoption entity shall provide the child with services in accordance with the child's service plan.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-414 Placement Determination

A. An adoption entity shall have and follow a written policy for making placement recommendations and decisions in both direct placement and adoption placement adoptions.

B. Except as otherwise provided in subsection (C), in an agency placement adoption a team shall make the placement decision. The team shall at a minimum, include:

1. The case manager or person who assessed the adoptable child, and

2. The case manager or person who is knowledgeable about the potential adoptive parents for the adoptable child.

C. In international adoptions, where the case manager or person who assessed the child is out of the country and unavailable, the adoption team shall include the person who is most familiar with the adoptable child's needs.

D. In an agency placement adoption, an adoption entity shall place an adoptable child in the adoptive setting that best meets the child's safety, social, emotional, physical and mental health needs. In determining who can best meet the needs, the adoption entity shall consider ICWA placement preferences if applicable and the following relevant factors in no order of preference:

1. The marital status, length and stability of the marital relationship of the adoptive parent;

2. The family's ability to meet the child's emotional, physical, mental, and social needs;

3. The family's ability to financially provide for the child;

4. The wishes of a child who is 12 years of age or more;

5. Family relationships between the child and the adoptive parent's family members;

6. The placement of the child's siblings;

7. The availability of relatives, the adoptable child's former foster parents, or other significant persons to provide support to the adoptive parent and child;

8. The wishes of the child's birth parent; and

9. All information in the case files of the child and the adoptive parent.

E. The adoption entity shall document the placement decision.

1. For adoptions conducted pursuant to the ICPC, the documentation shall comply with the requirements of the ICPC under A.R.S. § 8-548 et seq.

2. For all other adoptions, the documentation shall include the following:

a. The adoptive child's critical needs and characteristics that weigh most heavily in the placement determination,

b. The names and general characteristics of those adoptive parents who most closely match the child's needs and who are seriously considered for placement, and

c. The reasons why a particular adoptive parent chosen for placement best meets the child's needs.

F. For adoptions not covered by the ICPC, the adoption entity may document the placement decision in a file or placement log that is separate from the clients' case files.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-415 Provision of Information on a Placed Child

After selecting an adoptive placement for a child, and before placing the child with the chosen adoptive parent, the adoption entity shall provide the adoptive parent with all non-identifying information available on the child, including, without limitation, the following:

1. All records concerning the child's medical, psychological, social, legal, family, and educational background;

2. All records concerning the birth parents' medical, psychological, social, legal, family, and educational background;

3. The medical and social background on the child's other immediate family members, including siblings and birth grandparents;

4. The child's plan for adoption services, as described in R21-4-413; and

Information on adoption subsidy that may be available for the child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-417 Placement Services

A. An adoption entity shall make counseling services available to the adoptive parents' family as the entity deems reasonable and necessary to facilitate the child's acceptance into the adoptive parent's family and to preserve stability. The adoption entity may make such services available by advising the adoptive family that such services may be beneficial and referring the adoptive parent and his or her family to community resources and providers.

B. The adoption entity shall make information on adoption related educational and supportive resources available to adoptive parents.

C. The adoptive parent must sign a document stating if he or she is declining any form of adoption counseling.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-418 Post-placement Supervision: Non-foster Parent Placement

A. When a child is placed for adoption with a person who is not the child's foster parent, a case manager from the adoption entity shall visit the home within 30 calendar days of the date of adoptive placement to:

1. Ensure that the adoptive parent received all available non-identifying information from the adoption entity on the child;

2. Address any questions or concerns the adoptive parent or child may have about the adoption process or placement;

3. Ensure that the family has addressed the educational needs of a school-age child; and

4. Ensure that an adoptive parent who works has made appropriate child care arrangements.

B. Following the initial placement visit in subsection (A), a case manager from the adoption entity shall:

1. Visit the adoptive family at least once every three months until the adoption is finalized:

a. Except, when the adoptive child is a child with special needs, the visits shall occur at least once a month; and

b. During the first six months following the initial placement visit, at least alternating visits shall occur at the adoptive family's home;

2. Interview all members of the adoptive family's household during the placement supervision period;

3. Discuss how the child and the adoptive parent's family are adapting, the current relationship among members of the adoptive parent's family, and the following issues with the adoptive parent if appropriate in light of the child's age and development:

a. How the presence of the child has changed familial relationships;

b. How the child and the extended family view each other;

c. The role each family member has assumed regarding child care and discipline;

d. How the adoptive parent is coping with the needs and demands of the placed child;

e. How the child challenges or tests the placement and how the family reacts to these episodes, including any feelings of insecurity about the propriety of the family members' response;

f. How the family perceives the child's sense of identity and the need to fill in gaps in the child's history; and

g. How the child has adjusted to the school environment;

4. If developmentally appropriate, privately interview the child about:

a. The child's feelings about the adoption;

b. How the child and family are adapting; and

c. The child's relationships with the members of the family.

C. The case manager shall document all contacts and communications made under this Section.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-419 Post-placement Supervision: Foster Parent Placement

A. When a foster parent plans to adopt a foster child who is age 5 years or older, a case manager from the adoption entity shall privately interview the child and all members of the adoptive family household who are age 5 years or older about their feelings towards the adoption, before the adoption consent is signed.

B. When a child is placed for adoption with a person who has been a foster parent to the child, a case manager from the adoption entity shall conduct a home visit at least every two months from the time legal consent for adoption has been signed until the finalization of adoption unless the adoptive child is a child with special needs. If the adoptive child is a child with special needs, the case manager shall visit at least once a month.

C. During the visits described in subsection (B), the case manager shall:

1. If developmentally appropriate, privately interview the child to discuss a child's feelings about the adoption; and

2. Interview all members of the adoptive family household, including children, if developmentally appropriate, to discuss, as described in R21-5-418, how the child and family are adapting, and the current relationship among members of the family.

D. The case manager shall document all contacts and communications under this Section.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-420 Protracted Placement

If an adoption is not finalized within two years from the date of consent, and the child is still placed in the adoptive home, the adoption entity handling the adoption shall provide the Department with written documentation explaining the reason why the adoption has not been finalized, no later than 30 calendar days after the two-year period has ended.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-421 Finalizing the Placement

An adoption entity shall cooperate with the adoptive parent and the attorney, if any, retained by the adoptive parent, to finalize the adoption.

1. The entity shall provide all information and documents needed to finalize the adoption and shall file a final written report to the court at least 10 days before the final adoption hearing, or at such other time as the Court may require. The report shall include the information listed in this subsection, unless the entity has already provided this information in an earlier report, and the information has not changed since the earlier report.

a. The name and age of each adoptive parent and the relationship, if any, of each adoptive parent to the child to be adopted;

b. The name, age, and birthplace of the child to be adopted, and whether any or all of this information is unknown to the adoptive parent;

c. The entity or other source from which the adoptive parent received the child to be adopted;

d. The circumstances surrounding the surrender of the child to the entity;

e. The results of the entity's evaluation of the child and of the adoptive parent, including:

i. A description of the care the child is receiving;

ii. The adjustment of the child and parent; and

iii. A summary statement of the entity's recommendation to the court regarding finalization;

f. A full description of any property belonging to the child to be adopted;

2. For children 12 years of age and older, the adoption entity shall solicit and consider the child's wishes concerning adoption.

3. The adoption entity shall notify the AHCCCS Administration of any potential third party payer, as prescribed in A.R.S. § 36-2946, if the entity has not already done so.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016. Amended by final expedited rulemaking at 28 A.A.R. 2479, effective 9/9/2022.

Ariz. Admin. Code § R21-5-422 Placement Disruption

A. When a placement fails, the adoption entity shall provide services, including counseling to the adoptive parent and his or her family and child, to help them cope with the loss and separation.

B. An adoption entity shall have and follow written procedures for an adoptive placement disruption. The procedures shall include:

1. Provision of counseling services to the adoptive parent, his or her family, and the child as needed; and

2. Provision for placement of the child in another adoptive home or other developmentally appropriate living arrangement.

C. The adoptive entity shall document the reasons for the disruption and shall take such information into account when making future placements for the adoptive parent and the child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-423 Confidentiality

Any person or entity who participates in an adoption or provides adoption services shall comply with the confidentiality requirements under A.R.S. §§ 8-120, 8-121, and 36-2903.01.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Article 5 ADOPTION SUBSIDY

Ariz. Admin. Code § R21-5-501 Definitions

In addition to the definitions in A.R.S. §§ 8-141 and 8-501, the following definitions apply in this Article.

1. "Adoption agency" means an individual or entity, including a corporation, company, partnership, firm, association, or society, other than the Department, licensed by the Department to place a child for adoption.

2. "Adoption Specialist" means the Department of Child Safety Specialist, or adoption agency staff person, who is responsible for managing the child's case prior to the adoption finalization.

3. "Adoption subsidy" means the same as A.R.S. § 8-141, and includes nonrecurring adoption expenses under A.R.S. § 8-161 et seq. If the child qualifies, the adoption subsidy may include one or more of the following:

a. Medical, dental, and mental health subsidy;

b. Maintenance subsidy;

c. Special services subsidy; and

d. Reimbursement of nonrecurring adoption expenses.

4. "Adoption subsidy agreement" means the agreement in A.R.S. § 8-144 concerning the Adoption Subsidy Program and includes the agreement in A.R.S. § 8-162 concerning the nonrecurring adoption expense program.

5. "Adoption Subsidy Program" means a unit within the Department of Child Safety that administers the adoption subsidy.

6. "Adoption Subsidy Supervisor" means a Department employee who is responsible for the Adoption Subsidy Program within a defined geographic area, and that the Department has authorized to approve an adoption subsidy agreement.

7. "Adoptive parent" means an adult who the court has certified or approved to adopt a child, or an adult who has adopted a child.

8. "AHCCCS" means the Arizona Health Care Cost Containment System, which is the state's program for medical assistance available under Title XIX of the Social Security Act and state public insurance statutes, A.R.S. Title 36, Chapter 29.

9. "AHCCCS hospital reimbursement system" means the payment structure that AHCCCS uses to pay for inpatient and outpatient hospital services.

"Complete adoption subsidy application" means a packet containing the following:

a. An "Adoptive Family Subsidy Application" form provided by the Department that the adoptive parent, the Adoption Specialist, and Adoption Specialist supervisor have completed and signed; and

b. The supporting documentation and information requested in the "Adoptive Family Subsidy Application."

"Debilitating" means a lifelong, progressive, or fatal condition characterized by physical, mental, or developmental impairment that impedes an individual's ability to function independently.

12. "Department" or "DCS" means the Arizona Department of Child Safety.

"Developmental disability" means the same as A.R.S. § 8-141.

14. "Diagnose" means to identify a physical, psychological, social, learning, or developmental condition or disability according to the accepted standards of the medical, mental health, or educational professions.

"Emergency situation" means a circumstance that, if un-addressed, would be detrimental to a child's life, health, or safety.

16. "Emotional disturbance" means the same as A.R.S. § 8-141.

17. "Lawfully present in the United States" means the child is a U.S. citizen, national, or an alien authorized by an appropriate federal entity or court to be present in the United States.

18. "Legally free" means the parental rights of a child's birth or legal parents have been terminated.

19. "Maintenance subsidy" means a monthly payment paid to a custodial adoptive parent to assist with the costs directly related to meeting some of the adopted child's needs, including child care, health insurance co-payments and deductibles, and supplemental educational services for the adopted child.

20. "Mental disability" means the same as A.R.S. § 8-141.

21. "Nonrecurring adoption expenses" means the same as A.R.S. § 8-161, and are reasonable and necessary expenses directly related to the legal process of adopting a child with special needs. Allowable expenses include adoption fees, court costs, attorney's fees, fingerprinting fees, home study fees, costs for physical and psychological examinations, costs for placement supervision, and travel expenses necessary to complete the adoption.

22. "Physical disability" means the same as A.R.S. § 8-141.

23. "Qualified professional" means a practitioner licensed or certified by the state of Arizona or another state to evaluate and diagnose a condition or disability, or provide medical, dental, mental health services, or approved by the Department to provide educational or respite services.

24. "Sibling relationship" means two or more brothers or sisters who are related by blood or by law, and who are being adopted by the same family.

25. "Special allowance" means funds provided for clothing or personal expenses, therapeutic or personal attendant care, and other specialized payments such as emergency clothing, education, and gift allowances.

"Special needs" means one or more of the following conditions which existed before the finalization of adoption:

a. Physical, mental or developmental disability.

b. Emotional disturbance.

c. High risk of physical or mental disease.

d. High risk of developmental disability.

e. Age of six or more years at the time of application for an adoption subsidy.

f. Sibling relationship.

g. Racial or ethnic factors.

h. High risk of severe emotional disturbance if removed from the care of his foster parents.

i. Any combination of the special needs described in this paragraph. A.R.S. § 8-141.

27. "Special services subsidy" means financial assistance for extraordinary, infrequent, or uncommon needs related to a special needs condition specified in the adoption subsidy agreement.

28. "Standard of care" means a medical or psychological procedure or process that is accepted as treatment for a specific illness, injury, medical, dental, learning, or psychological condition through custom, peer review, or consensus by the professional medical, dental, educational, or mental health community.

29. "Title IV-E" means section 473 of Title IV of the Social Security Act, 42 U.S.C. 673, which establishes the federal adoption assistance program.

30. "Title XIX" means Medicaid, as defined by Section 1900, Title XIX, of the Social Security Act, 42 U.S.C. 1396.

31. "Title XX" means the Social Services Block Grant, as defined by Section 2001, Title XX, of the Social Security Act, 42 U.S.C. 1397.

32. "Undiagnosed pre-existing special need condition" means a physical, mental or developmental disability or emotional disturbance that existed before a court finalized the child's adoption, and that a qualified professional did not confirm before the child's adoption.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-502 Eligibility Criteria

A. The Department shall determine if a child qualifies for the Title IV-E adoption assistance program prior to determining whether the child qualifies for the Adoption Subsidy Program.

B. A child shall qualify for Title IV-E adoption assistance if the child meets the additional eligibility criteria required in 42 U.S.C. 673(a)(2). If the child does not meet the additional criteria in Title IV-E, the child may still be eligible to receive adoption subsidy under subsection (C).

C. An Arizona child shall be eligible for adoption subsidy when the child is:

1. In the care, custody, and control of the Department, or an adoption agency licensed in Arizona, or was previously adopted and received Title IV-E or Arizona adoption subsidy;

2. Legally free for adoption;

3. Lawfully present in the United States; and

Determined to be a child with special needs as defined by Title IV-E of the Social Security Act, and A.R.S. Title 8, Chapter 1, Articles 2 and 3 as follows:

a. The child cannot or should not be returned to the parent's home;

b. The child cannot be placed with adoptive parents without an adoption subsidy due to a special need of the child; and

c. A reasonable but unsuccessful effort was made to place the child without an adoption subsidy, unless the Department determined that it was not in the child's best interest to place the child with another family because of the child's significant emotional ties with the prospective adoptive parent while in their care as a foster child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-503 Application for Adoption Subsidy

A. The adoptive parent shall submit a complete adoption subsidy application to the Department Adoption Subsidy Program prior to the finalization of the adoption. A complete adoption subsidy application shall include the following:

The child's:

a. Name;

b. Date of birth;

c. Social Security Number; and

d. Ethnicity;

2. The adoptive parents':

a. Name;

b. Date of birth;

c. Social Security Number;

d. Ethnicity;

e. Marital status;

f. Occupation;

g. Relationship to the child;

h. Adoption certification status;

3. Information about:

a. The child's special needs;

b. Whether the child is lawfully present in the U.S.;

c. The Department or the adoption agency that has custody of the child;

d. Whether the child is free for adoption;

e. Efforts to place the child for adoption without adoption subsidy;

f. Resources for which the child is eligible; and

g. Financial benefits for which the child is eligible; and

4. Description of:

a. The child's pre-existing special need conditions;

b. The need for maintenance payments; and

c. Nonrecurring expenses.

5. The adoptive parent shall include the following documentation:

a. The child's specific special need identified by a qualified professional;

b. The child's need for a maintenance subsidy from:

i. The adoptive parent,

ii. Adoption Specialist, and

iii. A qualified professional;

c. The child's lawful presence in the United States if the child is not a U.S. citizen;

d. The child's pre-existing medical, dental, and mental health conditions as documented by a qualified professional:

i. Current within one year, or

ii. Provided in birth records; and

6. Assurances that the following information is available in the adoption case record:

a. The Department or adoption agency that has custody of the child,

b. That the child is free for adoption, and

c. Efforts to place the child for adoption without adoption subsidy.

B. An adoption subsidy application is complete when the Adoption Subsidy Program receives the application and all supporting documentation. Documentation may vary according to the conditions of the child, and may include the recommendations of qualified professionals.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-504 Eligibility Determination

The Department shall review the adoption subsidy application and determine eligibility according to the following:

1. The Department shall approve eligibility for adoption subsidy if a child meets the eligibility criteria listed in R21-5-502 and the adoptive parent submits a complete application. If the Department approves eligibility, the Department shall create an adoption subsidy agreement that the adoptive parent and the Adoption Subsidy Supervisor or designee shall sign before the court enters the final order of adoption.

2. The Department shall deny eligibility for an adoption subsidy if a child does not meet the eligibility criteria listed in R21-5-502 . If the Department denies an adoption subsidy, the Department shall send a notice to the adoptive parent that explains the reason for denial, the applicant's right to appeal, and the time-frame to file an appeal.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-505 Adoption Subsidy Agreement

A. The Department shall create an adoption subsidy agreement that lists the scope and nature of the subsidies provided, including:

1. The child's documented pre-existing special needs condition,

2. The types of subsidy approved,

3. The amount or rates as applicable to the types of subsidy approved, and

The specific terms and conditions of the agreement.

B. The adoption subsidy agreement shall become effective if the following occurs prior to the finalization of the adoption:

1. The adoptive parent signs the agreement and returns it to the Department Adoption Subsidy Program, and

2. The Adoption Subsidy Supervisor or designee signs the agreement.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-506 Medical, Dental, and Mental Health Subsidy

Adoption subsidy provides medical, dental, and mental health subsidies in the form of federal Medicaid coverage to a child in the Adoption Subsidy Program.

1. If the child resides in Arizona, AHCCCS determines eligibility; or

2. If the child resides in another State, the relevant state agency in that state determines Medicaid eligibility.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-507 Maintenance Subsidy

A. The maintenance subsidy may not cover all the daily living expenses of the adopted child. The Department and the adoptive parent shall negotiate the amount of maintenance subsidy based on a child's current special needs and the family's circumstances.

1. Under A.R.S. § 8-144(B), the amount of the maintenance subsidy shall not exceed the payments allowable for foster care, not including foster care special allowances.

2. The Department shall deduct private or public monetary benefits, such as benefits received through Title II of the Social Security Act, paid to the child from the monthly maintenance subsidy, as allowed under state or federal law. The adoptive parent shall report the receipt of any private or public monetary benefits for the child to the Adoption Subsidy Program as soon as the benefits are received.

B. Payment of Maintenance Subsidy

1. The Department shall not begin maintenance subsidy payments prior to the effective date of the adoption subsidy agreement.

2. The Department shall issue maintenance subsidy payments monthly to the adoptive parent as specified in the adoption subsidy agreement.

C. Renegotiation of the Maintenance Rate

1. The Department or the adoptive parent may initiate a change in the maintenance subsidy rate if there are changes in the child's needs.

2. The Department may renegotiate the amount of the adoption subsidy; however, the rate shall not exceed the payments allowable for foster care, not including foster care special allowances.

3. The adoptive parent shall provide the Department with documentation supporting the requested change in the maintenance subsidy rate.

4. If the child is in the care or custody of a state agency in Arizona or any other state, an adoption agency, or an individual other than the adoptive parent, the Department shall request, and the adoptive parent shall provide, documentation that the adoptive parent continues to be legally and financially responsible for the child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-508 Special Services Subsidy

A. Special services subsidy shall be:

1. Related to a special needs condition listed in the adoption subsidy agreement; and

2. Necessary to improve or maintain the adopted child's functioning as documented by an appropriate qualified professional. The Adoption Subsidy Program shall review the documentation at least annually.

B. Services approved for the payment of special services subsidy shall be:

1. Provided by a qualified professional;

2. Provided in the least restrictive environment and as close as possible to the adoptive parent's residence;

3. In accordance with the "Standard of Care"; and

4. Not otherwise covered by or provided through maintenance subsidy, medical subsidy, dental subsidy, mental health subsidy, or other resources for which the adopted child is eligible.

C. The adoptive parent shall submit the special services request to the Adoption Subsidy Program and receive approval from the Adoption Subsidy Program prior to the adoptive parent's incurring the specified expense. The request shall include:

1. Documentation from a qualified professional that the service is necessary; and

2. Documentation that the adoptive parent had requested the service and the service provider had denied the request or documentation that the service is not available from other potential funding sources, such as AHCCCS/Medicaid, private insurance, school district, or other community resources.

D. Special services subsidy shall not include:

1. Payment for services to meet needs other than the pre-existing special needs conditions specifically listed in the adoption subsidy agreement;

Payment for medical or dental services usually considered to be routine, such as well-child checkups, immunizations, and other services not related to the child's special needs conditions in the adoption subsidy agreement;

3. Payment for health-related services that are not medically necessary, as determined by a qualified professional;

4. Payment for social or recreational services such as routine child care, dance lessons, sports fees, camps, and similar services; and

5. Payment for educational services that are not necessary to meet the special needs conditions specifically listed in the adoption subsidy agreement, or the services for which the school district is responsible.

E. The Department may request an independent review by a qualified professional of a special services request to determine the necessity for medical, dental, psychological, or psychiatric testing or services, or to evaluate the appropriateness of the treatment plan or placement.

F. The Department may issue reimbursements to the adoptive parent for approved special services, or the Department may pay the service provider directly.

G. Special services subsidy reimbursement is limited as follows:

1. The Department shall reimburse in-state and out-of-state inpatient and outpatient hospital services according to the AHCCCS hospital reimbursement system, as required by A.R.S. § 8-142.01(A), if the adoptive parent has obtained prior approval for the service from the Department. Prior approval is not required in an emergency situation.

2. The Department shall not reimburse special services subsidy amounts in excess of the rates allowed by the Department or AHCCCS. The Department shall use the lowest applicable rates as established by AHCCCS, the Department's Comprehensive Medical and Dental Program (CMDP), or rates established by the Adoption Subsidy Program to be customary and reasonable.

3. The Department shall not pay for requests that the adoptive parent or provider submits more than nine months after the date of service for which the adoptive parent or provider requests payment.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-509 Nonrecurring Adoption Expenses

A. Nonrecurring adoption expenses shall not cover expenses related to visiting and placing the child.

B. Reimbursement of nonrecurring adoption expenses is subject to the limitations in A.R.S. § 8-164.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-510 Annual Review; Reporting Change

A. Each year, the Department shall send a review form to the adoptive parent requesting that the adoptive parent provide:

1. Information indicating that the parent remains legally and financially responsible for the child;

2. Information on any change in benefits for the child, such as benefits received through Title II of the Social Security Act;

3. Information on any change in circumstances, including changes in residence, marital status, educational status, or other similar changes; and

4. A description of any changes in the child's special needs conditions that are listed in the adoption subsidy agreement.

B. The adoptive parent shall provide the Department with the requested information within 30 days of the adoptive parent's receipt of the review form.

C. The adoptive parent shall notify the Department in writing within five calendar days when any of the following occurs:

1. The adoptive parent is no longer legally responsible for the child;

2. The adoptive parent is no longer providing support to the child;

3. The child is no longer residing in the adoptive parent's home;

4. The child has graduated from high school or obtained a general equivalency degree (GED);

5. The child has married;

6. The child has joined the military; or

7. The child dies.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-511 Termination of Adoption Subsidy

The Department shall terminate an adoption subsidy when any of the following occurs:

1. The child turns 18 years old and is not enrolled in and attending high school or a program leading to a high school diploma or general equivalency degree (GED);

2. The child is aged 18 through 21 years, has been continuously enrolled in school, and either drops out of school, graduates from high school, or obtains a general equivalency degree (GED);

3. The child turns 22 years old;

4. The adoptive parent is no longer legally responsible for the child;

5. The adoptive parent is no longer providing support to the child;

6. The child marries;

7. The child joins the military;

8. The special needs conditions of the child no longer exist;

9. The child dies;

10. The adoptive single parent or both adoptive parents die; or

11. The adoptive parent requests termination.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-512 New or Amended Adoption Subsidy Agreement

An adoptive parent may apply for a new or amended adoption subsidy agreement after the adoption is final, only upon documentation of an undiagnosed pre-existing special needs condition that existed before the finalization of the adoption.

1. The adoptive parent shall send the Department a written request for adoption subsidy with documentation from a qualified professional diagnosing the special needs condition and confirming that it existed before the final order of adoption.

2. The adoptive parent and the Department shall follow the procedures in this Article for processing applications and determining eligibility.

3. If the Department finds that the child has an undiagnosed pre-existing special needs condition that, if diagnosed prior to the adoption, would have met the eligibility criteria listed in R21-5-502, the Department shall grant a new subsidy or amend the adoption subsidy agreement to cover this special needs condition.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-513 Appeals

Appeals for the Adoption Subsidy Program shall follow the process in 21 A.A.C. 1, Article 3.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Ariz. Admin. Code § R21-5-514 Confidentiality

The Department shall maintain the confidentiality of all information used in the Adoption Subsidy Program according to all applicable federal and state laws.

History

• New section made by exempt rulemaking at 21 A.A.R. 3256, effective 1/24/2016.

Chapter 6 DEPARTMENT OF CHILD SAFETY - FOSTER HOME LICENSING

Article 1 DEFINITIONS

Ariz. Admin. Code § R21-6-101 Definitions

The definitions contained in A.R.S. § 8-501 and the following definitions apply when used in this Chapter.

1. "Adult" means any person 18 years of age or older.

2. "Adverse licensing action" means a decision by OLR to deny, suspend, or revoke a license.

3. "Appeal" means the legal right of an applicant to contest an adverse licensing action.

4. "Applicant" means an individual or married couple, unless excepted under R21-6-408, who submit an application for a license as a foster home.

"Application" means the documentation and information required by the OLR to evaluate an applicant for a license and includes the application form completed via the Department's electronic database to initiate the licensing process. The application authorizes the licensing agency and the OLR to conduct assessments and investigations to verify qualifications and compliance with licensing requirements.

6. "Careful and sensible judgment" means the use of decisions and actions that maintain the health, safety, and well-being of a foster child.

7. "Central Registry" means the information maintained by the Department of substantiated reports of child abuse or neglect for the purposes of A.R.S. § 8-804.

8. "Child" means any person less than 18 years of age.

9. "Child developmental home" means the same as A.R.S. § 36-551(11). The DES Division of Developmental Disabilities (DDD) licenses these types of residences to care for a child with a developmental disability in a family setting.

10. "Child Placing Agency" means the same as A.R.S. § 8-501(A)(1)(iii):

(iii) Any agency maintained by this state, a political subdivision of this state or a person, firm, corporation, association or organization to place children or unmarried mothers in a foster home.

"Child Safety Worker" means the same as A.R.S. § 8-801.

12. "Corrective action" means a plan specified by the OLR for a foster parent to remedy the violation of a licensing requirement within a specified time-frame.

13. "Criminal record self-disclosure" means a person's statement made under penalty of perjury, using the form approved by the OLR, attesting to whether the person:

a. Has a record of any arrests, convictions, or pending indictments;

b. Has committed a crime specified in the Arizona Revised Statutes as a precluding crime for the issuance of a fingerprint clearance card meeting Level One requirements; or

c. Is a registered sex offender.

14. "DCS Report" means the same as "report for investigation" in A.R.S. § 8-201(30).

15. "Department" or "DCS" means the Arizona Department of Child Safety

"DES" means the Arizona Department of Economic Security.

17. "Developmentally appropriate" means:

a. The activities or items that are generally accepted as suitable for children of the same chronological age or level of maturity or that are determined to be developmentally appropriate for a child, based on the development of cognitive, emotional, physical and behavioral capacities that are typical for an age or age group; and

b. In the case of a specific child, activities or items that are suitable for the child based on the developmental stages attained by the child with respect to the cognitive, emotional, physical, and behavioral capacities of the child.

18. "Developmental Disability" means the same as in A.R.S. § 36-551.

19. "Fingerprint clearance card" means the card issued by the Arizona Department of Public Safety (A.R.S. §§ 41-1758 et. seq.) certifying that the person named on the card does not have a state or federal criminal history record containing an offense specified as a precluding crime in A.R.S. Title 41, Chapter 12.

20. "Firearm" means any loaded or unloaded handgun, pistol, revolver, rifle, shotgun, or other weapon that will expel, is deigned to expel, or may be readily converted to expel a projectile by the action of an explosive.

"Fitness" means the ability of an applicant or foster parent to:

a. Provide a safe and nurturing environment for a foster child; and

b. Comply with the foster home licensing requirements.

22. "Foster care" means care and supervision provided to a child who is in the custody of the state.

23. "Foster child" means a person less than 18 years of age who is receiving foster care. "Foster child" is further defined under A.R.S. § 8-501(4). For the purpose of this Chapter, "foster child":

a. Includes a young adult less than 21 years of age who continues to reside in a foster home under a written individual case plan agreement for out-of-home care, or under the Independent Living Program defined in A.R.S. § 8-521;

b. Includes a child with a Developmental Disability placed by the Department in a child developmental home;

c. Does not include a young adult who has returned to a foster home under the Transitional Independent Living Program defined in A.R.S. § 8-521.01; and

d. Does not include the birth or adopted child, of an applicant, foster parent, or other household member.

24. "Foster home" means a residence where a foster parent lives and includes a detached home, all structures, and the entire premises belonging to the home, including apartments, guest homes, garages, sheds, and motorhomes. "Foster home" is further defined under A.R.S. § 8-501.

25. "Foster parent" means an individual, or married couple, who provides foster care with a license from the OLR. "Foster parent" is further defined under A.R.S. § 8-501.

26. "Group foster home" means a class of foster home in which the licensed foster parent is certified to provide care to more than five but not more than 10 foster children at a time. "Group foster home" is further defined under A.R.S. § 8-501.

27. "Guardian" means a person who is authorized by law to have the care and custody of a child.

28. "Hazard" means a condition or situation that may cause or result in physical injury or illness to a child.

29. "Health self-disclosure" means an adult household member's declaration, using the form approved by OLR attesting to the person's physical, medical, and emotional health. The health-self disclosure:

a. Identifies any past or present:

i. Major illness;

ii. Communicable disease;

iii. Surgery;

iv. Drug or substance abuse problem or treatment; and

v. Other medical, physical, or mental health condition or treatment; and

b. Identifies all medications, treatments, adaptive equipment, or other accommodations used to reduce or eliminate any medical, physical, or mental health conditions.

30. "Home" means the residence where a foster parent lives. "Home" may be used interchangeably with "foster home."

31. "Home and Community Based Services" or "HCBS" means the same as in R6-6-1501 . The DES Division of Developmental Disabilities (DDD), Office of Licensing, Certification, and Regulation (OLCR) rules on HCBS are in 6 A.A.C., Chapter 6, Article 15.

32. "Household" means all children and adults living in a foster parent's home.

33. "Household member" means any individual who lives or intends to live in the foster home or on the premises, for 30 consecutive days or more, or periodically throughout the year for a total of 30 non-consecutive days or more. "Household member":

a. Includes the applicant, licensee, housemates, tenants; children of the applicant, licensee, housemates, or tenants; and adults participating in the Transitional Independent Living Program defined in A.R.S. § 8-521.01; and

b. Does not include a foster child, an adult with a Developmental Disability, or young adult who resides in a foster home under a written agreement with the Department for continued care or under the Independent Living Program defined in A.R.S. § 8-521.

34. "Individual Family Service Plan" or "IFSP" means a written statement of services and supports to be provided to a child and the child's family for children less than the age of three years who are eligible for the Arizona Early Intervention Program (AzEIP) to enhance the capacity of families and care givers to support the child's development and engagement and participation in everyday routines and activities.

35. "In-home respite foster parent" means an individual licensed to provide respite care in a licensed foster home, which is not that individual's own home.

36. "Kinship care" means that the care and supervision of a foster child in a foster home is provided by a relative or an individual who has a significant relationship with the child.

37. "Lawfully present" means that an individual is a United States citizen or national or an alien authorized by an appropriate federal entity or court to be present in the United States.

38. "License" means the permission granted by OLR, to legally operate a foster home and includes an initial, renewal, and amended license.

39. "Licensee" means the individual or married couple who is approved by OLR to be licensed as a foster parent.

40. "Licensing agency" means an entity, which may include a licensed Placing Agency the Department contracts with to recruit and train foster parents and monitor a licensed foster home.

41. "Licensing decision" means the issuance, denial, suspension, revocation of, or amendment to a license by OLR in response to the receipt and review of:

a. An application for initial or renewal licensure,

b. An application to amend a license, or

c. A complaint or investigation conducted according to R21-6-418.

42. "Licensing record" means the information maintained by a licensing agency or by the OLR, for the purpose of documenting the fitness of and compliance with licensing requirements, laws, and rules of an applicant or foster parent.

"Licensing requirements" means the rules specified in this Chapter and Chapter 8 of this Title.

44. "Life Safety Inspection" means an examination of a family foster home by OLR to verify compliance with standards intended to safeguard a foster child from fire and other hazardous conditions.

"Lock" means a device operated by a key, combination, magnet, keycard, or other tool to safeguard medications, swimming pools, weapons, and highly toxic substances.

46. "Medically complex foster home" means a class of foster home in which the licensed foster parent is certified to provide care to a foster child identified by the Department as requiring special care for medically complex needs.

47. "Medical professional" means a doctor of medicine or osteopathy, physician's assistant, or registered nurse practitioner licensed in A.R.S. Title 32, or a doctor of medicine licensed and authorized to practice in another state or foreign country. A medical professional from another state or foreign country must provide verification of valid and current licensure in that state or country.

48. "Medication" means both prescription and over-the-counter remedies.

"Mobile home" means a trailer that is mounted on wheels or a platform with utility connections exposed under the trailer.

50. "Need to know" means the legitimate requirement of a person or organization to know, access, or possess confidential or personally identifiable information that is critical to carry out official duties or to provide services to the child.

51. "OCWI Investigator" means a DCS Investigator who is assigned to the Office of Child Welfare Investigations, and whose primary duties and responsibilities are prescribed in A.R.S. § 8-471.

52. "Office of Licensing and Regulation" or "OLR", means the administration within DCS that is responsible for reviewing and evaluating applications for licensure; supervising and monitoring licensees; and completing all official licensing actions, including issuing, denying, amending, suspending, and revoking a license.

53. "Physical punishment" means the deliberate infliction of pain or discomfort to a person.

54. "Physical restraint" means the same as A.R.S. § 8-501(A)(14)(b)(iii).

55. "Physician's Statement" means information on the physical, emotional, and mental health of any adult household member, providing care for a foster child, using a form approved by OLR. The statement shall:

a. Be based on an examination by a medical professional,

b. State whether the household member has a condition that could interfere with the provision of safe care and supervision to a foster child, and

c. Include a completed health self-disclosure by the household member.

56. "Placement" means the act of finding an appropriate foster home for a foster child and putting the foster child in that foster home.

57. "Placement agreement" means a written arrangement between a licensee and a Child Placing Agency as specified under R21-6-323.

58. "Placement packet" means documents containing key information needed for a foster parent to understand the needs of the foster child, including medical records and school records.

59. "Pool" means any natural or man-made body of water located at a foster home or on its premises that:

a. Could be used for swimming, recreational, therapeutic, or decorative purposes;

b. Is greater than 18 inches in depth; and

c. Includes swimming pools, spas, hot tubs, fountains, and fishponds.

60. "Positive discipline" means a teaching process through which a child learns to develop and maintain the self-control, self-reliance, self-esteem, and orderly conduct necessary to assume responsibilities, make daily living decisions, and live according to generally accepted levels of social behavior.

61. "Premises" means:

a. The home; and

b. The property surrounding the home that is owned, leased, or controlled by the applicant or licensee.

62. "Protective services registries" means the Central Registry and the Adult Protective Services Registry.

63. "Public school" means a school, including a charter school, that is maintained at public expense for the education of the children of a community or district and that constitutes a part of a system of free public education commonly including primary and secondary education.

64. "Reasonable and prudent parenting standard" means the practice of making careful and sensible parental decisions that maintain the health, safety, and best interests of a foster child while at the same time encouraging the emotional and developmental growth of the child when determining whether to allow the child to participate in extracurricular, enrichment, cultural, and social activities.

65. "Receiving foster home" means a class of foster home in which the licensed foster parent is certified to receive a foster child with limited notice and for a limited period of time.

66. "Relative" means an individual who is related by blood, marriage, or adoption to the foster child. For American Indian and Alaska Native children, "relative" could also include a tribally defined extended family relationship.

67. "Respite care" means the provision of temporary care and supervision of a foster child to relieve a foster parent from the duty to care for the foster child for a limited period of time.

68. "Safeguard" means to take reasonable measures to eliminate the risk of harm to a foster child. Where a specific method is not otherwise prescribed in this Chapter, safeguarding may include:

a. Locking up a particular substance or item;

b. Putting a substance or item out of reach of a foster child;

c. Erecting a barrier that prevents a foster child from reaching a particular place, item, or substance;

d. Using protective safety devices; or

e. Providing supervision.

"Service Team" means a group of persons brought together to ensure the best care for a foster child and at a minimum, includes a child age 14 years and older, staff from the Department, and the licensing agency.

70. "Sibling" means brothers and sisters by birth or adoption, stepbrothers, stepsisters, half-brothers, and half-sisters.

71. "Skirting" means the barrier around the base of a mobile home that is intended to protect utility connections from damage or unauthorized contact.

72. "Slip-resistant surface" means flooring that provides friction to help prevent falls when the surface is wet. A slip-resistant surface may be achieved by rippling or corrugating the surface, applying textured strips, installing a secured carpet, using rubber mats, and other similar measures.

"Smoking" means burning or vaporizing tobacco products or other substances in a cigarette, cigar, pipe, electronic cigarette, or by means of equipment to inhale and exhale the smoke or vapor.

74. "Specialized service" means a higher level of skill, training, and experience required for certification as a Group, Medically Complex, Therapeutic, or Receiving foster home.

75. "Stability" means having the necessary resources, surroundings, temperament, and demeanor to maintain a safe, steady, and consistent home environment for a foster child.

76. "Statement of Understanding" means a signed document completed by an applicant or foster parent confirming the person has read, understands, and agrees to comply with all applicable laws, rules, and regulations relating to the operation of a foster home.

77. "Substantial compliance with licensing requirements" means that the nature and number of violations of licensing requirements are not significant and:

a. Do not pose a risk to the life, health, safety, or welfare of a child receiving care;

b. Do not constitute a pattern of noncompliance or a failure to implement required corrective action; and

c. Are not the result of misrepresentation, falsification, or fraud by the applicant or foster parent.

78. "Therapeutic foster home" means a class of foster home in which the care is provided by a foster parent who has received specialized training to provide care and services within a support system of clinical and consultative services to children with behavioral health needs.

79. "Trigger locked" means a method to render a firearm temporarily or permanently inoperable by blocking the firing or discharge mechanism for the firearm with a locked device.

80. "Weapon" means a firearm, bow and arrows, or other device or instrument, which in the manner it is used or intended to be used is capable of inflicting serious bodily injury, or causing death.

81. "UL approved" means a safety certification mark of a Nationally Recognized Testing Laboratory (NRTL), such as UL (Underwriters Laboratories) or ETL (Electro Technical Laboratory) on an electronic device.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Article 2 LICENSING AGENCY REQUIREMENTS FOR FOSTER HOME LICENSING AGENCIES

Ariz. Admin. Code § R21-6-201 Minimum Qualifications for an Applicant

The licensing agency shall ensure the right of any individual or married couple to apply for a foster home license, regardless of gender, race, religion, political affiliation, national origin, disability, or sexual orientation, if the applicant meets the minimum qualifications specified under Chapter 6 of this Title.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-202 Professional Judgment

The licensing agency shall use professional judgment in all recommendations made and inquiries conducted in the course of licensure. "Professional judgment" means an objective and thorough analysis based on:

1. Commonly accepted industry standards and practices for the regulation of care for children;

2. Knowledge and experience in accordance with contractual requirements;

Interviews, assessments, observations, references, and documented sources of verifiable information; and

Knowledge of laws, rules, and guidelines for providing foster care.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-203 Conflicts of Interest

A. The licensing agency shall adopt a written code of ethics regarding conflicts of interest.

B. The licensing agency shall assign the following duties for any conflicts of interest other than those listed in subsection (C) to an impartial party, such as a neutral employee or another licensing agency.

1. The home study and assessment responsibilities as described under R21-6-206 ; and

2. Licensing complaints as described under R21-6-221.

C. The licensing agency shall not accept as an applicant a person who is:

1. An employee of the licensing agency, a service provider, a contractor, or a major donor; or

2. Related by blood or marriage to an employee of the licensing agency. For the purpose of this subsection, relatives include the biological, adoptive, or step:

a. Child,

b. Grandchild,

c. Parent,

d. Parent of spouse,

e. Grandparent,

f. Grandparent of spouse,

g. Sibling,

h. Sibling of spouse,

i. Aunt, or

j. Uncle.

D. A licensing agency that has a conflict of interest at the time this Article is published in the Arizona Administrative Register shall have 90 days to transfer cases to an alternative licensing agency that does not have a conflict of interest under subsection (C).

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-204 Rights of the Applicant and Foster Parent

A. In addition to the inspection and due process rights specified under A.R.S. § 41-1009, the licensing agency shall ensure that each applicant and foster parent is informed of and afforded the rights specified under this Section. OLR may request that the licensing agency submit the notice used by the licensing agency to OLR.

B. The licensing agency shall ensure that a foster parent or applicant is permitted to access their licensing record as follows:

1. Upon written request, a foster parent or applicant shall have the right to access their complete licensing record, except as provided in subsection (C); and

2. A foster parent or applicant shall have the right to provide a written response to findings and comments in the home study, investigative reports, and any correspondence, with the exception of the items listed in subsection (C).

C. The licensing agency shall not release the following information to a foster parent or applicant:

1. Information supplied by confidential references during the licensing process;

2. Information protected from secondary dissemination under state or federal law, including investigations and DCS Reports of alleged child abuse or neglect; and

3. The names of persons and organizations identified as sources in a licensing complaint or DCS investigation or DCS Report of alleged child abuse or neglect.

D. A licensing agency shall make a diligent effort to work with an applicant or foster parent. If however, the parties determine they cannot continue to work together, the licensing agency shall assist the foster parent or applicant to find another licensing agency and transfer their licensing record to the new agency under R21-6-215(C) .

1. If it is the licensing agency that determines that it cannot work with a foster parent or applicant, the licensing agency shall notify the foster parent or applicant in writing specifically listing the reasons the licensing agency cannot work with the foster parent or applicant and assist the foster parent or applicant to find another licensing agency and transfer their licensing record to the new agency under this subsection (D); or

2. If the foster parent or applicant does not meet the minimum qualifications for licensure under R21-6-401, the licensing agency shall notify the foster parent or applicant in writing specifically listing the reasons, the applicant or foster parent fail to meet the minimum qualifications.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-205 Licensing Agency Responsibility; Application for an Initial Foster Home License

A. When an applicant meets the minimum qualifications specified under R21-6-401, the licensing agency shall provide the assistance needed to submit the application for initial licensure via the Department's electronic database.

B. The licensing agency shall ensure that the application for an initial license contains, at minimum, information specified under R21-6-403.

C. The licensing agency shall provide OLR with signed verification that the applicant has provided proof of income and resources and:

1. Criminal record self-disclosure for each adult household member;

2. Valid Level One fingerprint clearance cards for each adult household member, as necessary; specified in A.R.S. § 8-509;

3. Health self-disclosure completed by each adult household member;

Physician's statement for the foster parent, applicant, and any other adult household member who will provide care or supervision to the foster child;

5. Proof or current training in cardiopulmonary resuscitation (CPR) and first aid;

6. Current immunization record available for each child household member. In accordance with A.R.S. § 8-509(I), the lack of updated or available immunization records will not prohibit licensure, but may be grounds for restricting the license to prevent the placement of infants, young children, and medically complex children;

7. Valid Arizona driver's license for each household member who transports a foster child, or a transportation plan in place in the absence of a valid Arizona driver's license.

8. Current registration and insurance card for each vehicle that belongs to a household member and may be used to transport a foster child; and

The Statement of Understanding, as defined under R21-6-101(76).

D. The licensing agency shall ensure that the application for an initial license includes the home study and assessment specified under R21-6-206 and the agency signature page.

E. The licensing agency shall submit the information required in this Section to the licensing authority no later than 30 days from receipt of all information required by this Section.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-206 Licensing Agency Foster Home Study and Assessment

A. The licensing agency shall enter the home study via the Department's electronic database.

B. To assess the applicant and write the initial home study, the licensing agency shall:

1. Conduct interviews with each household member, including each child household member, if appropriate to the child's age and developmental level, on at least:

a. Two occasions in the applicant's home;

b. One occasion with each applicant, individually; and

c. One occasion with applicants, jointly, if:

i. Applicants are married; or

ii. Another adult household member is applying for a license or is currently licensed;

2. Complete reference checks as follows:

a. Obtain written statements via postal mail, electronic mail, or on the form supplied by OLR, from at least five reference sources identified by the applicant;

b. Ensure that no more than two references are from relatives; and

c. Make personal contact, either in a face-to-face meeting or via telephone, with at least one of the reference sources identified by the applicant;

3. Provide the applicant with the required forms and information to apply for a Level One fingerprint clearance card;

4. Request Central Registry record checks for each adult household member for Arizona and from each state these individuals resided in during the previous five years;

5. Ensure completion of all required training by the applicant;

6. Ensure the applicant has the proper equipment required by this Chapter, such as age-appropriate beds, for each foster child at the time of placement;

7. Visit the applicant's home and provide information to help the applicant prepare for the Life Safety Inspection to be conducted by OLR throughout the home and premises.

8. Request a Life Safety Inspection for the applicant's home and verify any corrections made, if applicable; and

9. Work with each household member to assemble information for self-assessments, using the forms approved by OLR.

C. The home study shall include a summary of self-assessments, interviews, and observations evaluating the applicant's fitness for licensure, including:

1. Motivation and expectations for becoming a foster parent;

2. Commitment to the care and supervision of a foster child;

3. Parenting skills and ability to use a reasonable and prudent parenting standard characterized by a careful and sensible parental decisions that maintain the health, safety, and best interests of a foster child while at the same time encouraging the emotional and developmental growth of the child;

4. Daily routine and time available to devote to the care of a foster child;

Support network, including friends, neighbors, relatives, and the community;

6. Personal or family problems and the applicant's success in undergoing rehabilitation and overcoming or coping with these problems, including abuse, neglect, or violence that was:

a. Committed by the applicant;

b. Committed against the applicant; or

c. Witnessed by the applicant;

7. History of substance use or abuse and the applicant's success in overcoming or coping with these challenges;

8. Medical, physical, and mental health problems and the applicant's success in overcoming or coping with these problems;

Ability to deal with anger, stress, and separation;

10. Personal stability, marital stability, and the stability of the household, as applicable;

11. Stability of residency in Arizona;

12. Significant life events, including but not limited to job separation, divorce, child custody, bankruptcy, or the death of a family member;

13. History of complying with court-ordered child support, if applicable;

Attitude toward discipline, discipline of the applicant's children, and willingness to commit to the Department's discipline policy; and

15. Willingness to share parenting for a foster child with that child's birth family.

D. In addition, the home study shall address:

1. Household members' ability to meet requirements, as described under R21-6-302 ;

2. The ability of household members to provide a safe and positive home environment for a foster child;

3. The strengths and needs of the applicant; and

4. The applicant's compliance with licensing requirements as defined in Chapter 6 of this Title.

E. The home study shall contain a recommendation to issue or deny a license, based on the information available to the licensing agency. A licensing agency shall provide justification for a recommendation to deny a license using specific examples that demonstrate that, in the licensing agency's professional judgment, the applicant does not meet licensing requirements.

F. The licensing agency may, at its discretion, provide additional recommendations in the home study to:

1. Limit the terms or conditions of a license; and

Certify the applicant to provide specialized services, as described under R21-6-331.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-207 Request for Additional Information during Licensing Review

Prior to making a licensing decision, OLR may, as necessary and appropriate, require the licensing agency to assist to:

1. Provide additional documentation to verify compliance with licensing requirements, such as marriage licenses, divorce decrees, child support orders/payments, pay stubs, and bankruptcy documents;

2. Provide additional information if:

a. The medical, physical, or mental health needs of a household member could interfere with the care and supervision of a foster child;

b. Adults residing outside the household will have frequent or close contact with a foster child; or

c. A household member has been charged with or convicted of a crime, even if the specific crime does not preclude the issuance of a Level One fingerprint clearance card;

3. Gather additional information needed to determine the applicant's fitness. This may include:

a. Interviewing the applicant,

b. Contacting references,

c. Verifying information provided in the application or by the licensing agency, and

d. Inspecting the applicant's home.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-208 Statement of Understanding

The licensing agency shall review the Statement of Understanding with the foster parent at initial licensing, when a child is placed in the foster parent's care, and at each license renewal thereafter.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-209 Verification of Equipment at Time of Placement

The licensing agency shall verify that all equipment including age appropriate beds, car seats and restraints required by this Chapter are appropriately installed and in place at the time of placement of a foster child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-210 Approval for Additional Placements from Another Child Placing Agency

The licensing agency shall notify and obtain approval from DCS before a foster parent accepts a child from a Child Placing Agency other than DCS.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-211 Life Safety Inspection

A. The licensing agency shall inform the applicant or foster parent of the Life Safety Inspection rules specified in Chapter 8 of this Title before requesting an inspection by OLR.

B. At least 30 days before an inspection is due, the licensing agency shall request a Life Safety Inspection by OLR. The request shall provide correct information on:

1. The name, address, telephone number, and e-mail of the applicant or foster parent;

2. The major cross streets or directions for locating the home; and

3. Contact information for the licensing agency.

C. The licensing agency shall:

1. Conduct a preliminary inspection of the applicant's or foster parent's home to assess compliance with Life Safety Inspection rules;

2. Conduct an annual inspection, using the format approved by OLR, to reinforce the importance of the Life Safety Inspection requirements and to verify ongoing compliance; and

3. Verify corrections made by the applicant or foster parent in response to violations, as applicable.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-212 Training Reporting Update

A. The licensing agency shall update the Department's electronic database within seven days of the licensee completing the training required by A.R.S. § 8-509.

B. OLR may take an adverse licensing action against the licensee, or the Department may take a contract action against the licensing agency, or both, if the licensing agency does not submit the information as required by this Section.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-213 Application for Renewal License

A. The licensing agency shall assist a foster parent, as needed, in applying for a renewal license via the Department's electronic database.

B. At least 30 days before the expiration of the license, the licensing agency shall submit the completed application for a renewal license via the Department's electronic database.

C. The application for a renewal license shall update the information in the Department's electronic database and the previous home study, including:

1. Training completed by the licensee;

2. Monitoring visits and safety inspections conducted by the licensing agency;

3. Corrective action plans implemented since the previous home study and the status of violations that resulted in the need for corrective action, if applicable;

4. Corrections made by the foster parent in response to violations cited in the Life Safety Inspection conducted by the OLR if applicable;

5. Complaints and investigations, as described under R21-6-221 and R21-6-418, completed since the previous home study or that are pending completion, if applicable;

6. Central Registry record checks requested by the licensing agency for each adult household member;

7. Confirmation of a current, valid Level One fingerprint clearance card for each adult household member;

8. A summary of significant events and changes occurring since the previous home study, including:

a. The foster parent's income, resources, expenses, and debts;

b. The health of a household member;

c. Household composition; and

d. The dynamics of the foster parent's family and support network, including changes in roles, interactions, attitudes, and relationships;

9. The foster parent's compliance with licensing requirements, as defined in Article 3.

D. The updated home study shall contain a recommendation to issue, amend, or deny a license, based on the information available to the licensing agency. A licensing agency shall justify a recommendation to deny a license using specific examples that demonstrate that, in the licensing agency's professional judgment, the applicant does not meet the licensing requirements.

E. The licensing agency may, at its discretion, provide additional recommendations in the home study to limit the terms or conditions of a license, based on the licensing agency's professional judgment.

F. The licensing agency shall provide OLR with:

1. Criminal record self-disclosure for each adult household member;

Physician's statement for the foster parent, completed every two years; and

3. The Statement of Understanding, as defined under R21-6-101(76).

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-214 Application for License Reinstatement

A. "Reinstatement" refers to an action by OLR to reactivate a license that has been expired or closed for less than one year.

B. The licensing agency shall submit an application for reinstatement using the same process as an application for renewal licensure. As required for a renewal, the application for reinstatement shall include a new home study.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-215 The Licensing Record

A. The licensing agency shall compile and maintain a licensing record for each applicant or foster parent in accordance with the requirements of OLR.

B. The licensing record shall contain:

1. All documentation or evidence gathered during the licensing process and throughout the term of the license, including:

a. Documentation gathered to complete the application for licensure and the home study;

b. Evidence of compliance with licensing requirements specified in this Chapter;

c. Dates and details for home visits, contacts, and communication with the applicant or foster parent regarding licensing requirements or the licensing process; and

d. Evidence that inspection and due process rights were explained to the applicant or foster parent in accordance with A.R.S. § 41-1009;

2. The home study completed by the licensing agency, as described under R21-6-206, and submitted to the licensing authority via the Department's electronic database; and

3. Requests for or reports demonstrating the completion of Life Safety Inspections for the applicant's home and premises.

C. Upon written request by the applicant or foster parent, the licensing agency shall forward the complete and original licensing record to another licensing agency for the purpose of facilitating transfer to the receiving licensing agency:

1. Within 30 days of receiving the request, and

2. At no cost to the applicant or licensee.

D. Upon written request and payment of reasonable duplication and postage fees by the applicant or foster parent, the licensing agency shall forward a copy of the licensing record to an agency or organization for the purpose of assisting a foster parent who is being considered for a private or out-of-state adoptive placement, or a similar purpose.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-216 Amending the License

A. The licensing agency shall inquire at each contact with the foster parent if there are any circumstances requiring an amendment to the license.

B. The licensing agency shall request an amendment to modify a license via the Department's electronic database, as specified under R21-6-410.

C. The licensing agency shall provide the following information to the licensing authority to amend a license:

1. A description of the requested change or changes;

2. Justification for the change or changes, as appropriate;

3. A recommendation by the licensing agency based on the licensing record to issue or deny an amendment to the license; and

4. A recommendation by the licensing agency based on the licensing record to limit the terms or conditions of the license, if applicable.

D. To change the physical address due to the relocation of the licensee, the licensing agency shall:

1. Conduct a preliminary Life Safety Inspection using the form provided by OLR within seven days of the relocation of the licensee; and

2. Within seven days of the preliminary inspection, submit a request to OLR for a Life Safety Inspection.

E. To add the name of a spouse due to marriage, the licensing agency shall conduct interviews and assessments to evaluate the spouse's fitness in accordance with licensing requirements. A new spouse shall meet all foster parent licensing requirements in this Chapter, including obtaining a Level One fingerprint clearance card, passing a protective service registries check, and all required pre-service training as prescribed in R21-6-303.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-217 Evaluating Changes in Household Composition

A. If there is a change in the household composition, the licensing agency shall evaluate the impact of the change on the dynamics within the home and on the provision of care or supervision to a foster child.

B. When a household member is added during the term of the license, the licensing agency shall:

1. Obtain from each new adult household member:

a. Information and consents needed to conduct background checks with the Central Registry in Arizona and, if applicable, with the registries in other states the household member has lived in during the previous five years;

b. A criminal record self-disclosure;

c. Verification that the household member possesses a valid fingerprint clearance card that meets Level One requirements;

d. A completed health self-disclosure; and

e. A Physician's Statement if providing care for a foster child;

Request a current immunization record for a new child household member;

3. Conduct interviews, gather required documents, and make observations to evaluate the new household member, including:

a. The length of time the foster parent has known the new household member;

b. The background of the new household member, including any criminal history and allegations of child abuse or neglect;

c. Financial arrangements, if any, between the foster parent and the new household member;

d. The role of the new household member in the care and supervision of a foster child:

e. Changes in sleeping arrangements;

f. Whether the new household member presents a risk to the health, safety, or well-being of a foster child; and

g. Whether licensing requirements continue to be met with the addition of the new household member;

Enter information required by this rule via the Department's electronic database within 15 calendar days of receiving notification from a foster parent regarding a new household member;

5. Use professional judgment in making a recommendation to OLR on the need for an adverse licensing action in response to the new household member;

6. The licensing agency shall inform the foster parent that a household member's failure to meet requirements specified in Chapter 6, may constitute grounds for an adverse licensing action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-218 Routine Monitoring and Verification of Ongoing Compliance

A. At least once every three months, the licensing agency shall conduct assessments, monitoring, on-site visits, and make copies of required documents, as needed, to verify information and maintain a record of ongoing compliance by the foster parent. Inspection and monitoring activities of the licensing agency shall include, as applicable:

1. A review of records and reports maintained by the foster parent on the care, services, and treatment provided to the foster child;

2. Interviews with household members;

Interviews with foster children; and

4. An inspection of the home, premises, and vehicles used to transport foster children.

B. At least one monitoring visit per year shall be unannounced.

C. At the time of each monitoring or inspection, the licensing agency shall provide the applicant or foster parent with:

1. A written summary of the monitoring or inspection;

2. Planned follow-up and required corrective actions, as applicable; and

3. A written summary of the applicant's or foster parent's rights, in accordance with A.R.S. § 41-1009.

D. The licensing agency shall keep a copy of the written summaries specified in subsection (C) and make the summaries available to OLR upon request.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-219 Corrective Action Plans

A. The licensing agency shall cooperate with OLR and monitor compliance with a corrective action plan to remedy the violation of a licensing requirement.

B. The corrective action plan shall:

1. Be written by OLR in consultation with the licensing agency,

2. Specify the rule violated by the licensee,

3. Specify the steps a foster parent must take to remedy a violation, and

4. Specify a date for completion of the required corrective action.

C. The licensing agency or OLR may, based on their professional judgment, conduct unannounced monitoring visits to verify the implementation or completion of corrective action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-220 Notification Requirements; Unusual Incident

A. The licensing agency shall notify OLR and the Child Placing Agency of any issues arising under R21-6-326.

B. Within 48 hours of the occurrence of an incident specified in R21-6-326, the licensing agency shall provide in writing to OLR and the Child Placing Agency:

1. A description of the incident, including the place, date, and time of occurrence;

2. The names and contact information for any persons involved in the incident;

3. The measures taken by the foster parent to address, correct, or resolve the incident; and

4. The action taken by the licensing agency in response to the incident, if applicable.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-221 Allegations of Child Abuse or Neglect; Licensing Complaints

A. The licensing agency shall notify OLR in writing of each licensing complaint and each investigation initiated by the Department or law enforcement within 24 hours of the licensing agency becoming aware of the complaint or investigation, unless original notification came from OLR. This notification shall include the:

Date and place of the incident;

Nature of the complaint or allegation; and

3. Names of all persons involved in the allegation.

B. The licensing agency shall conduct an inquiry into each licensing complaint or concern. Within 45 days of being notified of a licensing complaint or concern, the licensing agency shall submit a written report of the licensing inquiry to OLR and to the licensee, in accordance with due process rights and subject to R21-6-418, unless OLR grants an extension in writing. The report of the licensing inquiry shall include:

1. The scope of the inquiry, including a list of persons interviewed and a list of the documentation reviewed;

2. The validity of allegations and other findings related to licensing violations; and

3. Recommendations by the licensing agency regarding follow-up action.

C. The licensing agency shall not interfere with, and shall assist, as requested, law enforcement or the Department's Child Safety Workers, and OCWI Investigators in conducting investigations of child abuse or neglect.

D. OLR may, if necessary and appropriate, conduct an inquiry or investigation independent of or in conjunction with the licensing agency, law enforcement, or the Department's Child Safety Workers or OCWI Investigators.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-222 Waiver of Non-safety Licensing Requirements for Kinship Care

A. When submitting an application for an initial, renewal, or amended license, the licensing agency may recommend the waiver of a non-safety licensing requirement for an applicant or foster parent who will be providing only kinship care, as defined under R21-6-101(36) if compliance with the non-safety requirement would be a hardship on the applicant or foster parent. The recommendation for a waiver shall include:

1. The specific rule to be considered for waiver by the OLR;

2. The reason compliance would be a hardship;

3. Any proposed alternative compliance with the rule requirement, including pictures or diagrams that depict any physical requirement to be waived; and

4. Justification that waiving the licensing requirement will not compromise the safety of a foster child.

B. The licensing agency shall submit the waiver request only on forms supplied by OLR.

C. OLR shall consider the waiver of a non-safety licensing requirement on a case-by-case basis.

D. An applicant or foster parent shall base a waiver request on a licensing requirement and the needs of the foster child. OLR shall not grant a waiver request because it would be inconvenient for the foster parent or applicant to comply with a licensing requirement.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Article 3 LICENSING REQUIREMENTS FOR FOSTER PARENTS

Ariz. Admin. Code § R21-6-301 General Requirements for Foster Parents

A. A foster parent shall:

1. Be 21 years of age or older;

2. Reside in Arizona and be lawfully present in the United States;

a. Each applicant shall present one of the documents specified under A.R.S. § 41-1080(A) and, as applicable, (E), to the licensing agency to demonstrate that the applicant is lawfully present in the United States; and

b. If an alien applicant has only temporary authorization to be present in the United States, the applicant shall provide documentation indicating that the authorization is valid for a minimum of one year or that the applicant has already taken steps to obtain authorization to remain for at least one year.

3. Live in a home in which all adult household members pass a background check based on:

a. A Central Registry check in Arizona and in the registries in other states the applicant has lived in during the previous five years,

b. A completed and notarized criminal record self-disclosure, and

c. A valid Level One fingerprint clearance card from the Arizona Department of Public Safety (DPS).

4. Be of reputable and honest character. A licensing agency shall verify compliance by evaluating information provided by the applicant and information obtained through background checks, references, interviews, and records of the Department;

5. Live in a home in which all household members are free of medical, physical, or mental health conditions that would interfere with the safe care and supervision for a foster child.

a. The applicant shall demonstrate compliance by providing his or her licensing agency with:

i. A health self-disclosure completed by all adult household members before initial licensure, and at each renewal thereafter;

ii. A physician's statement for the applicant completed no more than 12 months before the license application is submitted via the Department's electronic database and at least every two years thereafter; and

iii. A physician's statement for each household member who will be providing care and supervision for a foster child. The physician shall complete the statement no more than 12 months before the license application is submitted via the Department's electronic database and every two years thereafter in accordance with R21-6-302.

b. If a health self-disclosure or physician's statement for a household member identifies a history of medical, physical, or mental health conditions, the applicant shall have the opportunity to explain treatments, adaptive equipment, or other accommodations used to reduce or eliminate any risk associated with the condition that could interfere with the applicant's ability to provide safe care and supervision for a foster child;

6. Demonstrate careful and sensible judgment, exercise a reasonable and prudent parenting standard under R21-6-307, and have the stability, maturity, nurturing skills, knowledge, and ability to provide safe care to a foster child. The licensing agency and OLR shall consider relevant factors in this assessment, including:

a. Length of time the applicant has lived in the current residence, and recent patterns involving relocation;

b. Length of time household members have lived together and their ability to accommodate each other;

c. Applicant's ability to cope effectively with change, stress, and anger;

d. Applicant's experience providing care and supervision for children or vulnerable adults;

e. Applicant's knowledge of or experience with human and child development;

f. Applicant's method of discipline with the applicant's own children and the applicant's willingness to use positive discipline; and

g. Applicant's willingness and ability to comply with licensing requirements;

7. Have income or resources to afford current expenses without regard to future reimbursement. The calculation of current expenses does not include the expense of caring for a foster child already living with the applicant.

a. The applicant shall demonstrate compliance by completing the financial information on the application for licensure and by providing the licensing agency with bank statements, pay stubs, income tax forms, and other financial records that demonstrate income and resources that meet or exceed expenses.

b. The licensing agency and OLR shall consider resources including:

i. A reliable source of financial assistance or payment, including social security, Nutrition Assistance (formerly known as food stamps), Cash Assistance, adoption subsidy, and Women, Infants and Children; and

ii. Reimbursement for medically complex and therapeutic homes, as certified under R21-6-331 ;

8. Have the support and agreement of all adult household members on the decision to be a foster parent;

9. Provide a safe home with sufficient space and privacy for a foster child, as described under R21-6-311 and R21-6-313 ;

10. Work cooperatively with a licensing agency and OLR; and

11. Comply with all licensing requirements specified in this Chapter.

B. OLR shall determine whether an applicant meets the licensing requirements for a foster parent based on information provided by the applicant and the licensing agency, including the application, home study, prior licensing history, and the professional judgment of the licensing agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-302 Requirements for Household Members

A. The applicant shall ensure that each adult household member participates in interviews necessary to evaluate the:

1. Role of the household member in the care and supervision of a foster child, and

2. Household member's support of and agreement with the applicant's decision to be licensed.

B. The applicant shall ensure that each adult household member provides the licensing agency with:

1. Information and consents needed to conduct background checks with the protective service registries in Arizona, and, if applicable, with the registries in other states the household member has lived in during the previous five years;

2. A completed health self-disclosure;

3. A physician's statement under R21-6-301(A)(5)(iii) if the household member will be providing care and supervision for a foster child;

4. A criminal record self-disclosure; and

5. Verification that the household member has a valid Level One fingerprint clearance card.

C. The applicant shall provide available immunization records that have been updated, as necessary, for each child household member. In accordance with A.R.S. § 8-509(I), the lack of updated or available immunization records shall not prohibit licensure, but may be grounds for restricting the license to prevent the placement of infants, young children, and medically complex individuals.

D. If a person, other than a foster child, moves into the household during the term of the license, the licensee shall:

1. Notify the licensing agency of additions to the household in accordance with R21-6-411 ;

2. Ensure that each new household member complies with the requirements specified in subsections (A), (B), and (C); and

3. Notify the licensing agency and obtain OLR approval of proposed changes in the sleeping arrangements for each household member and for each foster child.

E. The applicant's awareness that a household member failed to disclose full and accurate information may constitute grounds for an adverse licensing action if the applicant does not attempt to inform the licensing agency of the incomplete or inaccurate information.

F. Failure by a household member to pass a protective services registries background check, to obtain a fingerprint clearance card, or to cooperate with the licensing process may result in an adverse licensing action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-303 Training Requirements

A. Before OLR issues an initial license, the applicant shall complete and submit evidence of completion of:

1. The minimum number of hours of training required by A.R.S. § 8-509;

2. The training curriculum approved by the Department, which includes training in how to exercise the reasonable and prudent parenting standard;

3. CPR training, which requires the demonstration of CPR skills, and is taught by an instructor certified by a nationally recognized association such as the American Red Cross, the American Heart Association, or the National Safety Council; and

4. First aid training, taught by:

a. An instructor certified to teach first aid that conforms to the requirements of a nationally recognized association such as the American Red Cross or the National Safety Council; or

b. A doctor of medicine, physician assistant, registered nurse, paramedic, or emergency medical technician who has a current license or certification to practice.

B. After, initial licensure as required by A.R.S. § 8-509 the foster parent shall:

1. In addition to CPR certification and first aid training complete a minimum of six hours of training on topics relevant to the health, growth, development, or welfare of a child, or as recommended by OLR, the licensing agency, or the Child Placing Agency;

2. Present evidence of current CPR certification that meets the standards specified in subsection (A)(3); and

3. Present evidence of current first aid training that meets the standards specified in subsection (A)(4).

C. The applicant or foster parent shall complete additional training required by the Department, licensing agency, or Child Placing Agency based on the specific needs of the foster parent or of a foster child.

D. OLR may waive the requirements for CPR and first aid training if the foster parent has current certification or licensure as a doctor of medicine, physician assistant, registered nurse, paramedic, or emergency medical technician.

E. OLR may waive the requirement for CPR training if an applicant or foster parent has a physical limitation preventing them from performing CPR, unless the applicant or foster parent demonstrates that he or she can perform CPR with tools or devices designed for that purpose. A signed physician's statement shall document the limitation. OLR may, at its discretion, restrict the license of such a foster parent to a specific foster child or population.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-304 Life Safety Inspection

A. A foster parent is responsible for ensuring compliance with the Life Safety Inspection rules specified in Chapter 8 of this Title.

B. An applicant and foster parent shall cooperate with OLR and the licensing agency when performing the Life Safety Inspection.

C. OLR shall:

1. Conduct a full inspection to verify compliance with Life Safety Inspection rules:

a. Before an initial license is issued,

b. Before an amended license is issued for a new location, and

c. At least every two years;

2. Conduct an inspection to verify compliance with specific Life Safety Inspection rules following notification of significant structural modifications to a home or the addition of a pool, as defined by R21-6-101(59) ; and

Permit and encourage the applicant or licensee to make necessary corrections at the time of an inspection. For corrections that cannot be made immediately, the inspector shall explain how OLR or the licensing agency will verify corrections at a later date.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-305 Nurturing Responsibilities

A foster parent shall nurture a foster child by:

1. Providing the child with opportunities to develop emotionally, socially, culturally, physically, and educationally, as appropriate to the child's skill and developmental level;

2. Helping the child develop a positive identity by respecting the child's race, ethnicity, religion, gender, culture, and sexual orientation;

Providing the child with opportunities to make choices and to express preferences appropriate to the child's age and developmental level;

4. Providing the child with a variety of safe and developmentally appropriate play equipment, toys, and recreational supplies;

5. Practicing positive discipline;

6. Assisting the child with day-to-day concerns;

Providing the child with assistance, comfort, and emotional support to ease the distress associated with coming into care and with related transitions;

8. Assisting in maintaining the child's connection to their family, friends, community, and culture; and

9. Providing opportunities for the child to contact family members by means of face-to-face contact, mail, telephone, or other modes of communication, unless otherwise directed by the Child Placing Agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-306 Supervisory Responsibilities

A. A foster parent shall commit the time necessary to provide each foster child with care and supervision in accordance with licensing requirements and based on the child's age, developmental level, and maturity.

B. A foster parent shall implement the alternative supervision plan, as prescribed by R21-6-331, or R21-6-332 as applicable, if the foster parent must leave any of the following foster children in the care of another person:

1. Medically complex child,

2. Child receiving therapeutic foster care, or

3. Child diagnosed with a developmental disability.

C. For routine child care of a foster child or unless prescribed in subsection (B), a foster parent shall have arrangements approved by the Child Placing Agency and the licensing agency. For the purpose of this subsection, "routine care" refers to care that is recurrent and predictable, including preschool, after school care, or care that allows the foster parent to attend recurring activities.

D. Except as prescribed in subsections (B) and (C), a foster parent may independently select an adult to provide short-term care or supervision that is not routine. For the purpose of this Section, "short-term" means a time period that does not exceed 24 hours in a nonemergency and does not exceed 72 hours in an emergency.

1. A foster parent shall use careful and sensible judgment in selecting an adult to provide short-term care or supervision for a foster child and shall ensure that the adult has the ability to meet the specific needs of a foster child.

2. Before leaving a foster child with an adult to provide short-term care or supervision, a foster parent shall provide the adult with:

a. Information about the child's behavioral health, medical, or physical condition that is necessary for the adult to provide care;

b. Medication prescribed to be administered to the child, and any relevant instructions for the administration of the medication; and

c. Emergency information for contacting the child's physician, the Child Placing Agency, the licensing agency, and the foster parent.

3. The foster parent shall notify the licensing agency and obtain approval from the Child Placing Agency before the short-term care exceeds:

a. Twenty-four hours in a nonemergency situation. Examples of a nonemergency situation include going out to dinner, running errands, grocery shopping, and participation in a special training activity.

b. Seventy-two hours in an emergency situation. Examples of an emergency situation include a death in the family, serious illness of a family member, and foster parent illness.

E. A foster parent shall use careful and sensible judgment:

1. To protect each foster child from harm and teach the foster child to manage risks as permitted by the child's age, developmental level, and maturity; and

2. In determining when additional help or support is needed to ensure the health, well-being, and educational needs of a foster child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-307 Reasonable and Prudent Parenting Standard

A. A foster parent shall use a reasonable and prudent parenting standard to promote normalcy for children in his or her care by encouraging participation in age or developmentally appropriate activities to the greatest extent possible.

B. Such activities may include giving permission for a foster child to:

1. Spend time alone or with friends;

2. Participate in clubs or extracurricular activities, or on teams: and

3. Attend birthday parties with friends or sleep-overs.

C. A foster parent's exercise of the reasonable and prudent parenting standard, shall not conflict with any appropriate court order or case plan.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-308 Positive Discipline

A. A foster parent shall:

1. Provide positive discipline that is appropriate to the age, life experience, and developmental level of a foster child;

Establish well-defined and clearly communicated rules that set the limits of behavior;

3. Develop and implement reasonable, developmentally appropriate, and consistent rewards and consequences;

4. Use disciplinary methods that help a foster child build self-control, self-reliance, and self-esteem;

5. Inform the Child Placing Agency and the licensing agency of behaviors displayed by the foster child that endanger the health, safety, or well-being of the child or others; and

6. Abide by Department policy and rule related to positive discipline and prohibited practices under subsection (B).

B. A foster parent shall not use or threaten to use, or engage in and shall not permit any other person to use or engage in, the following or similar punishment or maltreatment of a foster child:

1. Any form of physical punishment, including hitting, spanking, biting, pinching, shaking, slapping, smacking, punching, or kicking;

2. Deprivation of essential nutrition, clothing, bedding, shelter, medical care, or sleep;

3. Force-feeding, except as prescribed by a licensed medical professional;

4. Locked confinement in a room or small area;

5. A consequence that requires a foster child to remain silent or motionless or to be isolated for a time period that is not developmentally appropriate;

6. Mechanical restraint. A mechanical restraint is an article, device, or garment that:

a. Restricts a foster child's mobility, freedom of movement, or the movement of a portion of a child's body;

b. Cannot be removed by the foster child; but

c. Does not include an orthopedic, surgical, or medical device that allows a foster child to heal from a medical condition or to participate in a treatment program.

7. Humiliation, verbal abuse, or profane language targeting a foster child;

8. Derogatory remarks about the foster child, the child's identity, or about a person who is significant to the child;

9. Threats to remove the foster child from the home;

Cruel, severe, depraved, humiliating, or frightening actions or statements;

11. Noxious stimuli as a consequence, including putting soap, vinegar, or hot sauce into a foster child's mouth;

12. Denial of a foster child visitation or communication with the child's birth family members or with a significant person when such denial is not approved by the Child Safety Worker, the Child Safety Worker's supervisor, or ordered by the Court; or

13. Over-the-counter or prescription medication for the purpose of restraining or sedating a foster child without a physician's order.

C. A foster parent shall notify the Child Placing Agency and the licensing agency within 24 hours of a physician ordering a medication for the purpose of behavior management.

D. The use of physical restraint of a foster child is prohibited except to protect a foster child, foster parent, or another person from imminent physical harm resulting from a foster child's sudden, out-of-control behavior.

1. Only a foster parent specifically trained in crisis intervention may use physical restraint on a foster child.

2. No person shall use physical restraint for the purposes of discipline or convenience.

3. A trained foster parent shall administer physical restraint in the least restrictive manner possible to protect the child or others and cease when the child becomes calm.

4. A foster parent shall notify the Child Placing Agency and the licensing agency within 24 hours of the use of physical restraint as required by R21-6-326.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-309 Capacity Requirements

A. The maximum capacity of a license shall not exceed five foster children, and may be restricted to fewer than five, if the foster home provides special services under R21-6-331 or an increase is not justified under subsection (F).

B. The total number of children in a foster home at one time, including the children of the foster parent and the children of a household member, shall not exceed eight.

C. Subject to subsection (F), OLR may permit an applicant or licensee to exceed the maximum number of children in the home:

1. To keep a sibling group together, if approved in writing by the DCS Director's office or designee;

2. If the total number of foster children exceed five and the additional requirements specified in R21-6-331 are met for a Group Foster Home; or

3. If the children living in the applicant or licensee's home would exceed eight, including any foster children, and the applicant or licensee meets the requirements of subsection (F);

4. To keep a foster child in the home as of the effective date of this Section.

D. The total number of children in the foster home at one time, including the children of the foster parent and any household member, any child placed for respite care, child care services, or babysitting shall not exceed:

1. Four who are five years of age or younger in the care of one adult; and

2. Two who are less than one year of age in the care of one adult.

E. OLR may permit the licensee to exceed the age limits of children in the foster home, as specified in subsection (D), to accommodate multiple birth siblings.

F. Recommendations of the licensing agency and decisions of OLR to establish or increase the capacity of a foster home or to exceed the limits as indicated in subsections (B) and (C), shall be justified by:

1. Adequate sleeping arrangements (as specified by R21-6-310 and R21-6-311),

2. The support network available to the foster parent, and

3. The licensee's willingness and ability to provide care for each additional foster child.

G. A foster parent is limited to the capacity, age, gender, and other conditions or restrictions specified on the license when providing care, including respite care.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-310 Sleeping Arrangements

A. The sleeping arrangement for each foster child shall be safe and appropriate, based on the child's age, gender, special needs, behavior, and history of abuse or neglect.

B. A foster parent shall ensure compliance with the following sleeping arrangements:

1. A foster child shall not share a bedroom with an adult, with the following exceptions:

a. A foster child less than the age of three years may share a bedroom with a foster parent.

b. A foster child age three years and older may share a bedroom with a foster parent when:

i. The child temporarily needs the attention of the foster parent during sleeping hours, or

ii. The sleeping arrangement and the reason for it are approved by the Child Placing Agency.

c. A foster child who has regularly shared a bedroom with another child who has turned 18 years of age may continue to share the bedroom unless the Child Placing Agency determines that the arrangement is contrary to the best interests of the foster child.

2. Any child in the home, aged six years and older, shall not share a bedroom with a foster child of the opposite gender, except as permitted by subsection (C).

C. A foster child, aged six years and older, may share a bedroom with a sibling of the opposite gender:

1. When the Child Placing Agency grants written approval for the purpose of facilitating a smooth transition for a child into the foster home;

a. The Child Placing Agency shall limit such approval to the first 60 days of placement; unless

b. The Child Placing Agency makes a written finding after 60 days and annually thereafter that is consistent with the case plan of all siblings sharing the bedroom and it is in the best interest of all of the siblings to continue to share the bedroom;

2. When there are no safety issues, such as that listed in subsection (C)(3)(a) and

3. The Child Placing Agency shall not grant approval:

a. If either child has a history of sexual abuse, or

b. Solely for the convenience of the foster parent,

D. A foster child who is a minor parent may share a bedroom with his or her child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-311 Bedrooms, Beds, and Bedding

A. The placement of a foster child shall not displace another foster child or a household member from a bedroom to a space unrelated to sleeping.

B. A foster parent shall provide a foster child with a bedroom that accommodates the privacy and safety needs of the child and that is a finished room demonstrated by:

1. Floor-to-ceiling walls,

2. A door with a working doorknob or latch,

3. Lighting,

4. Ventilation,

5. Appropriate heating and cooling, and

6. A window or door that opens directly to the outdoors and is accessible for emergency evacuation.

C. A foster parent shall not use a space used as a closet, passageway, or primarily for purposes unrelated to sleeping as a bedroom for a foster child.

D. The bedroom for a foster child shall be large enough to accommodate a bed, furniture to store and display personal belongings, and space for the child to dress and move about.

E. A foster parent shall provide each foster child with a bed that is safe and appropriate based on the child's age and special needs. For the purpose of this Section, "bed" does not include sleeper sofas, rollaway beds, couches, cots, portable crib such as Pack 'n Play, sleeping bags, or mats, unless approved by OLR on a temporary basis not to exceed six days.

1. A foster parent shall ensure that:

a. Each foster child is provided with a separate bed or crib, as appropriate;

b. A foster child less than the age of three years does not sleep on a waterbed; and

c. A foster child does not sleep on the top tier of a bunk bed or similar style bed in which the top of the mattress is elevated four or more feet above the floor, if the child:

i. Is less than the age of six years,

ii. Has a disability that limits mobility, or

iii. Has a seizure disorder.

2. A foster parent may:

a. Provide a foster child with a used mattress if the mattress is sanitary; and

b. Allow a foster child not identified by subsection (E)(1)(c) to sleep in a bunk bed or similar style bed in which the top of the mattress is elevated four or more feet above the floor, if:

i. The top bunk is securely fastened to the side frames;

ii. The top bunk has guard-rails that extend at least five inches above the mattress surface to prevent a child from rolling off;

iii. The top bunk has cross ties or other secure structures under the mattress foundation to prevent the mattress from falling through the frame;

iv. The distance between the two beds or between the top bunk and the ceiling is sufficient to allow the child to sit upright while in bed; and

v. The bunk bed does not exceed two tiers.

F. A foster parent providing respite care for a foster child may use a sleeper sofa, rollaway bed, couch, cot, portable crib such as a Pack 'n Play, sleeping bag, or mat as an acceptable sleeping accommodation provided that:

1. The respite care does not exceed 14 consecutive days, and

2. The accommodation does not compromise the health or safety of the child.

G. Except as provided in subsection (H), bedding for a foster child shall be clean and shall include:

1. A pillow;

2. Bottom or fitted sheet;

3. A top sheet, blanket, or cover, as appropriate; and

4. A waterproof mattress cover, as needed.

H. Bedding for infants shall be clean and shall not include pillows, blankets, bumper pads, or other soft items or surfaces.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-312 Meals and Nutritional Needs

A foster parent shall:

1. Encourage a foster child to participate in meals as a member of the family;

Provide a foster child with a well-balanced and nutritionally adequate diet; and

3. Provide for the special dietary needs of a foster child, as determined by a medical or nutritional authority or as is customary in the child's religion or culture.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-313 Hygiene and Daily Needs

The foster parent shall provide a foster child with:

1. Clean clothing and shoes that are in good repair and appropriate to the child's age, size, developmental level, gender, gender identity, the weather conditions, and the occasion;

2. The supplies, instruction, and assistance needed to care for the child's hygiene, including tooth brushing, bathing, hair care, using the toilet, hand washing, diapering, menstrual care, and shaving, as appropriate; and

3. Privacy while dressing, bathing, and during the care of other personal needs, as developmentally appropriate.

History

• New section made by exempt rulemaking at 21 A.A.R. 3479, effective 1/24/2016.

Ariz. Admin. Code § R21-6-314 Health and Medical Care

The foster parent shall protect and care for the health and well-being of a foster child and:

Provide necessary first aid and care to treat common childhood ailments and injuries;

2. Obtain 10 well-child visits for each child aged from birth to two years as described in subsections (a)-(h) below. A well child visit includes both a medical and vision examination as appropriate to the child's age. A foster parent shall obtain a well-child visit when a foster child is the following ages:

a. Three to five days:

b. One month;

c. Two months;

d. Four months;

e. Six months;

f. Nine months;

g. Twelve months; and

h. Fifteen Months;

3. Obtain an annual well-child visit for each child older than two years of age.

4. Obtain routine dental examinations for each foster child older than one year of age at least once every six months and more frequently as needed for other services, such as filling cavities and orthodontics;

5. Review the child's medical, vision, and dental records if available; and if the foster child has not had a medical, vision, or dental exam within the past year, the foster parent shall schedule the child for an exam within two weeks after the foster child is placed with the foster parent;

6. Obtain necessary care and treatment for medical, vision, dental, behavioral health, and other services identified in the placement agreement specified under R21-6-314 ;

7. Obtain immunizations based on the current recommended immunization schedule published by the Centers for Disease Control and Prevention, unless specified otherwise in the care plan for the foster child;

8. Administer prescription medication only as prescribed and ensure no lapse occurs in the administration of the prescription medication to the foster child;

9. Carry out the written and verbal instructions from qualified professionals regarding the medical, vision, dental, and therapeutic needs of the foster child and notify the Child Placing Agency when written and verbal instructions from multiple medical professionals conflict; and

10. Ensure that a foster child, 12 months of age and younger, is placed to sleep on the foster child's back to reduce the risk of Sudden Infant Death Syndrome (SIDS), unless otherwise authorized in writing by the child's physician.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-315 Smoking Restrictions

To reduce the risk of secondhand smoke, the foster parent shall ensure that smoking any substance, including tobacco, e-cigarettes, and prescribed marijuana through any delivery system, is prohibited and does not occur at any time in the foster home, or at any time when a foster child is present in a vehicle used to transport a foster child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-316 Transportation Responsibilities

A. A foster parent shall provide or arrange appropriate local transportation to meet the routine educational, medical, recreational, social, religious, and therapeutic needs of a foster child.

B. When a foster child is transported by or at the direction of a foster parent, the foster parent shall ensure that the vehicle, at a minimum:

1. Is maintained in safe operating condition;

2. Is properly licensed, registered, and has liability insurance; and

3. Has passenger safety restraints available and:

a. Each foster child less than the age of five years or weighing less than 40 pounds is properly secured in a child car seat and child restraint system that is appropriate to the height, weight, and physical condition of the child;

b. Each foster child five to eight years of age who weighs more than 40 pounds, but is less than four feet nine inches in height is properly secured in a child restraint system that is appropriate to the height, weight, and physical condition of the child;

c. Each foster child not covered by subsections (a) and (b) is properly secured with a seat belt;

d. Each foster child with a disability that prevents the child from maintaining head and torso control while sitting is secured in a car bed, harness, or other device designed to protect the child during transportation; and

e. If a foster child is transported in a wheelchair, the child is properly secured with a floor-mounted seat belt, and the wheelchair is properly immobilized using lock-down devices.

C. A foster parent shall not leave a foster child unattended during transportation if the child:

a. Is less than seven years of age;

b. Has a developmental disability; and

c. Is more than seven years of age and that the child is physically and emotionally incapable of traveling alone;

D. The Child Placing Agency shall ensure that the foster parent has all of the equipment in place and properly installed to meet the requirements of subsection (B) prior to placement.

E. A foster parent shall ensure the following safety requirements for drivers selected by the foster parent to transport a foster child:

The driver has a valid driver license; and

2. The driver practices safe, defensive driving and obeys all traffic laws.

F. A child shall not be transported in a truck bed, cargo area, camper, or in a trailer attached to a motor vehicle.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-317 Education and Development

The foster parent shall:

1. Communicate developmental and educational progress and challenges to the Child Safety Worker or Child Placing Agency, including any noted developmental delays;

2. Send a school-age foster child to public school unless alternative educational arrangements, such as private or home schooling, have been approved in the child's case plan, by the Child Safety Worker's supervisor, or the Child Placing Agency supervisor;

3. Work with the Child Safety Worker or Child Placing Agency to determine educational needs beyond those provided in the school setting and make reasonable efforts to obtain these educational services that are available from the school, district, or other providers for education services;

4. Encourage the foster child's academic progress by making reasonable efforts to ensure the completion of homework and participating in parent-teacher conferences, the Individualized Education Program (IEP), and Individualized Family Service Plan (IFSP) Meetings, as appropriate; and

Make reasonable effort to:

a. Ensure school attendance; and

b. Schedule appointments, visitations, and other activities during hours that do not interfere with school.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-318 Religious and Cultural Practices

A. The foster parent shall:

1. Protect and support a foster child's right to participate in the child's religious and cultural practices,

2. Coordinate with the licensing agency or Child Placing Agency, to provide opportunities for a foster child's participation in the child's religious and cultural activities, and

3. Not compel a foster child to participate in the foster parent's religious or cultural activities if it is contrary to the child's cultural or religious practices or the wishes of the child's birth parent.

B. If there is a conflict between the religious or cultural practices of a foster parent and a foster child, the foster parent shall notify the licensing agency, which shall notify the Child Placing Agency, so that alternative arrangements may be made.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-319 Recreation

The foster parent shall:

1. Encourage a foster child to participate in appropriate indoor and outdoor recreation;

2. Provide adequate supervision, protection, and guidance during the use of recreational equipment, including swimming pools;

3. Ensure that the use of recreational equipment is in accordance with manufacturers' guidelines; and

4. Promote the foster child's use of appropriate safety gear for recreational activities.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-320 Out-of-state Travel

Before taking a foster child out of Arizona for more than seven consecutive days, a foster parent shall notify the licensing agency and Child Safety Worker of the destination and dates of travel.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-321 Rights of a Foster Child

A. A foster parent shall ensure that the rights of a foster child as listed in A.R.S. § 8-529 are protected and upheld. In addition, a foster child has the right to:

1. Live in a safe, clean, and humane environment;

2. Be free to express their gender identity and sexual orientation;

3. Be free from physical, sexual, emotional, or other abuse;

4. Be treated with dignity and respect by foster parents and household members;

5. Protection from exploitation and to learn the skills needed to protect him or herself from exploitation;

6. Protection for and access to his or her adaptive aids, if applicable;

Retain personal belongings when moving from the foster home, including usable clothing, furniture, electronic equipment, bicycles, toys, and other items purchased specifically for or given to the child;

8. Access his or her personal spending money, unless access is limited by the Child Placing Agency as part of a documented plan approved by the Child Placing Agency such as a plan to protect the child from exploitation or a pattern of misuse;

9. Be taught how to manage personal spending money;

10. Assume responsibility for some household duties in accordance with the child's age, health, and ability; assigned responsibilities and tasks shall not deprive the child of school, sleep, reasonable play time, or study periods;

11. Participate in activities as a member of the family, including meals, outings, and celebrations;

12. Participate in extracurricular, enrichment, social, and community activities, including sports, school activities, cultural programs, and religious groups based on a reasonable and prudent parenting standard. This participation may be restricted by reasonable curfew, cost considerations, a court order, or as agreed upon by the foster parent and the Child Placing Agency;

13. Be encouraged to have contact with and visit family members, consistent with the case plan, unless prohibited by court order;

14. Have visitors, within reasonable boundaries established by the foster parent, and unless prohibited by court order;

15. Confidential communication with his or her Child Safety Worker or Child Placing Agency, advocates, attorney, guardian ad litem, and guardian; and

16. Express dissatisfaction with or file a complaint against a foster parent or the Child Placing Agency without retaliation.

B. A foster child over the age of puberty, or as early as can be reasonably expressed by the child, shall have the right to specify the gender of the person to assist the child with personal care, if needed and appropriate.

C. A foster child with a disability has the right to participate in typical daily activities with the least amount of physical assistance necessary to accomplish the task and to live in a home adapted to protect the child and to assist the child in experiencing developmentally appropriate independence.

D. If a foster parent is not able to protect or uphold one or more of the above rights, the foster parent shall immediately notify the Child Placing Agency and the licensing agency so that alternative arrangements or assistance may be made to protect the rights of the child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-322 Confidential Information

A. A foster parent shall protect and maintain the confidentiality of a foster child, by protecting and safeguarding all personally identifiable information about a foster child and his or her family.

B. Information related to the reason for a foster child's placement or related to a foster child's family is considered confidential information, under A.R.S. § 8-807 and A.R.S. § 8-502.

C. A foster parent may only share a child's confidential information strictly on a need-to-know basis:

1. With health care providers, schools, child care providers, and legal representatives, as appropriate; or

2. As authorized by the Child Placing Agency or guardian.

D. A foster parent shall not share information or photos that identify a child as a foster child on the internet, including social media.

E. A foster parent shall not share a foster child's information or photos that identify the child as a foster child, unless there is a need to know, with other individuals or organizations, including friends, co-workers, relatives, and neighbors.

F. A foster parent shall safeguard and maintain a foster child's records in a manner that prevents loss, tampering, or unauthorized access or use.

G. Failure to keep confidential a foster child's records or information may result in an adverse licensing action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-323 Information and Records to be Provided to the Foster Parent

A. The Child Placing Agency shall provide a foster parent with the following documents and information, to the extent that this information is available for each foster child within 30 days:

1. The insurance card or insurance identification number and written consent authorizing the foster parent to access medical records and obtain routine, nonsurgical, and emergency medical care for the child;

2. A summary of the child's medical history and the name of the child's last known physician;

3. A summary of the child's education history and the name of the school most recently attended by the child;

4. A summary of the child's social history;

Restrictions or limitations to the sharing of confidential and personally identifiable information about the child;

6. Information about the child's behavioral health, medical, or physical condition that is necessary or beneficial to provide quality care;

7. Medication that is prescribed to be administered to the child, and any relevant instructions for the administration of the medication;

8. The religious and cultural beliefs and preferences of the child and of the child's birth family;

9. Emergency contact information for the child, including a means to contact the Child Placing Agency;

10. Placement packets from prior placements, if applicable;

11. A copy of the child's case plan; and

12 A placement agreement that specifies the following:

a. Requirements and restrictions related to the child's diet, personal care, and activities;

b. Requirements and restrictions related to the supervision of the child;

c. Requirements and restrictions for interaction with the child's family and other persons;

d. The person responsible for obtaining and transporting the child to needed services. These services include medical care, vision care, dental care, counseling, and other services or treatment;

e. A plan for the purchase, installation, and maintenance of environmental modifications to accommodate the disabilities of a child, if applicable; and

f. A plan for the completion of training needed by the foster parent to care for the special needs of the child, if applicable.

B. A foster parent shall sign and abide by the placement agreement, described in subsection (A)(12).

C. A foster parent shall maintain and store the foster child's records from DCS in a secure place.

D. The foster parent shall not use the information obtained to initiate discussions of the child's history or experience of abuse or neglect with the child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-324 Records Maintained by the Foster Parent

A. A foster parent shall maintain a record throughout the care of the foster child of:

1. Each foster child's contact with family members and other significant persons; and

2. Educational, medical, vision, dental, or therapeutic care provided to the foster child while living in the home.

B. At the discretion of the Department or the licensing agency, a foster parent shall, when requested, provide proof of how the funds designated for a foster child were expended.

C. A foster parent shall safeguard a foster child's records to prevent loss, tampering, and unauthorized access.

D. A foster parent shall collect and maintain information and materials significant to a foster child's personal history. The collection is sometimes referred to as a "life book":

1. Typically includes photos, letters, report cards, school projects, artwork, and souvenirs; and

2. Is the property of the child and will go with the child if he or she moves from the foster home.

E. Within seven days of the end of a foster child's placement in a home, the foster parent shall provide the Child Placing Agency with:

1. The records described in subsection (A); and

2. A written description of the child's daily routine, personal preferences, and habits.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-325 Participation in the Service Team

A. The purpose of the service team is to ensure collaboration on the development and review of a foster child's case plan. A foster parent is a member of the service team for each foster child in his or her care. The service team also includes:

1. The foster child, as appropriate to the child's age and developmental level;

2. The foster child's family, including persons who have a significant relationship with the family or the child;

3. A representative of the Child Placing Agency;

4. A representative of the licensing agency;

5. Court-appointed advocates; and

6. Persons providing services to the foster child, including attorneys, physicians, therapists, teachers, tribal representatives, and law enforcement personnel.

B. A foster parent shall participate as a member of the service team by:

1. Attending team meetings when:

a. The foster parent receives reasonable advance notice of the date, time, and location of the meeting; and

b. The meetings are held at a time and place that is accessible to the foster parent and compatible with the foster parent's work and child care schedules.

2. Participating in team meetings through alternative means, which may include:

a. Conference calls, and

b. Providing advance comments to the Child Placing Agency or to other team members who will attend the meeting.

Reporting to the team on the child's progress and concerns.

4. Assisting in the review and development of the case plan.

5. Assisting the child in attending and participating in meetings, as appropriate to the child's schedule, age, and developmental level.

C. A foster parent shall implement the case plan by:

1. Performing the tasks assigned to the foster parent in the case plan;

2. Helping a foster child to attain the goals identified in the case plan; and

Helping a foster child to obtain services specified in the case plan.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-326 Notification Requirements; Unusual Incident

A. A foster parent shall immediately notify the Child Placing Agency and licensing agency of the following incidents. For the purpose of this section, "immediately" means as soon as possible, following the notification of emergency services (911).

1. Death of a foster child;

2. Unexplained absence of a foster child;

3. Unauthorized removal or attempted removal of a foster child from the care and supervision of the foster parent;

4. A serious illness, injury, or mental health crisis of a foster child requiring hospitalization or emergency room treatment;

5. An allegation or the discovery of a sign of abuse or neglect of a foster child;

6. Arrest of a foster child or the involvement of a foster child with law enforcement that does not lead to arrest;

7. Fire or other situation requiring overnight evacuation of the home;

8. Incidents that involve or are likely to involve the media; or

9. Any other unusual incident that seriously jeopardizes the health, safety, or well-being of a foster child.

B. A foster parent or the licensing agency shall document the incident on a form provided by the Department.

C. A foster parent shall notify the Child Placing Agency and the licensing agency within 24 hours of the following incidents:

Injury, illness, change of medication, or medication error that requires a foster child to be seen by a doctor of medicine, physician assistant, or registered nurse practitioner;

Theft of money or property belonging to a foster child;

3. Significant damage to the property of a foster child;

4. Injury to others or significant damage to the property of others caused by a foster child;

5. The use of physical restraint to control a foster child's sudden, out-of-control behavior;

6. Arrest of a household member or involvement of a household member with law enforcement that does not lead to an arrest;

7. Changes in the household that affect the foster parent's ability to meet the needs of the foster child;

8. Life-threatening illness, injury, or the death of a household member; or

9. Incidents involving a DCS Report or investigation.

D. Within 24 hours of the occurrence of an incident specified in subsection (A) or (C), a foster parent shall provide the licensing agency in writing with:

1. A description of the incident, including the date and time of occurrence;

The names and contact information for any persons involved in the incident;

3. The names and contact information for any person who witnessed the incident; and

4. The measures taken by the foster parent to address, correct, or resolve the incident.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-327 Notification Requirements; Home or Household Changes

A. A foster parent shall notify the licensing agency of any changes in the family or household composition, as soon as the foster parent is aware of the change including:

1. Marriage of a foster parent;

2. Divorce or separation of a foster parent;

3. Death of a foster parent or of a household member;

Addition or departure of a household member from the home, including the birth or adoption of a child;

5. Any changes in the living arrangements or circumstances of the unlicensed spouse when a foster parent is married but licensed individually under R21-6-408(B) ; or

6. The addition of a visitor or household member to the foster home for:

a. 30 or more consecutive days, or

b. 30 or more cumulative days in a year.

B. A foster parent shall notify the licensing agency of substantial changes to the home, foster home, or premises, including:

1. Moving or relocation to another home;

2. The addition of a pool, as defined in Article 1 of this Chapter; or

3. Significant structural modifications to the home. For the purpose of this section, "structural modification" includes:

a. Adding or removing walls, windows, or doors; or

b. Converting a garage, attic, basement, or other similar space into a bedroom.

C. If a foster parent has advance knowledge of an event or change listed in subsection (A) or (B), the foster parent shall give the licensing agency reasonable advance notice of the anticipated event or change. "Reasonable advance notice" means notice that permits sufficient time for:

1. The licensing agency to request a Life Safety Inspection, in accordance with R21-6-211 ;

2. OLR to issue an amended license, as prescribed in R21-6-410 ; and

3. The foster parent to continue providing care and supervision in the licensed foster home without disruption of the placement.

D. The foster parent shall notify and obtain approval from DCS and the licensing agency before receiving a child from a Child Placing Agency, other than DCS.

E. Failure to notify the licensing agency of an event or change may result in an adverse licensing action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-328 Emergency and Disaster Plan

A. A foster parent shall develop and maintain in the home a written emergency and disaster plan that includes:

1. Contact information for each foster child, including the name and telephone number of the primary care physician and the Child Placing Agency;

2. An evacuation plan for the home, as required by Chapter 8 of this Title; and

3. A plan for relocation from the home in the event of displacement due to flood, fire, the breakdown of essential appliances, or other disasters.

B. A foster parent shall provide a copy of the relocation plan to the Child Placing Agency for each foster child and to the licensing agency.

C. As appropriate to the foster child's age and developmental level, a foster parent shall review and practice the evacuation plan with the child:

1. Within 72 hours of the child's placement in the home,

2. Within 72 hours of the foster parent's relocation to another home, and

3. At least once each year following the child's placement in a foster home.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-329 Special Provisions for Respite Care

A. A foster parent who provides respite care shall comply with all foster home requirements.

B. A foster parent who provides respite care may simultaneously provide respite care, family foster care, and receiving care so long as the total number of children in the foster home at any one time does not exceed the ratios prescribed in R21-6-309 and the terms of the foster home license.

C. A foster parent who provides respite care shall request and receive information and instruction from the regular foster home licensee on at least the following:

1. Information and instruction about the specific personal care of a child in respite care;

2. Information and instruction about the provision of medications required by a child in respite care;

3. Behavior management policies and practices and specific instructions for a child in respite care; and

4. Emergency contacts and telephone numbers for a child in respite care.

D. A foster parent who provides respite shall comply with the requirements of R21-6-316 . The respite provider shall have properly installed and adequate safety restraints and child car seats appropriate to the foster child's age for each child in respite care being transported. A foster parent may provide the equipment required by this subsection to the respite provider.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-330 Special Provisions for an In-home Respite Foster Parent

A. A person applying for licensure solely as an in-home respite foster parent shall comply with all requirements in this Chapter except as otherwise provided in this Section.

B. An applicant for an in-home respite foster parent is not required to provide the following:

1. Immunization records for each child in the applicant's household as required by R21-6-403 ;

2. Documentation of sufficient income as required by R21-6-403 ;

3. A statement explaining the child care arrangements the applicant would make for a foster child, or the applicant's own children, during the applicant's working hours;

4. A statement explaining how activities related to a business activity will not interfere with the care of a foster child;

5. A description of the applicant's home and neighborhood;

6. Fingerprinting or a criminal history check for household members, other than the applicant for in-home respite care, as required by R21-6-302 ; and

Contact information for the foster child's Child Safety Worker.

C. The following rules do not apply to a person seeking licensure solely as an in-home respite foster parent:

R21-6-304 . Life Safety Inspections;

R21-6-311 . Bedrooms, Beds and Bedding;

3. Life Safety Inspection requirements in Chapter 8 of this Title;

R21-6-314 . Health and Medical Care; subsections (2)-(5);

R21-6-323 . Information and Records to be Provided to the Foster Parent, specifically the Placement Agreement requirements;

R21-6-324 . Records Maintained by the Foster Parent, except to document any behavioral health incidents, medical care, provision of medication, and any other event or service required by the case plan or which may be requested by the regular foster parent while the in-home respite foster parent has responsibility for the foster child in care;

R21-6-325 . Participation in the Service Team, unless requested to do so;

R21-6-326 . Notification Requirements; Unusual Incident, subsection (C)(7), unless the change or event directly affects the licensee's ability to provide respite care and comply with these rules; and

R21-6-327 . Notification Requirements: Home or Household Changes, unless the change or event directly affects the licensee's ability to provide respite care and comply with these rules.

D. An in-home respite foster parent shall request and receive information and instruction from the foster parent on at least the following:

1. Information and instruction about the specific personal care of a foster child in respite care;

2. Information and instruction about the provision of medications required by a foster child in respite care;

3. Behavior management policies and practices and specific instructions for a foster child in respite care; and

4. Emergency contacts and telephone numbers for a foster child in respite care;

5. Household policies and practices for emergency situations; and

Routine household management practices that will provide for continuity in operation of the foster home for the 6 comfort and support of a foster child in care.

E. An in-home respite foster parent shall not permit any unlicensed person to accompany or assist the in-home respite foster parent while providing respite care.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-331 Requirements for Certification to Provide Specialized Services

A. A license for a foster parent is a regular license.

B. If the foster parent has met the additi onal requirements for certification to provide specialized services, OLR shall document the area of certification on the regular license. If more than one person is identified on the license, both shall meet the additional requirements for certification to provide a specialized service; except the foster parent who is not the primary care giver is exempt from compliance with subsections (E)(1)(a), (E)(2)(a) and (b), (E)(3)(b) and (c), and (E)(4).

C. The foster parent shall comply with the requirements specified in this Section to renew the certification.

D. The certification to provide a specialized service:

1. Does not change the renewal date of the regular license; and

2. Shall expire at the next renewal date of the regular license.

E. The classes of foster homes that provide specialized services and the certification requirements are:

1. Receiving Foster Home. This is a home in which the licensed foster parent receives a foster child with limited notice and provides care for a limited period of time. The foster parent for a receiving foster home shall:

a. Have three months' successful experience in child welfare, foster care, health care, education, or a related profession as approved by OLR. "Successful experience" means that the foster parent has been responsible for the health, safety, and well-being of a child for a minimum of 20 hours per week without any negative actions, such as termination for cause;

b. Assist the Child-Placing Agency in assessing the needs of each foster child placed on an emergency basis;

c. Assist the Child-Placing Agency in transitioning the foster child to another care setting.

d Shall be prepared to accept a foster child, according to the capacity and terms of the foster home license, 24 hours per day, seven days per week; and

e. May be approved to simultaneously provide receiving care, family foster care, and respite care so long as the total number of children in the foster home at any time does not exceed the number approved in the regular foster home license, or any of the other limitations of the regular foster home license

2. Medically Complex Foster Home. This is a foster home that is licensed with a maximum capacity of three foster children, and each foster parent has completed specialized training to provide care to foster children identified by the Department as having medically complex needs. Children with medically complex needs include those who have or are at risk for chronic physical or developmental conditions and who require health-related services beyond that required by children in general. The foster parent for a Medically Complex Foster Home shall:

a. Have one of the following minimum experience or education:

i. One year's experience as a licensed foster parent; or

ii. Licensed or certified as a healthcare professional, such as a doctor, nurse, or certified nursing assistant; or

iii Three months' successful experience in child welfare, foster care, health care, education, or a related profession as approved by OLR "Successful experience" means that the foster parent has been respond for the health, safety, and well-being of a child or adult with medically complex needs for a minimum of 20 hours per week without any negative actions, such as termination for cause; or

iv. A bachelor's or graduate degree in healthcare, such as medicine or nursing.

b. Not have employment or commitments that interfere with the foster parent's ability to meet the foster child's medical needs and schedule;

c. Use adaptive equipment and encourage the foster child to use adaptive equipment to facilitate the child's participation in daily living activities;

d. Provide the foster child with opportunities to participate in community activities on a regular basis unless there is a compelling medical reason not to do so;

e. Develop and follow an alternate supervision plan, approved by the Department, Child Placing Agency, and the licensing agency, if the foster parent is not available to provide primary care and supervision to foster child h with medically complex needs The alternate supervision plan shall include:

i. The name of each adult, age 18 years and older, who can provide supervision if the foster parent is not

ii. Information about the foster child's medical, physical, or behavioral health condition that is necessary to provide care;

iii. Medication that is prescribed to be administered to the foster child while the foster parent is not present and any relevant instructions for the administration of that medication;

iv. Specialized training necessary to provide care and supervision; and

v. Emergency contact information for the foster child, including a means to contact the foster parent, the licensing agency, and the Child Placing Agency.

f. In addition to the training specified under R21-6-303, complete a minimum of 18 hours of training approved by the Department, prior to certification that includes:

i. An overview of the assessment categories for children defined as having medically complex needs by the Department;

ii. Medical and health care issues, procedures, and techniques;

iii. The purpose and safe use of medications;

iv. Overview of medication interactions and potential medication reactions; and

v. Positive behavior development;

g. Complete training to care for the special needs of a foster child, as indicated in the placement agreement; and

h. In addition to the training specified under R21-6-303, complete a minimum of 12 hours of specialized training prior to license renewal related to the medically complex needs of children and other approved topics by the Department that include:

i. Medical and health care issues, procedures, and techniques;

ii. The purpose and safe use of medications;

iii. Overview of medication interactions and potential medication reactions;

iv. Positive behavior development; and

v. Specialized training related to the medically complex needs of children.

3. Therapeutic Foster Home. This is a foster home that is licensed with a maximum capacity of three foster children, and each foster parent has received specialized training to provide care and services within a support system of clinical and consultative services to foster children with special behavioral health needs, as identified by the Department. In addition to meeting the requirements for a regular license, the foster parent for a Therapeutic Foster Home shall:

a. Be at least 21 years of age, and

b. Have at least one of the following minimum experience or education:

i. One year's experience as a licensed foster parent;

ii. Three months' successful experience in child welfare, foster care, behavioral health, education, or a related profession as approved by OLR. "Successful experience" means that the foster parent has been responsible for the health, safety, and well-being of a child or adult with behavioral health needs for a minimum of 20 hours per week without any negative actions, such as termination for cause; or

iii. A bachelor's or graduate degree in health care, social work, psychology, or a related behavioral health field.

c. Not have employment or commitments that interfere with the foster parent's ability to meet the foster child's special behavioral health needs, including supporting the foster child and as applicable, participating in in-home and community based services;

d. Provide the foster child with opportunities to participate in developmentally appropriate community based activities on a regular basis;

e. Develop and follow an alternate supervision plan, approved by the Child Placing Agency and the licensing agency, if the foster parent is not available to provide primary care and supervision for a foster child with treatment needs. The alternate supervision plan shall include:

i. The name of each adult, age 21 years and older, who can provide supervision if the foster parent is not present;

ii. Information about the foster child's behavioral, health, medical, or physical condition that is necessary to provide care;

iii. Medication that is prescribed to be administered to the foster child while the foster parent is not present and any relevant instructions for the administration of that medication;

iv. Specialized training taken by individuals in subsection (i) that is necessary to provide care and supervision of the foster child; and

v. Emergency contact information for the foster child, including a means to contact the foster parent, the licensing agency, and Child Placing Agency.

f. In addition to the training specified under R21-6-303, complete a minimum of 18 hours of training prior to certification, approved by the Department that includes:

i. Positive behavior development and de-escalation techniques,

ii. The purpose and safe use of medications, and

iii. Overview of medication interactions and potential medication reactions.

g. Complete training to care for the special needs of a foster child, as indicated in the placement agreement;

h. In addition to the training specified under R21-6-303, complete a minimum of 24 hours of training prior to license renewal. The Department shall approve the training curriculum and coordinate the training curriculum through a licensing agency. The training shall include:

i. Positive behavior development and de-escalation techniques,

ii. The purpose and safe use of medications, and

iii. Overview of medication interactions and potential medication reactions.

4. Group Foster Home. This is a home in which all licensed foster parents are certified to provide care for six to 10 foster children for the purpose of accommodating a specific sibling group, or as otherwise provided in A.R.S. § 8-514, for over capacity placements. In addition to meeting the requirements for a regular license, the foster parent for a Group Foster Home shall:

a. Have the following minimum experience or education:

i. History of care or contact with the specific children to be placed in the Group Foster Home; or

ii One year's experience as a licensed foster parent; or

iii Three months' successful experience in child welfare, foster care, education, or a related profession as approved by OLR. "Successful experience" means that the foster parent has been responsible for the health, safety, and well-being of a child for a minimum of 20 hours per week without any negative actions, such as termination for cause.

b. Uphold the age limitations of children prescribed by R21-6-309 ;

c. Conduct a fire drill at least once every three months;

d. Have at least two full bathrooms in the home; and

e. If recommended by OLR, or the Child Placing Agency, complete advanced training on positive behavior development, de-escalation techniques, or other topics related to the specific care needs of the foster children.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-332 Placement of a Child with a Developmental Disability in a Foster Home

A. OLR shall refer the foster parent to the DES Division of Developmental Disabilities (DDD), Office of Licensing, Certification and Regulation (OLCR) for licensing as a child developmental home, if the Department has placed a child with a Developmental Disability in a foster home and the foster home has:

1. No more than three placements, including the child with a Developmental Disability, or

2. More than three placements but the placements are only the child with the Developmental Disability and that child's siblings,

B. If the foster home is licensed by DES OLCR as a child developmental home, OLR shall place the regular foster home license on inactive status. The foster parent may reactivate the regular foster home license by complying with R21-6-413.

C. If the foster home is not licensed by the DES OLCR as a child developmental home, or the foster home has more than three, but no more than five placements, including the child with a Developmental Disability, the home may remain a regular foster home with the following requirements:

1. If the child with a Developmental Disability is eligible under A.R.S. § 36-559, OLR shall refer the foster parent to DES OLCR as an option to become HCBS certified; and

2. The foster parent shall follow written and verbal instructions and orders from qualified professionals regarding the medical, dental, habilitative, and therapeutic needs of the child with a Developmental Disability.

D. If the foster parent is not available to provide primary care and supervision for a foster child with a Developmental Disability, the foster parent shall develop and follow an alternate supervision plan, approved by the licensing agency and the Child Placing Agency in consultation with DES if the child with the Developmental Disability is eligible under A.R.S. § 36-559. The alternate supervision plan shall include:

1. The name of each adult, age 18 years and older, who can provide supervision if the foster parent is not present;

2. Information about the foster child's medical, physical, behavioral health condition, or other factors that put the child's health, safety, or well-being at risk that is necessary to provide care;

3. Medication that is prescribed to be administered to the foster child while the foster parent is not present and any relevant instructions for the administration of that medication;

4 Specialized training taken by individuals in subsection (1) necessary to provide care and supervision to the foster child; and

5. Emergency contact information for the foster child, including a means to contact the foster parent, the licensing agency, and the Child Placing Agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Article 4 THE LICENSING PROCESS FOR FOSTER PARENTS

Ariz. Admin. Code § R21-6-401 Minimum Qualifications to Apply for a License

A. Any individual or married couple meeting the following minimum qualifications shall be eligible to apply for licensure as a foster parent regardless of gender, race, religion, political affiliation, national origin, disability, or sexual orientation.

B. All applicants shall submit a complete application and accompanying documentation for a foster home license.

C. To apply for a family foster home license, the applicant shall:

1. Be at least 21 years of age, except as provided in R21-6-419.

2. Reside in Arizona and be lawfully present in the United States.

3. Not have a record of withdrawing from the licensing application process or closing a license before the completion of an investigation or licensing inquiry, except as permitted under R21-6-414(I) ; and

4. Declare under oath that he or she:

a. Has not committed a crime specified in Arizona Revised Statutes as a precluding crime for the issuance of a Level One fingerprint clearance card; and

b. Is not a registered sex offender.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-402 Rights of the Applicant and the Foster Parent

A. In addition to the inspection and due process rights specified under A.R.S. § 41-1009, and A.R.S. § 8-530, the foster parent shall have the right to:

Participate in an orientation offered by OLR or a licensing agency, which provides the following information:

a. An overview of the licensing process,

b. A copy of, or instructions for, accessing the licensing rules,

c. Requirements and information specific to the available licensing agencies, and

d. The mission and philosophy of the Department.

Choose or transfer to a licensing agency approved by the Department, at no cost to the applicant or foster parent;

3. Be treated with courtesy, dignity, and fairness by the licensing agency and the Department;

4. Be free from discrimination in the licensing process on the basis of political affiliation, marital status, or sexual orientation;

5. Receive information and training pertinent to the responsibilities of a foster parent;

6. Receive advice and technical assistance provided by the licensing agency or OLR to assist the applicant or foster parent in understanding the licensing requirements;

7. Direct the licensing agency to enter the applicant's complete and accurate information for licensure via the Department's electronic database;

8. Appeal an adverse licensing action as described under R21-6-417 ;

Elevate concerns about the licensing process in writing to the program administrator for OLR.

10. Be free from retaliation by a licensing agency and the Department in the event of a disagreement, an appeal, or an elevation of concerns by the foster parent or applicant;

11. Be informed of and provided the opportunity to be heard in any adverse licensing action conducted by OLR that impacts the foster parent's or applicant's license;

12. Reasonably refuse placement or request removal of a child without reprisal from the licensing or Child Placing Agency; and

13. The confidential treatment of private information revealed in the licensing process in accordance with A.R.S. § 8-502 and A.R.S. § 8-530.

B. Upon written request and payment of reasonable duplication and postage fees by a foster parent, the licensing agency shall forward a copy of the contents of the licensing records to an agency or organization for the purpose of assisting a foster parent who is being considered for a private or out-of-state adoptive placement, or any similar purpose.

C. Upon written request, OLR and a licensing agency shall permit a foster parent or applicant to access their licensing record, except as provided in subsection (E).

D. A foster parent shall be permitted to provide a written response to the Child Placing Agency and OLR on findings and comments in the home study, investigative reports, and any correspondence, with the exception of the items listed in subsection (E).

E. A foster parent or applicant shall not have access to the following:

1. Information supplied by confidential references during the licensing process;

2. Information protected from secondary dissemination under state or federal law, including DCS Reports and investigations and related records; or

3. The names of or identifying information for persons and organizations listed as sources in a licensing investigation or DCS Report or inquiry.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-403 Application for an Initial License

A. An individual or married couple shall complete the application for an initial license accurately and in full via the Department's electronic database. The applicant may direct the licensing agency to enter the application.

B. The application for an initial license shall include:

1. The full legal name of each household member;

2. All other names and aliases, including birth names and names used in previous marriages, of each household member;

3. The current marital status of the applicant;

The date of birth of each household member, except other foster children, including evidence that the applicant is at least 21 years of age;

5. The Social Security Number of each adult household member, for the purpose of conducting a background check;

6. The relationship between the applicant and all other household members, including a parent, sibling, housemate, or tenant;

7. The telephone number and e-mail address of the applicant;

The mailing address of the applicant and the physical address of the applicant's home;

9. A statement that the applicant resides in Arizona;

10. The document specified under A.R.S. § 41-1080(A) and, as applicable (E), to demonstrate that the applicant is lawfully present in the United States;

11. The name of the school district in which the applicant's home is located;

12. Each address held by each adult household member during the previous 10 years;

13. The name, date of birth, current address, and telephone number of each child of the applicant who lives outside the applicant's home, if known, and a statement as to whether the child is reasonably expected to have contact with a child in foster placement;

14. The applicant's employment history, including the names of employers, dates of employment, and positions held during the previous 10 years;

15. A summary of the applicant's education;

16. A description of the applicant's experience in caring for children or adults;

17. The applicant's household budget, showing income, resources, assets, debts, and obligations;

18. Plans for the sleeping arrangements for each household member and for each potential foster child;

19. Plans for transportation of each potential foster child including:

a. Evidence of a valid driver license for each household member who will provide transportation;

b. Evidence that each vehicle to be used for transportation is registered and insured to operate in Arizona; and

c. Evidence that the applicant has or shall obtain prior to placement, the correct number and type of child car seats for the conditions of the license.

20. A description of any pool on the foster home premises;

21. A description of the applicant's prior efforts to be certified or licensed for adoption, foster care, assisted living, child-care, and any other service for children or vulnerable adults, including:

a. Applications that were withdrawn or denied; and

b. Applications that resulted in a license or certification that was suspended or revoked.

22. A list of the names, mailing and e-mail addresses, and telephone numbers of five references, to attest that the applicant is of good character and has the qualifications to care for a foster child:

a. At least one of the references, but not more than two, shall be related to the applicant;

b. At least three of the references shall be unrelated to the applicant;

c. If the applicant is married, then at least two of the references shall be familiar with the applicant as a couple; and

d. If another adult household member is applying for a license or is currently licensed, then at least two of the references shall be familiar with both the applicant or foster parent and other household member.

23. A disclosure of civil and court proceedings in which the applicant has been a party, including:

a. Criminal proceedings;

b. Lawsuits;

c. Dependency actions, including:

i. Removal of a dependent,

ii. Voluntary relinquishment,

iii. Suspension of custody, or

iv. Termination of parental rights;

d. Charges of child abuse or neglect;

e. Child support enforcement proceedings within the last five years;

f. Bankruptcy within the last five years;

g. Divorce, separation, or any other civil proceedings; and

h. Adoption;

24. A criminal record self-disclosure completed by each adult household member;

25. Evidence that each adult household member, has obtained a Level One fingerprint clearance card;

26. A disclosure by the applicant of any allegation against the applicant of abuse or neglect of any child or vulnerable adult;

27. Any history of abuse or neglect involving the applicant;

28. Authorization for a Central Registry record check:

a. For each adult household member, and

b. With each state in which any adult household member resided in during the previous five years.

29. A health self-disclosure completed by each adult household member;

30. A physician's statement as defined in R21-6-101(54), related to the physical and behavioral health completed for the applicant and for each adult household member who will be providing care and supervision;

31. An up-to-date immunization record, if available, for each child household member. The lack of available immunization records shall not prohibit licensure, but may be grounds for restricting the license to prevent the placement of infants, young children, and medically complex individuals; and

32. A Statement of Understanding signed by the applicant and attesting to the truth of the information provided during the application process.

C. The applicant in cooperation with a licensing agency shall submit the information required under R21-6-205 and this Section and the home study and assessment as directed under R21-6-206 and R21-6-405.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-404 Types of Licenses

A. OLR grants the following types of licenses:

An initial license,

2. A renewal license, and

3. An amended license to reflect changes made to information on the initial or renewal license.

B. The license for a foster parent shall specify the following:

1. The type of license (initial, renewal, or amended);

2. The name of the foster parent;

3. The physical address of the home;

4. The date the license is issued;

5. The maximum number of foster children that may be placed in the home;

6. The age range of foster children that may be placed in the home;

7. The gender of foster children that may be placed in the home;

8. Specialized services the foster parent is certified to provide, as applicable, under Article 3 of this Chapter include the following:

a. Receiving Foster Care,

b. Medically Complex Foster Care,

c. Therapeutic Foster Care, and

d. Group Foster Care.

9. All restrictions applicable to the license, including restriction to:

a. A specific foster child.

i. OLR shall not identify the name of a foster child on the license.

ii. OLR shall only specify the name of a foster child in confidential correspondence.

b. Respite care only.

c. Prevent the placement of infants, young children, and medically complex individuals, to protect their health due to a lack of a household member's immunization; and

10. The name of the licensing agency.

C. A license shall be valid for the period of time specified on the license and shall expire on the specified date unless the foster parent licensee files an application for renewal before the expiration date. In addition, a license shall terminate if:

1. The foster parent voluntarily closes the license, under R21-6-414(I) ;

OLR revokes the license as described under R21-6-414 ;

3. The foster parent moves to a different residence without first notifying the licensing agency or OLR; or

4. The foster parent moves out of Arizona.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-405 Home Study and Assessment

A. The applicant and adult household members shall complete self-assessments, using the forms approved by OLR, and share the results of the self-assessments with the licensing agency. The licensing agency shall, in the home study, summarize and consider information provided in the self-assessments.

B. All household members, including each child household member, if appropriate to the child's age and developmental level, shall participate in interviews conducted by the licensing agency, as directed by R21-6-206.

C. The applicant shall participate in and successfully complete pre-service training as specified in R21-6-303.

D. The applicant shall provide additional information as needed for the licensing agency to evaluate the fitness of the applicant and to conduct the home study.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-406 The Licensing Decision

A. OLR shall evaluate the applicant's compliance with licensing requirements before making a licensing decision.

B. Prior to making a licensing decision, OLR may, as necessary and appropriate:

1. Require the applicant or licensing agency to provide additional documentation to verify compliance with licensing requirements, such as marriage licenses, divorce decrees, legal separation agreements, child support orders or payments, pay stubs, and bankruptcy documents;

Require the applicant or licensing agency to provide additional information if:

a. The medical, physical, or mental health needs of a household member could interfere with the care and supervision of a foster child;

b. Adults residing outside the household will have frequent or close contact with a foster child; or

c. A household member has been charged with or convicted of a crime, even if the specific crime does not preclude the issuance of a Level One fingerprint clearance card;

3. Gather additional information needed to determine the applicant's fitness. This may include:

a. Interviewing the applicant,

b. Contacting references,

c. Verifying information provided in the application or by the licensing agency, and

d. Inspecting the applicant's home.

C. When making a licensing decision, OLR shall consider factors that have a bearing on the applicant's or foster parent's fitness. These factors include:

1. The applicant's current and historical compliance with licensing requirements. In assessing complaints and violations with statutes and licensing requirements, OLR shall consider:

a. The type of complaint or violation,

b. The severity of each violation,

c. The number of complaints or violations,

d. A pattern of complaints or violations, and

e. The applicant or foster parent's response to a corrective action plan.

2. The applicant's history of parenting or caring for children or vulnerable adults;

3. Allegations of abuse or neglect of a child or vulnerable adult made to DCS or the DES adult protective services against any of the following individuals residing in the home: the applicant, a household member, a foster child, an adult with a Developmental Disability, or a young adult residing in the foster home under a written individual case plan agreement for out-of-home care. To determine whether the allegation of abuse or neglect affects the applicant's fitness, OLR shall consider all relevant factors, including:

a. Whether the allegation was substantiated,

b. The number and nature of all allegations,

c. The length of time that has elapsed since each allegation,

d. The circumstances surrounding each allegation,

e. The extent of the person's rehabilitation, and

f. The nature and extent of each household member's involvement in the allegation.

4. The stability of residency in Arizona;

5. The stability of marital and household relationships;

6. The applicant's or foster parent's financial stability and ability to meet obligations;

7. Medical, physical, or mental health concerns that impact the applicant's or foster parent's ability to provide safe care and supervision to a child. OLR shall consider accommodations presented by the applicant, as permitted under R21-6-301 to reduce or eliminate any medical, physical, or mental health conditions;

8. Significant life disturbances, including the death of a family member, divorce, bankruptcy, and job separation;

9. Patterns of criminal charges or allegations; and

10. Other significant factors in the applicant's life.

D. OLR may waive non-safety licensing requirements on a case-by-case basis for an applicant who will only provide kinship care.

E. The licensing decision shall occur within the time-frames specified under R21-6-407.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-407 Licensing Time-frames

A. OLR shall review an application and render a licensing decision within required time-frames.

B. Within 30 days of receiving an application, OLR shall conduct an administrative completeness review to determine whether all required documentation and information has been submitted. Within the 30-day administrative review time-frame:

1. If the application is complete, OLR shall immediately move the application forward for a substantive review; or

2. If the application is incomplete, OLR shall issue a Notice of Incomplete Application to the applicant and the licensing agency containing a list of items and information needed to complete the application.

a. The applicant shall have 30 days to supply the missing items or information to OLR via the licensing agency.

b. The time-frame for the administrative completeness review shall be suspended from the date OLR issues the Notice of Incomplete Application to the date that OLR receives the missing item or information.

c. If the applicant does not supply the requested items or information within 30 days of receiving the Notice of Incomplete Application, OLR may close the file. Once closed, the applicant may reapply for licensure, except as prohibited by R21-6-414.

d. If the applicant supplies the required items and information via the licensing agency to OLR within 30 days, OLR shall conduct a substantive review of the application.

C. Within the 30 days following the administrative completeness review of an application, and if the application is complete, OLR shall complete a substantive review to evaluate the applicant's fitness for licensure. Within the 30- day substantive review time-frame, OLR:

1. May request that the applicant or licensing agency provide additional information if needed to evaluate the suitability of the applicant for licensure.

a. The applicant and the licensing agency shall have an additional 21 days to provide the information to OLR.

b. The time-frame for the substantive review shall be suspended from the date OLR requests additional information to the date OLR receives the information.

2. Shall make the licensing decision, as described under R21-6-406, and take a licensing action, as described under R21-6-414.

D. Within an overall time-frame of 60 days upon receipt of a complete application, OLR shall:

1. Complete an administrative review of an application,

2. Complete a substantive review of an applicant's fitness, and

3. Notify the applicant and the licensing agency of the decision to grant or deny a license.

E. The same time-frames used for initial licensure shall also apply to renewing and amending a license:

1. OLR shall complete the administrative completeness review within a maximum of 30 days from receipt of the application.

2. OLR shall complete the substantive review of a complete application within a maximum of 30 days following the administrative completeness review.

3. OLR shall review the application and notify the applicant and licensing agency of the licensing decision within a maximum of 60 days, not including suspended timeframes, from receipt of the application.

| Process | Responsible Party | Time-frame for Completion | | --- | --- | --- | | Completion of training and assembly of the application | Applicant and licensing agency | Not regulated: typically two-four months | | Administrative completeness review | OLR | Maximum of 30 days | | Respond to the notification of incompleteness | Applicant and licensing agency | Maximum of 30 days (time-frame is suspended) | | Substantive review | OLR | Maximum of 30 days | | Respond to request for additional information to evaluate fitness | Applicant and licensing agency | Maximum of 21 days (time-frame is suspended) | | Overall time-frame for a licensing decision | OLR | Maximum of 60 days |

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-408 Licensing Limitations

A. OLR may license unmarried applicants who reside together individually and shall link the unmarried applicants in the Department's electronic database.

B. OLR shall license married applicants jointly, unless a married applicant applies to be licensed individually because:

1. The applicant's spouse is permanently, physically disabled to such an extent that the spouse is unable to provide care for a child, as verified by a physician's statement;

2. The applicant's spouse is absent from the household and expected to be absent from the household for nine or more of the following 12 months due to military service; or

3. The applicant and his or her spouse have been separated for at least one year, and the spouses have not lived together. If the spouses have not lived together for:

a. Five or more years the applicant shall:

i. Sign a statement that the marriage is over and the applicant has no intent to live or reconcile with their spouse;

ii. If the applicant knows the location of the spouse, obtain a statement from the spouse that the marriage is over, and the spouse has no intent to live or reconcile with the applicant;

iii. Submit evidence that the spouse is living elsewhere, if available; and

iv. Submit any other evidence that the spouse is not going to return to the household; or

b. One to five years, the applicant's spouse shall:

i. Obtain a Level One fingerprint clearance card, and

ii. Pass a protective services registries check.

C. If OLR licenses a married applicant individually under subsections (B)(2) or (3) and the applicant's spouse returns, the applicant shall:

Notify OLR immediately under R21-6-411 ; and

2. Submit a new application as a married couple under R21-6-403 and meet all licensing requirements.

D. A license is only valid for the licensee specified on the license.

E. A license is only valid for the address specified on the license.

F. A foster parent shall not simultaneously hold more than one license or a license and certification to provide human care services in the foster home, including foster care, child care, assisted living, or an adult developmental home without the written approval of OLR. This restriction does not apply to the certification of a licensed foster home to provide specialized services under the classification of licenses described under R21-6-331.

G. An applicant shall not be an employee or relative of an employee for the licensing agency that is assisting the applicant with licensure.

H. OLR's issuance of a license to a qualified applicant does not guarantee the placement of a child.

I. A foster parent is limited to the capacity, age, gender, and other conditions or restrictions specified on the license when providing care, including respite care.

J. The foster parent shall notify and obtain approval from DCS and the licensing agency before receiving a child from a Child Placing Agency, other than DCS.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-409 Training Reporting Update

A. The foster parent shall cooperate with the licensing agency to provide proof of completion of the training required by A.R.S. § 8-509.

B. OLR may take an adverse licensing action against the foster parent if he or she fails to complete the required training and to submit the information in subsection (A) as required by A.R.S. § 8-509.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-410 Amending the License

A. The foster parent shall notify the licensing agency if there are any circumstances requiring an amendment to the license.

B. The foster parent shall work with the licensing agency to request an amendment to modify the following information on the license:

1. License type;

2. Increase or decrease in capacity, age range, and gender of the foster children who may be placed in the home;

3. Physical address of the home;

4. Remodel of the home;

5. Legal name of the foster parent;

6. Change in marital status;

7. Addition of a household member; including the birth of an adopted child;

8. Name of a spouse, due to the death of a spouse or due to a change in marital status;

9. Death of a licensed foster parent;

10 Name of the licensing agency specified on the license;

Modification of the license expiration date; or

12. Any condition or certification specified on the license.

C. The foster parent shall work with the licensing agency to request an amendment to the license via the Department's electronic database. The following information shall be included in the request to amend a license:

1. A description of the change or changes being requested;

2. Justification for the change or changes, as appropriate;

3. Other relevant information to assist in the issuance of a license amendment;

4. Results of a new Life Safety Inspection, if required;

5. A recommendation by the licensing agency to issue or deny an amended license; and

6. A recommendation by the licensing agency to limit the terms or conditions of a license, if applicable.

D. To request an amendment to the license to change the physical address due to the relocation of the foster parent, the foster parent shall:

1. Provide new contact information including:

a. Phone number,

b. Address, and

c. E-mail;

2. Provide evidence that the change in residence does not negatively impact their ability to meet financial obligations;

3. Provide plans for the sleeping arrangements for each household member and foster child; and

4. Ensure that the home meets the standards for a Life Safety Inspection, in accordance with Chapter 8 of this Title.

E. To request an amendment to the license to add the name of a spouse due to marriage, the foster parent and spouse shall jointly:

1. Complete an application for licensure;

2. Submit proof of legal marriage;

3. Participate in the home study and assessment; and

Cooperate with the licensing agency's evaluation of the spouse's fitness as defined in R21-6-101(20).

F. OLR may initiate the action to amend a license to protect the health, safety, or well-being of a foster child.

G. An amendment shall not change the expiration or issuance dates on a license, unless the amendment is approved to modify the license expiration date.

H. Information provided for a renewal does not replace the process required to amend the license.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-411 Addition of Household Members

If there is a change in household members during the term of the license, the foster parent shall:

1. Notify the licensing agency of the change to the household in accordance with R21-6-327 and R21-6-411 ;

2. Ensure that each new household member complies with the applicable requirements of this Chapter; and

3. Notify the licensing agency and obtain OLR and Child Placing Agency approval of proposed changes in the sleeping arrangements for each household member and for each foster child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-412 Application for a Renewal License

A. A license shall:

1. Be valid for the period of time specified on the license, and

2. Expire at midnight of the expiration date if the applicant does not apply for a renewal license in accordance with this Article.

B. To initiate the renewal of the license, the foster parent shall confirm:

1. With the licensing agency that he or she wishes to renew the license, and

The accuracy of or update the information via the Department's electronic database.

C. The foster parent shall cooperate with the licensing agency by:

1. Participating in and facilitating interviews necessary for the licensing agency to update the home study;

2. Assembling the documents needed to demonstrate ongoing compliance with licensing requirements;

3. Completing training, as described in R21-6-303 and R21-6-331 if applicable.

4. Cooperating with the completion of a Life Safety Inspection of the home as described under R21-6-304 :

a. By the licensing agency every year, and

b. By OLR at least once every two years.

5. Providing a current health self-disclosure for each adult household member every year;

6. Obtaining a physician's statement for the foster parent at least once every two years and providing a physician's statement for other adult household members if determined to be necessary by OLR in accordance with R21-6-302 ;

7. Maintaining a current and valid fingerprint clearance card meeting Level One requirements for each adult household member; and

8. Signing the Statement of Understanding.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-413 Application for License Reinstatement

A. OLR shall evaluate an applicant for reinstatement the same as an applicant for a renewal license under R21-6-412.

B. Reinstatement is available to applicants previously licensed by OLR, including those foster parents whose license is on inactive status because the foster home has been licensed by DES as a child developmental foster home if:

1. The previous application for licensure was submitted via the Department's electronic database;

2. The previous license has been expired for less than one year, or if a child developmental home, there has been a gap in licensure between the foster home license and the child developmental foster home license of less than one year: and

3. OLR completes a new Life Safety Inspection.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-414 Licensing Actions

A. Within the time-frame specified in R21-6-407, OLR shall notify the applicant and the licensing agency of the licensing decision.

B. OLR shall issue a license if OLR determines that an applicant or foster parent is in:

1. Full compliance with all licensing requirements;

2. Substantial compliance with licensing requirements and an approved corrective action plan is in place for violations, as specified under R21-6-416 ; or

3. Substantial compliance based on information currently available if an investigation is pending.

C. OLR may deny, suspend, or revoke a license if an applicant or foster parent:

1. Refuses or fails to provide the licensing agency or OLR with information needed to evaluate compliance with licensing requirements;

2. Misrepresents or falsifies information needed by the licensing agency or OLR to evaluate compliance with licensing requirements;

3. Misrepresents or falsifies information presented by a household member during the licensing process;

4. Is aware of a misrepresentation or falsification of the information presented by the household member during the licensing process;

5. Refuses or fails to substantially comply with licensing requirements, Arizona or federal laws, or local codes or ordinances;

6. Refuses or fails to carry out a required corrective action plan to correct a violation;

7. Has been denied a certificate or license to provide care to a foster child or vulnerable adult, unless the denial was based on failure to complete the process according to a required time-frame;

8. Has had a certificate or license to provide care to a foster child or vulnerable adult denied, suspended, or revoked;

Has a household member that refuses to cooperate with the licensing process;

10. Lives in a home in which a fingerprint clearance card meeting Level One requirements for a foster parent and an adult household member has been suspended, denied, or revoked;

11. Lives in a home in which an allegation of child abuse or neglect has been substantiated against a household member; or

12. The foster parent moves to a different residence without first notifying the licensing agency.

D. OLR may initiate an adverse licensing action if OLR concludes that:

1. A violation of licensing requirements is not correctable;

2. A violation of licensing requirements poses a risk to the health, safety, or well-being of a child;

3. A foster parent has a history or pattern of similar violations with licensing requirements; or

4. A violation is ongoing and continuing.

E. If OLR takes an adverse licensing action, OLR shall send a dated notice of the action to:

1. The applicant or foster parent by certified mail,

2. The licensing agency, and

3. The Child Placing Agency for each child placed with the foster parent or applicant at the time of the action.

F. The notification for an adverse licensing action shall specify:

1. The effective date of the adverse action;

2. The facts upon which the adverse action is based;

3. The law or rule violation that is the basis of the adverse action; and

4. The time-frame and process for the applicant or foster parent to appeal the adverse action, including:

a. The form approved by DCS to appeal the adverse action, and

b. The procedure for the applicant or foster parent to request an appeal of the adverse action.

G. In the event of an adverse licensing action, and until there is final resolution of the matter:

1. The foster parent shall not:

a. Receive new placements;

b. Accept additional foster children;

c. Provide short-term care as described under R21-6-306 or respite care;

2. A Child Placing Agency shall not place additional foster children with the foster parents; and

3. The Child Placing Agency may remove a current foster child from the home if, in the judgment of the Child Placing Agency, there is reasonable belief of a risk to the health, safety, or well-being of the child.

H. In the event of a license revocation, the adverse action shall be effective:

1. On the 26th day after the foster parent's receipt of the revocation notice; or

2. On the date that an administrative hearing officer or appeals board issues a written decision affirming the revocation, if the foster parent appeals the revocation.

I. An applicant or foster parent may voluntarily withdraw the application for licensure or close the license at any time by submitting written notice to the licensing agency and OLR, using the form approved by OLR.

1. If the foster parent voluntarily withdraws an application or closes a license while in good standing, the applicant or foster parent may re-apply for a license.

2. A license is not in good standing, and the licensing authority shall deny a re-application, if the foster parent withdrew or closed a license:

a. Before the completion of a corrective action, or with the knowledge that a corrective action plan was pending if the closure was to avoid compliance with the corrective action plan;

b. Before the completion of an investigation or inquiry; or

c. When a DCS investigation of child abuse or neglect is pending.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-415 Routine Monitoring and Verification of Ongoing Compliance

A. Throughout the term of a license, the foster parent shall ensure ongoing compliance with licensing requirements.

B. The foster parent shall cooperate with monitoring requirements by making the home available for inspections and by participating in interviews. Inspection and monitoring activities by the licensing agency or OLR may include, as necessary and appropriate:

1. A review of records and reports maintained by the foster parent on the care, services, and treatment provided;

2. Interviews with the foster parent and household members including children in the home age five years and older;

3. Interviews with foster children; and

4. An inspection of the home, foster home, and vehicles used to transport foster children.

C. At the time of each monitoring or inspection, the licensing agency shall provide the applicant or foster parent with:

1. A written summary of the monitoring or inspection activities conducted;

2. Planned follow-up and required corrective actions, as applicable; and

3. A written summary of the applicant's or foster parent's rights, in accordance with A.R.S. § 41-1009.

D. The licensing agency shall keep a copy of the written summaries specified in subsection (C) and make the summaries available to OLR upon request.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-416 Corrective Action Plan

A. OLR may initiate and place a foster parent on a corrective action plan to remedy the violation of a licensing requirement. A foster parent shall comply with the corrective action plan.

B. In determining whether to require corrective action, OLR shall consider the following criteria:

1. The nature of the violation;

2. Whether the violation can be corrected;

3. Whether the foster parent understands the violation and shows a willingness and ability to participate in corrective action;

4. The length of time required to implement corrective action;

5. Whether the same or similar violations have occurred on prior occasions;

6. Whether the foster parent has had prior corrective action plans, and, if so, the foster parent's success in achieving the goals of the plan;

7. The foster parent's history as a foster parent or care giver; and

8. Other similar or comparable factors demonstrating the foster parent's ability and willingness to follow through with a corrective action plan and avoid future violations.

C. The corrective action plan shall:

1. Be written by OLR and may be in cooperation with the licensing agency,

2. Specify the facts that constitute the violation,

3. Specify the law or rule violated by the foster parent,

4. Specify the steps a foster parent must take to remedy the violation, and

5. Specify a date for completion of the required corrective action.

D. The licensing agency or OLR may, as necessary and appropriate, conduct an unannounced monitoring visit to verify the implementation or completion of a corrective action.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-417 The Appeal Process

A. An applicant or foster parent shall have the right to appeal an adverse licensing action following the process specified under 21 A.A.C. Chapter 1, Article 3.

B. To appeal, per A.R.S. § 8-506, an applicant or foster parent shall submit a written notice of appeal to OLR within 25 days from the mailing date on the adverse licensing action notice.

C. The notice of appeal shall specify the action being appealed, and a statement of why the adverse licensing action is wrong.

D. If a child has been removed from the home because of a health, welfare, or safety issue, the child shall remain out of the home while the appeal is pending.

E. The following are not appealable:

1. Restrictions or limits specified by OLR on the license, including the capacity, age group, or gender of children that may be placed in the home;

2. The assignment of a required corrective action, as specified under R21-6-416, to bring the applicant or foster parent into compliance with licensing requirements.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-418 Allegations of Abuse or Neglect; Licensing Complaints

A. The applicant or foster parent shall immediately report allegations of abuse or neglect of a child, or a licensing complaint to the Department's Centralized Intake Hotline and to the licensing agency.

B. The applicant or foster parent shall cooperate with:

1. An investigation conducted by DCS, and

2. A licensing investigation conducted by a licensing agency or OLR.

C. The Child Placing Agency shall not place additional children in the foster home throughout the DCS or licensing investigation until the matter is resolved.

D. OLR shall determine the action, if any, that it will take against the foster parent.

1. OLR shall implement an adverse licensing action as described under R21-6-414 if the DCS or licensing investigation:

a. Substantiates an allegation of abuse or neglect; or

b. Confirms the violation of a licensing requirement and there is reasonable cause to believe the violation:

i. Is continuing;

ii. May recur; or

iii. Poses a risk to the health, safety, or well-being of a child.

2. If the licensing investigation validates that there was a violation of a licensing requirement but that the foster parent has corrected the violation, OLR:

a. Shall record the incident and resolution in the licensing record,

b. May specify additional required corrective action, and

c. Shall notify the licensing and Child Placing Agency of the violation and corrective action.

E. A complainant's identity is confidential unless OLR takes a licensing action based on the testimony of the complainant.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Ariz. Admin. Code § R21-6-419 Waiver of Non-safety Licensing Requirements for Kinship Care

A. OLR may waive specific non-safety rule requirements for an applicant or foster parent providing only kinship care, as defined under R21-6-101(36), on a case by case basis, if the applicant or foster parent demonstrates that compliance would be a hardship. The applicant or foster parent may work with his or her licensing agency to comply with this Section.

B. The request for a waiver shall include:

1. The specific rule to be considered for waiver by OLR;

2. The reason compliance would be a hardship;

Any proposed alternative compliance with the rule requirement, including pictures or diagrams that depict any physical requirement to be waived; and

4. Justification that waiving the licensing requirement will not compromise the safety of a foster child.

C. The applicant or foster parent or licensing agency shall submit a waiver request only on forms supplied by OLR.

D. OLR shall consider the waiver of a non-safety licensing requirement on a case-by-case basis.

E. An applicant or foster parent shall base a waiver request on a licensing requirement and the needs of the foster child. OLR shall not grant a waiver request because it would be inconvenient for the foster parent or applicant to comply with a licensing requirement.

F. Non-safety issues may include granting licensure to applicants who are 18 to 20 years of age, have fewer than two full bathrooms, or may not meet the financial requirements of R21-6-301.

History

• New section made by exempt rulemaking at 21 A.A.R. 3480, effective 1/24/2016.

Chapter 7 DEPARTMENT OF CHILD SAFETY - CHILD WELFARE AGENCY LICENSING

Article 1 [Effective 11/6/2023] LICENSING REQUIREMENTS FOR A CHILD WELFARE AGENCY

Ariz. Admin. Code § R21-7-101 Definitions

In addition to the definitions contained in A.R.S. § 8-501, the following definitions apply in this Chapter:

1. "Abuse" means the same as in A.R.S. § 8-201.

2. "Administrative Completeness Review Time Frame" means the same as in A.R.S. § 41-1072.

3. "Adult" means any person 18 years of age or older.

4. "Adverse action" means a license denial, suspension, or revocation.

5. "After care" means services provided to a child in care after the child is discharged from a licensee's care and may also include services for the child's family.

6. "Agency" means a Child Welfare Agency.

7. "Amendment" means the addition, deletion, correction, or other change proposed or made to a license.

8. "Applicant" means a person or group of persons, including any individual with ownership interest, who submits an application to the Department to become licensed or to renew a license to operate a Child Welfare Agency.

9. "Behavior management" means the policy, procedure, and technique a licensee uses to control a child in care's conduct as prescribed in R21-7-227.

10. "Board of Directors" means a group of individuals elected to establish policies and jointly supervise the activities of an organization, and makes decisions on major company issues. An Agency's Board of Directors may also be referred to as a Governing Body.

11. "Calendar day" means all days, including weekends and Arizona state holidays.

12. "Central Registry" means the information maintained by the Department of substantiated reports of child abuse or neglect for the purposes of A.R.S. § 8-804.

13. "Centralized Intake Hotline" means a dedicated unit established by the Department, under A.R.S. § 8-455, to receive and process communications regarding suspected abuse or neglect of a child in the state of Arizona.

14. "Chief Executive Officer" or "CEO" means the person responsible for overall administration of a Child Welfare Agency. Depending on the type of organization, the Chief Executive Officer may also be referred to as the Executive Director, Administrator, or Director of the Agency, or any other title that refers to an individual who serves this function.

15. "Child" means any person less than 18 years of age.

16. "Child in care" means a child that is placed in the physical custody of an Agency, licensee, or residential group care facility other than with the child's parent or guardian.

17. "Child Placement" or "placement activity" means the selection, by a person or agency other than the child's parent or guardian, of a foster family or prospective adoptive family, or effecting the movement of the child into the foster family or prospective adoptive family.

18. "Child Placing Agency" means any Child Welfare Agency that places children in foster homes for temporary care or in prospective adoptive homes for adoption. The children placed by the Child Placing Agency are not in the custody of the Department.

19. "Child safety worker" means the same as in A.R.S. § 8-801.

20. "Corrective action" means a specific course of conduct an Agency shall follow to remedy violations of the licensing requirements prescribed in this Chapter within a specified period of time.

21. "Corrective Action Plan" means a written document describing an Agency's corrective action, as prescribed in R21-7-113.

22. "Criminal History self-disclosure" means a person's statement made under penalty of perjury, using the form approved by the Department, attesting to whether the person:

a. Has a record of any arrests, convictions, or pending indictments;

b. Has committed a crime specified in A.R.S. § 41-1758.07 as a precluding crime for the issuance of a fingerprint clearance card meeting Level One requirements; or

c. Is a registered sex offender.

23. "DCS Report" means the same as in A.R.S. § 8-201.

24. "De-escalation" means a method of verbal communication or non-verbal signals and actions, or a combination of signals and actions that interrupt a child's behavior crisis and calm the child.

25. "Department" or "DCS" means the Arizona Department of Child Safety.

26. "Developmentally appropriate" means:

a. The activities or items that are generally accepted as suitable for children of the same chronological age or level of maturity or that are determined to be appropriate for a child, based on the development of cognitive, emotional, physical and behavioral capacities that are typical for an age or age group; and

b. In the case of a specific child in care, activities or items that are suitable for the child based on the developmental stages attained by the child with respect to the cognitive, emotional, physical, and behavioral capacities of the child.

27. "Direct care services" means in-person interaction between direct care staff and a child in care. Direct care services do not include incidental contact by non-direct care staff and a child in care.

28. "Direct care staff" means staff whose responsibilities include providing direct care services.

29. "Directive Corrective Action Plan" means a plan to cure deficiencies identified by the Department in which the Department gives specific direction as to the corrections needed.

30. "Discharge plan" means a written program of action developed by an Agency in cooperation with a child in care's planning participants that includes:

a. A program of action to prepare a child in care for release from a Child Welfare Agency; and

b. An after care referral.

"Disqualifying act" means a substantiated finding for a specific individual that is identified in the document "DCS Central Registry Disqualification Acts".

32. "Document" means to make and retain a permanent written or electronic record of a fact, event, circumstance, observation, contact, or communication; unless context dictates otherwise.

33. "Exploitation" means the act of taking advantage of, or to make use of a child selfishly, unethically, or unjustly, for one's own advantage or profit, in a manner contrary to the best interests of the child, such as having a child panhandle, steal, or perform other illegal activities.

34. "Facility" means a living environment operated by a Child Welfare Agency, where a child in care is in the care of an adult unrelated to the child.

a. "Facility" includes a shelter care facility for a group of children that is intended to be short-term in nature, and a residential group care facility for a group of children who are intended to be placed for longer periods of time.

b. "Facility" when referring to a Child Placing Agency facility means any physical setting in which the Child Placing Agency conducts business, including areas where a child in care may be present for less than 24 hours during transport to a foster home or other placement.

c. "Facility" does not include a program licensed as a behavioral health service agency by Arizona Department of Health Services under A.R.S. § 36-418.

35. "File" means a place where information is stored through written, electronic, or computerized means unless context dictates otherwise.

36. "Foster care" means care and supervision provided to a child in care who is in a licensed out of home placement.

"Good standing" means the Child Welfare Agency is in substantial compliance with obligations under this Chapter, not subject to an open investigation, not subject to an open licensing concern, not subject to suspension, and not subject to any outstanding corrective actions.

38. "Governing body" means an individual or group of individuals responsible for the policies, activities, and operations of a Child Welfare Agency as described in R21-7-118.

39. "Health self-disclosure" means a declaration from direct care staff and any adult living in the facility, using the form provided by the Department attesting to the person's physical, medical, and emotional health. The health self-disclosure:

a. Identifies any past or present:

i. Major illness;

ii. Communicable disease;

iii. Surgery;

iv. Drug or substance abuse problem or treatment; and

v. Other medical, physical, or mental health condition or treatment; and

b. Identifies all medications, treatments, adaptive equipment, or other accommodation used to reduce or eliminate any barriers caused by medical, physical, or mental health condition.

40. "Human services field" means any area of study that moves the human experience forward e.g. child development, human development, psychology, sociology, social work, medicine, and education.

41. "Individual Education Plan" or "IEP" means a written legal document that guarantees the necessary instruction, supports, and services for a particular child in care who is eligible for special education determined by a multidisciplinary team. The IEP is created through a team effort and reviewed at least once per year. An IEP is covered by special education law to include Individuals with Disabilities Education Act.

"Initial wellness screening" means an assessment of a child in care's outward appearance to identify any physical or health concerns that may require urgent medical attention prior to a routine physical exam occurring by a licensed medical practitioner. The assessment shall include identification of cuts, bruising, lice, bite marks, scars, signs of intoxication, and a verbal report from the child.

43. "License" or "regular license" means a document issued by the Department that authorizes the operation of a Child Welfare Agency. A "license" does not include a "provisional license" as defined by this Article.

44. "Licensee" means the person or entity holding a Child Welfare Agency license. When used in reference to a duty, task, or obligation, the term "licensee" includes the staff who administer or work at a Child Welfare Agency and who are responsible for doing the acts necessary to fulfill the requirements of this Chapter.

45. "Licensing year" means a one-year time period that begins on the date an agency obtains a license to operate.

46. "Life Safety Inspection" means an examination of a facility and its premises by the Department to verify compliance with A.A.C. Title 21, Chapter 8, Article 1.

47. "Living unit" means a specific grouping of children who are assigned to and share a distinct and common physical space within a facility.

48. "Medical professional" means a person who holds a current license as a physician, surgeon, nurse practitioner, or physician's assistant under A.R.S. §§ 32-1401 et seq., Medicine and Surgery; A.R.S. §§ 32-1800 et seq., Osteopathic Physicians and Surgeons; A.R.S. §§ 32-2501 et seq., Physician Assistants; and A.R.S. §§ 32-1601 et seq., Nursing and A.A.C. R4-19-501(A)(1), Registered Nurse Practitioner, respectively.

49. "Medication" means an agent, such as a drug or substance used to prevent or treat disease, illness or injury, includes both prescribed and over-the-counter agents.

50. "Mobile dwelling" means the same as recreational vehicle as defined in A.R.S. § 41-4001. Mobile dwelling does not mean a mobile and manufactured home as defined in A.R.S. § 41-4001.

51. "Multi-Purpose Premises" means:

a. A facility; and

b. The property surrounding the facility that is owned, leased, or controlled by the applicant or licensee which may include:

i. Residential space utilized separate from the program;

ii. Commercial space, including office or retail space, operated separate from the program; and iii. Community centers available to populations outside of the program.

52. "Neglect" means the same as in A.R.S. § 8-201.

53. "Non-ambulatory child" means a child in care who cannot walk due to a physical disability or impairment, rather than as a result of the child's normal age and developmental level.

54. "Normalcy" means the same as described in A.R.S. § 8-513.

55. "Operating certificate" means a document issued by the Department that authorizes the operation of a facility run by an Agency that is not in the same location as the address listed on the Child Welfare Agency license.

"Out-of-home placement" means the placing of a child in the physical custody of an individual or Agency other than with the child's parent or guardian and includes placement in temporary custody under A.R.S. § 8-821 (A) or (B), voluntary placement under A.R.S. § 8-806 or placement due to a dependency action.

57. "Overall time frame" means the same as in A.R.S. § 41-1072.

58. "Person" means a corporation, company, partnership, firm, association or society, as well as a natural person.

59. "Personally identifiable information" means any information that when considered alone or in combination with other information, identifies, or permits another person to readily identify the person who is the subject of the information, and includes:

a. Name, address, and telephone number;

b. Date of birth;

c. Photograph;

d. Fingerprints;

e. Physical description;

f. School;

g. Place of employment; and

h. Unique identifying number, including:

i. Social Security number;

ii. Driver's license number;

iii. Vehicle License number; and

iv. Court case number.

60. "Placing Entity" means an agency authorized by law or contract to place children in a Child Welfare Agency.

61. "Planning participants" means the group of persons listed in R21-7-120 who participate in development and review of a child in care's service plan and discharge plan.

62. "Pool" means the same as in A.A.C. Title 21, Chapter 8, Article 1.

63. "Positive Discipline" means a teaching process through which a child in care learns to develop and maintain the self-control, self-reliance, self-esteem, and orderly conduct necessary to assume responsibilities, make daily living decisions, and live according to generally accepted levels of social behavior.

64. "Premises" means:

a. A facility; and

b. The property surrounding the facility that is owned, leased, or controlled by the applicant or licensee.

65. "Program director" means a person responsible for the development, implementation and supervision of an agency's programs and services that are carried out under the license granted by the Department and who meets the qualifications listed in R21-7-131.

66. "Provisional license" means a temporary license to operate a Child Welfare Agency, issued by the Department for a period of six months or less and is not renewable.

67. "Residential environment" means a facility building or any portion of a facility building that is used for living, sleeping, counseling, dining, or academic purposes.

68. "Residential group care facility" means a Child Welfare Agency licensed to receive children for 24-hour social, emotional, or educational supervised care and maintenance at the request of a child, Child Placing Agency, law enforcement agency, parent, guardian, or court. A residential group care facility provides care in a residential setting for children for an extended period of time and includes facilities described in Article 2 of this Chapter.

"Restrictive behavior management" means the same as in A.R.S. § 8-501 and is subject to the limitations in R21-7-227.

70. "Runaway" means that:

a. The responsible agency staff is unaware of a child in care's whereabouts, has made reasonable attempts to locate the child including contacting the child's school, friends, and other places the child may frequent and has no information indicating when the child will return;

b. A child in care has left a facility without the permission of the responsible agency staff; or

c. A child in care has failed to return to a facility at an agreed upon time.

71. "Safeguard" means to take reasonable and developmentally appropriate measures to minimize the risk of harm to a child in care and to ensure that a child in care will not be harmed by a particular object, substance, or activity. Where a specific method is not otherwise prescribed in this Chapter, safeguarding may include:

a. Locking up a particular substance or item;

b. Putting a substance or item beyond the reach of a child in care;

c. Erecting a barrier that prevents a child in care from reaching a particular place, item, or substance;

d. Using protective safety devices;

e. Providing staff supervision; or

f. Providing a child in care age 14 and older with safety information and generalized instruction necessary to promote the safe and appropriate use of potentially dangerous objects.

72. "Service plan" means either a Department Case Plan or a goal-oriented, time-limited individualized program of action developed by an agency in cooperation with a child's planning participants.

73. "Shelter care facility" means a Child Welfare Agency that is licensed to receive children for temporary out-of-home 24-hour social, emotional, or educational supervised care and maintenance at the request of a child, Child Placing Agency, law enforcement agency, parent, guardian, or court. A shelter care facility provides short term care for children.

74. "Significant person" means a person who is important or influential in a child in care's life and may include a family member or close friend.

75. "Site inspection" means a visit to a facility or administrative office for the purpose of evaluation.

"Sleeping area" means a single bedroom or a cluster of two or more bedrooms, located in an adjacent area of a facility, a designated space with beds devoted as a bedroom in a barracks, or dormitory.

77. "Staff" means a person engaged full-time or part-time by an Agency including paid employees, consultants, contractors, subcontractors, volunteers, students, interns, and persons otherwise affiliated with the Agency to administer, manage, work, train, or assist at or for an Agency or facility on either a temporary or permanent basis.

78. "Substantial compliance with licensing requirements" means that the nature and number of violations of licensing requirements are not significant and:

a. Do not pose a risk to the life, health, safety, or welfare of a child in care;

b. Do not constitute a pattern of noncompliance or a failure to implement required corrective action; and

c. Are not the result of misrepresentation, falsification, or fraud by the applicant or licensee.

"Substantive review time frame" means the same as in A.R.S. § 41-1072.

80. "Threat" means an expression of intent to hurt, destroy, or take action prohibited by this Chapter or the licensee's policies, but does not include an expression of intent to impose a planned consequence for misbehavior if the consequence is not prohibited by this Chapter or the licensee's policies.

81. "Time and temperature control for safety food standards" means a food that requires time and temperature control for safety to limit pathogenic microorganism growth or toxin and conforms to the United States Food and Drug Administration Food Code.

82. "Transitional program" or "Independent living program" means services provided by a residential group care facility to prepare a child in care age 14 and older for adulthood.

83. "Unusual incident" means one or more of the events listed in R21-7-207 involving a child in care on or off the premises.

"Workday" means Monday through Friday excluding weekends and Arizona state holidays.

85. "Young adult" means a person less than 21 years of age who signed an extended foster care agreement and eligible for out-of-home placement under A.R.S. § 8-521.02.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-102 Compliance

The licensee under this Chapter shall operate the Agency in compliance with this Chapter, the provisions of the license, and applicable federal, state, and local law.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-103 Initial Consultation

A. Within 30 calendar days of receipt of an initial application package, the Department shall review the application and contact the applicant to schedule an initial consultation.

B. At the initial consultation, the Department shall review the submitted initial application with the applicant. The Department shall review the requirements for licensure and shall advise the applicant about any missing or incomplete information in the submitted application.

C. If the applicant fails to provide the information within the time periods specified in this Article, the Department shall close the application and send the applicant a written notice of closure.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-104 Licensing Requirements

A. A person who intends to operate a Child Placing Agency, residential group care facility, or shelter care facility shall apply for a Child Welfare Agency license.

B. A Child Welfare Agency shall meet the requirements of this Chapter.

C. Fingerprints and Arizona Level One fingerprint clearance card:

1. The licensee shall ensure all Child Welfare Agency staff are fingerprinted and comply with the requirements of A.R.S. § 46-141 and provide evidence of a valid Arizona Level One fingerprint clearance card.

2. The licensee shall provide evidence that anyone listed in R21-7-107(B)(1)(b) has a valid Arizona Level One fingerprint clearance card.

D. Central Registry Check:

1. The following individuals shall obtain a Central Registry Check:

a. Individuals who apply for a Child Welfare Agency license;

b. Staff who work in a residential group care facility in accordance with Article 2 of this Chapter, on condition that a Central Registry Check is requested prior to employment. Until the Central Registry Check is completed, staff shall not perform essential functions of their job without direct observation from their supervisor or designee;

c. Staff who work with a Child Placing Agency in positions that provide direct services to children; and

d. Member of the Governing body of a Child Welfare Agency.

2. For any staff whose primary residence is at the facility or on the premises under Article 2 of this Chapter and any adult residing with the staff in the facility or on the premises shall obtain a Central Registry Check prior to residing at the facility or on the premises.

3. The licensee shall suspend any staff who has a disqualifying act on the Central Registry pending the outcome of the process detailed in this Article.

4. For any staff who has a non-disqualifying act on the Central Registry the licensee shall assess that staff's suitability to perform their assigned duties.

5. For any individual or staff who resided in another state within five years of their hire date, the Central Registry Check must include a check of any states the individual or staff resided in during those five years.

a. The licensee shall submit the request to the Department prior to hire.

b. The Department shall not provide details regarding another state's substantiation. Upon request, the Department shall provide the licensee with information on how to request the records from the responding state.

6. The licensee shall obtain an annual Central Registry Check at or prior to the anniversary hire date for each staff and any adult residing with the staff in the facility or on the premises.

E. Licensing

1. The applicant shall cooperate with the Department to evaluate the potential and actual ability of the Agency to fulfill a need for and provide services to a child in care according to the standards prescribed in A.R.S. § 8-505 and this Chapter.

2. The applicant shall demonstrate a need for its services in the community. Demonstration of need shall consist of:

a. Verifiable written communication from potential referral sources seeking services from the applicant consistent with their program description;

b. An existing contract for Child Welfare services; or

c. Other verifiable evidence that demonstrates a need for the services.

3. To obtain this information, the Department shall make a minimum of at least one visit to the licensee facility and may conduct any staff interviews the Department deems necessary.

F. Financing

1. An Agency shall maintain complete and accurate accounts, books, and records as required by this Chapter, and in accordance with generally accepted accounting principles.

2. An Agency shall operate on the annual budget approved by its governing body before the beginning of each of the Agency's fiscal years.

3. An Agency shall maintain financial records of all receipts, disbursements, assets, and liabilities in accordance with the U.S. Internal Revenue Service (IRS) schedules. The licensee shall make these records available to the Department for inspection upon request.

4. An Agency shall obtain a financial audit by an independent certified public accountant at the Agency fiscal year-end. An Agency that had an annual income of less than $250,000 or has been licensed for less than one fiscal year, in lieu of a fiscal year-end audit by a certified public accountant, may provide verifiable information that allows the Department to evaluate the Agency's financial stability and maintain acceptable documentation that includes six months of current bank statements; six months of statements from lines of credit; and previous year's tax return.

5. The audit report shall include the following financial information and the accountant shall conduct the audit in accordance with generally accepted auditing standards:

a. Income statement,

b. Balance sheet,

c. Statement of cash flow, and

d. A statement showing monies or other benefits the licensee has paid or transferred to any of the following:

i. Business entities affiliated with the licensee,

ii. The licensee's directors or officers,

iii. The licensee's chief executive officer or program director,

iv. The family member of an applicant or licensee,

v. Another agency, or

vi. Another entity.

6. The Agency shall comply with the Department's request for additional financial information.

G. Operating a Child Welfare Agency without a license is a Class 2 Misdemeanor under A.R.S. § 8-520.

H. In addition to meeting the requirements of this Article, a residential group care facility shall be subject to the requirements set forth in Article 2 of this Chapter.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-105 Life Safety and Site Inspection

A. The Department shall schedule the applicant for one or more of the following:

1. A site inspection after receiving a complete initial application,

2. A site inspection after receiving an amendment request for a facility that has moved to a new location or remodeled a current location,

3. A site inspection prior to the renewal date on the license, and

Additional inspections as necessary.

B. During the site inspection, the Department shall:

1. Verify that the premises meets the requirements of this Chapter; and

2. Provide written documentation to the applicant or Agency detailing any deficiencies.

C. At the site inspection, the Department shall assess the Agency and each facility, and may also:

1. Interview management and staff,

2. Interview additional adults residing at a facility,

3. Interview children in care,

4. Observe meetings, if scheduled,

5. Review a random sample of client and staff files, and

6. Conduct site inspections to all Agency branch offices and facilities.

D. At any time, the Department may conduct an announced or unannounced inspection of the Agency or facility to monitor compliance.

E. The Department shall give the applicant or Agency 30 days from the date of the inspection, to correct any deficiencies on a site inspection or Life Safety Inspection unless otherwise communicated by the Department through a corrective action. If the applicant or Agency does not correct the deficiency within the prescribed time frame, the Department may deny the application, subject to the applicant's or Agency's ability to reapply under this Article.

F. The Department shall complete a Life Safety Inspection on applicants for licensure of residential group care facility to verify compliance with A.A.C. Title 21, Chapter 8, Article 1.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-106 License; Operating Certificate; Term; Non-transferability

A. License

1. A Child Welfare Agency license is valid for one year from the date of issuance or as described in R21-7-111 for a provisional license. The Agency may apply to renew the license annually. License renewal is not automatic.

2. Each license shall state in general terms the type of Child Welfare services the licensee is authorized to undertake, including any additional Child Welfare services the Agency may be licensed to provide under this Chapter. The licensee shall:

a. Identify the Agency name,

b. Address of the administrative office,

c. State the geographical area the Agency is licensed to operate, and

d. If licensed as a residential group care facility, the license shall also include:

i. Each facility the Agency operates,

ii. Specify children's ages and gender, and

iii. List the total number of children the Agency is authorized to serve.

3. An Agency shall post its current license in a conspicuous location visible to the public at its licensed location.

4. An Agency shall not transfer or assign a license.

B. Operating Certificate

1. If an Agency's administrative office is located separately from an Agency facility, the Department shall issue a license to the Agency and an operating certificate for each separate facility. If the Agency and facility occupy the same location, the Department shall issue only a license.

2. An operating certificate shall:

a. Identify the Agency operating the facility;

b. Identify the facility name, if different from the Agency name, and the geographical area in which the facility is authorized to operate;

c. List the type of service or program to be offered at the facility; and

d. Specify the number, gender, and ages of children the facility may receive for care.

3. An operating certificate is not valid unless it has been issued in the name of a licensed Agency.

4. An Agency shall not transfer or assign an operating certificate.

5. The Agency shall post a facility's current operating certificate in a conspicuous location visible to the public within the facility.

6. An operating certificate expires at the end of the agency's regular licensing year, or as described in R21-7-111 for a provisional license.

C. A license and all operating certificates associated with the license expire upon a change in ownership, unless the Department approves an amendment to the license. For the purpose of this Section, a "change in ownership" includes the following events:

1. Sale or transfer of an Agency or facility;

2. Placement of the Agency in the control of a court appointed receiver or trustee;

3. Change in the composition of the partners or joint ventures of an Agency organized as a partnership;

4. Sale or transfer of an ownership interest or stock of a corporate Agency; or

5. Loss of an Agency's nonprofit status.

D. A license issued under this Chapter may not satisfy a Child Welfare Agency's minimum contractual requirements.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-107 Child Welfare Agency Initial License Application Package

A. The applicant shall indicate on the application provided by the Department whether the applicant is applying for a Child Placing Agency license or a residential group care facility license, including a shelter care facility.

B. The applicant shall submit a complete application package that contains the information and supporting documentation listed in this Section.

1. Identification and background information for the agency, facility, and administrators, on an application provided by the Department:

a. Name, address, telephone number, and email addresses for the Agency and each facility operated by the agency;

b. Name, title, business address, and telephone number of:

i. The CEO described in R21-7-131 ;

ii. The Program Director described in R21-7-131 ;

iii. The person with delegated authority to act when the CEO is absent;

iv. The person designated to supervise the operations of each separate facility described in R21-7-131 ;

v. Any person holding ownership interest in the Agency; and

vi. The Agency and facility medical directors, if applicable;

c. The educational qualifications and work history for each person identified in subsection (B)(1)(b), with that person's attached resume, employment application containing a professional history, or curriculum vitae;

d. A list of the Agency's governing body described in R21-7-118 ;

e. A list of licenses or certificates for provision of medical or social services, currently or previously held by the applicant or any person listed in subsection (B)(1)(b), including those held in this state or another state or country, and the date the person held each license or certificate;

f. A written description of any proceedings for denial, suspension, or revocation of a license or certificate for provision of medical, psychological, behavioral health, or social or human services, pending or filed, or brought against the applicant or a person listed in subsection (B)(1)(b), including those held in this state or another state or country;

g. A written disclosure of civil and criminal court proceedings in which the applicant or a person listed in subsection (B)(1)(b) has been a party, including:

i. Lawsuits,

ii. Dependency actions including:

(1) Removal of a dependent,

(2) Voluntary relinquishment,

(3) Suspension of custody, or

(4) Termination of parental rights;

iii. Charges of child abuse or neglect;

iv. Child support enforcement proceedings within the last five years;

v. Bankruptcy within the last five years;

vi. Adoption; and

vii. Any other court proceedings; and

h. The licensing history of any individual detailed in R21-7-118(C) and person listed in subsection (B)(1)(b) if that person has ever applied to be certified or has been licensed in any state to provide care to a child or to a vulnerable adult.

Demonstration of Need, as described in R21-7-104(E)(2) . The applicant for a Child Welfare Agency license shall fill an unmet need in the community to serve children.

a. Describe the proposed geographical area, the target population, and demographics of the children it intends to serve; and

b. Demonstrate the ability to serve the proposed population.

3. Business organization

a. An organizational chart for the Agency and each separate facility, showing administrative structure, lines of authority, and staff;

b. Business organization documents appropriate to the applicant, as follows:

i. Corporate entities. An incorporated Child Welfare Agency shall provide the Department with a copy of the Articles of Incorporation, Bylaws, and the Certificate of Incorporation and Certificate of Good Standing issued by the Arizona Corporation Commission.

ii. A Limited Liability Company (LLC) shall provide the Department with a copy of the Articles of Organization and a Certificate of Good Standing issued by the Arizona Corporation Commission.

iii. A Partnership shall provide the Department with a copy of the Partnership Agreement and any other documents related to the Child Welfare Agency's formation and governance; and

c. A statement as to whether the applicant is for-profit or certified by the U.S. Internal Revenue Service (IRS) as not-for-profit and a copy of the IRS certification as a not for profit.

4. Staff

a. A list of the applicant's staff on the form provided by the Department.

b. Evidence that staff complies with A.R.S. § 46-141 and this Chapter.

c. For any staff whose primary residence is in the facility or on the premises under Article 2 of this Chapter include:

i. The name and date of birth of any person residing with a staff;

ii. Evidence that any adult residing with a staff at the facility or on the premises has an Arizona Level One fingerprint clearance card, a Central Registry Check, and the information required in R21-7-104 and R21-7-206 ;

iii. Evidence that any adult residing with a staff is free from communicable diseases posing a danger to children in care under R21-7-206 ;

iv. The custodial relationship between the staff and any child who resides on the premises; and

v. Evidence that any staff's child who resides on the premises has current immunizations based on the Centers for Disease Control and Prevention recommended immunization schedule.

5. Financial Stability

a. A certificate of insurance, or letter of commitment from an insurer, showing that the applicant has insurance coverage required by R21-7-128 ;

b. Verifiable documentation of funds available to pay start-up costs; the funds shall be in the form of cash or written authorization for a line of credit;

c. Verifiable documentation of funds available to pay operating expenses for the first three months of operations; the funds shall be in the form of cash or written authorization for a line of credit;

d. Verifiable documentation of financial resources to operate under the proposed operating budget for the remaining nine months of the licensing year. The resources may include:

i. Cash;

ii. Contracts for placement;

iii. Donations;

iv. Grants; and

v. Authorization for a line of credit; and

e. Resources shall not include:

i. Payday Loans;

ii. Title Loans; and

iii. Promises to pay without verifiable documentation of funds.

6. Program

a. Curriculum and materials, as related to the Agency's program.

b. Program description of the Agency's program and services addressing the following areas:

i. Goals and objectives;

ii. All services the applicant intends to provide;

iii. Any organization from which the applicant will seek accreditation;

iv. The demographics of the children the applicant plans to serve; and

v. The applicant's primary source of referrals, consistent with the applicant's demonstration of need.

c. The program description for a residential group care facility shall include the following areas:

i. For each facility, the number of children the applicant will serve, including the children's age, gender, special needs, or children with specific behavioral issues;

ii. A general description of the number and qualifications of the applicant's executive and direct care staff including the staff-child ratio per living unit, during a 24-hour day, for a seven-day week;

iii. Educational activities, including the form of on-campus educational programs the applicant will offer, and a copy of Arizona Department of Education and School District approval, if also operating a school;

iv. Recreational activities;

v. Food and nutrition, with sample menus;

vi. Behavior management practices;

vii. Religious practices;

viii. Medical services;

ix. The frequency and method by which the applicant will provide or offer psychiatric, psychological, or counseling services;

x. Whether the applicant will utilize the child in care's independent insurance; and

xi. Whether the applicant will employ or contract behavioral health practitioners; and

d. The program description shall indicate if any area specified in subsection (b) and (c) are not applicable.

7. Samples of all documents, forms, and notices that the applicant will use with or provide to children placed with or by the Agency, the parents and guardians of those children, and the persons and entities who place children.

8. A sample file the applicant will use for the personnel records required by R21-7-129, and the child in care's record as required by R21-7-121.

9. The applicant's internal policies, procedures, and operations manual.

10. Job description summary for all positions within the agency to include education and work experience required for each position.

11. Physical site and environment:

a. Documentation showing that the local zoning authority verifies that each Agency facility complies with all applicable zoning requirements;

b. Fire safety inspection report from the state fire marshal or a local fire department inspector for each facility when required by the local jurisdiction;

c. Any other inspection certificates, inspection reports, or building occupancy certificates required by the local jurisdiction.

d. Gas equipment inspection report for applicants under Article 2 of this Chapter.

12. A written plan for orientation and training for staff and includes a method for the agency to evaluate the staff's comprehension of the orientation and training and conforms to R21-7-132.

13. Miscellaneous:

a. The notarized signature of the Agency CEO or person submitting the application, attesting to the truthfulness of the information contained in the application; and

b. The date of application.

C. The applicant shall submit the Agency's policy and procedures.

D. The Department may require the applicant to provide additional information, including a signed form permitting a specifically named person or entity to release information to the Department, if any of the following applies:

1. To determine the applicant's fitness to hold a license or an operating certificate,

2. The ability to perform the duties of the licensee as prescribed in this Chapter, or

3. The ability to fulfill the requirements prescribed in the applicant's policy, procedure, and program description.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-108 License Renewal Requirements

A. No earlier than 90 calendar days and no later than 60 calendar days prior to the expiration date of a license, an Agency may apply for renewal of its license and any operating certificate.

B. The Department may treat an Agency's failure to apply timely for renewal as a voluntary closure under R21-7-117.

C. The Agency shall submit a complete renewal application on a form provided by the Department.

D. With a renewal application, the Agency shall also submit the following documentation:

1. Evidence of financial stability in compliance with R21-7-104 ;

2. A certificate of current insurance coverage as prescribed in R21-7-128 ;

3. Evidence of a passing physical site and environmental reports:

a. Fire inspection report from the state fire marshal or local fire department inspector for each facility when required by the local jurisdiction;

b. Any other inspection certificates, inspection reports, or building occupancy certificates required by the local jurisdiction; and

c. Gas equipment inspection report for applicants under Article 2 of this Chapter.

4. Agency identification of and the following background information for the Agency, facility, and administrators:

a. Name, address, and telephone; email for the Agency and each facility operated by the Agency;

b. Name, title, business address, and telephone number of:

i. The CEO for the Agency described in R21-7-131 ;

ii. Program Director role as prescribed in R21-7-131 ;

iii. The person with delegated authority to act when the CEO is absent;

iv. The supervisor in charge of each separate facility;

v. Any person holding ownership interest in the Agency; and

vi. Agency and facility medical directors, if applicable;

c. A list of the members of the Agency's governing body if applicable, described in R21-7-118 ;

d. Any changes in licenses or certificates by the applicant or any person listed in subsection (D)(4)(b);

e. A written description of any proceedings for denial, suspension, or revocation of a license or certificate for provision of medical, psychological, behavioral health, or social services, pending or filed, or brought against the applicant or a person listed in subsection (D)(4)(b), including those held in this state or another state or country; and

f. A written disclosure of any new or previously unreported civil and criminal court proceedings as outlines in R21-7-107(B)(1)(g) in which the applicant or a person listed in subsection (D)(4)(b) has been a party, including outcomes or updates to previously reported civil or criminal litigation;

5. An organizational chart for the Agency and each separate facility, showing administrative structure, lines of authority, and staff;

6. A list of all applicant's staff on a form provided by the Department;

7. For any staff whose primary residence is at the facility, the information outlined in R21-7-107(B)(4) ;

8. An annual written report evaluating the Agency's achievement of the goals and objectives described in its application;

9. Copies of all written complaints the Agency has received about its performance at any facility and the Agency's response to the complaints. This does not include any licensing complaints investigated by the Department during the expiring licensing year;

10. A written description of any changes in program services or the children served by the Agency; and

11. A current list of contracts related to the Child Welfare Agency license.

E. The Agency shall comply with the annual Central Registry Check as prescribed in R21-7-104(D)(6).

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-109 Time Frames; Administrative and Substantive Completeness Review

A. The Department shall review an initial, renewal, or amendment application and render a licensing decision within the required time-frames described in this Section.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) begins when the:

1. Applicant submits the application, and

2. Required documentation listed in this Chapter.

C. The Department shall complete an administrative review within 45 calendar days of receiving the information in subsection (B). The Department shall conduct an administrative completeness review to determine whether all required documentation and information has been submitted within the 45 calendar days administrative review time-frame:

1. If the application package is complete, the Department shall send a Notice of Administrative Completeness to the applicant and conduct the substantive review; or

2. If the application is incomplete, the Department shall send a Notice of Incomplete Application to the applicant containing a list of items and information needed to complete the application.

a. The applicant shall have 30 calendar days from the date on the Notice of Incomplete Application to supply the missing items or information to the Department.

b. The time-frame for the administrative completeness review shall be suspended from the date the Department issues the Notice of Incomplete Application to the date the Department receives the missing item or information.

c. If the applicant does not supply all of the requested items or information within 30 calendar days of the date of the Notice of Incomplete Application, the Department may close the application.

d. If the applicant supplies all of the required items and information to the Department within 30 calendar days, the Department shall conduct a substantive review of the application.

D. Within 30 calendar days following the conclusion of the administrative review of an application, the Department shall complete a substantive review to evaluate the applicant's fitness for licensure. Within the 30 calendar days substantive review time-frame, the Department shall:

1. Conduct inspections as described in R21-7-105 ;

2. Complete a review of licensing requirements under this Chapter; and

3. Request that the applicant provide additional information if needed to evaluate the suitability of the applicant for licensure.

a. The applicant shall have an additional 30 calendar days from the date of the request, to provide the information to the Department.

b. The time-frame for the substantive review shall be suspended from the date the Department requests additional information to the date the Department receives the information.

E. Within an overall time-frame of 75 calendar days, not including suspended time-frames, the Department shall:

1. Complete an administrative review of an application,

2. Complete a substantive review of an applicant's fitness, and

3. Notify the applicant of the decision to grant or deny the application.

| Process | Responsible Party | Time-frame for Completion | | --- | --- | --- | | Apply for renewal of license | Applicant/Licensee | 90 calendar days and no later than 60 calendar days prior to the expiration of license | | Administrative completeness review | Department | Maximum of 45 calendar days | | Respond to the Notice of Incomplete Application | Applicant/Licensee | Maximum of 30 calendar days (overall time-frame is suspended during this time) | | Substantive review | Department | Maximum of 30 calendar days | | Respond to request for additional information to evaluate fitness, includes any corrections cited during an inspection of the facility | Applicant/Licensee | Maximum of 30 calendar days (overall time-frame is suspended during this time) | | Overall time-frame for a licensing decision | Department | Maximum of 75 calendar days |

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-110 Licensing Decision

A. The Department shall issue a written licensing decision within the time-frames listed in R21-7-109.

B. The Department shall issue a license if the Department determines that an applicant or licensee is in full compliance with all applicable licensing requirements in this Chapter.

C. The Department may issue a provisional license as described in R21-7-111 if the applicant is in substantial compliance with non-safety licensing requirements.

D. The Department may issue a license if the licensee is in substantial compliance based on information available during an investigation.

E. The Department shall notify the Agency of the licensing decision.

F. The Department may restrict or limit the license, including the capacity, age, or gender of children that may be placed in residential group care facility.

G. The Department may renew an Agency license for a facility in the same location as the Agency, but deny renewal of an operating certificate for one or more facilities in separate locations.

H. If the Department denies a license based on noncompliance to correct deficiencies an applicant or group of applicants, made up of one or more of the same persons, shall not re-apply for 180 calendar days after receipt of a licensing denial notice. Upon reapplication:

1. The applicant or group of applicants shall provide evidence to the Department that the applicant has corrected the deficiencies identified in the denial notice.

2. The Department shall deny any reapplication without further evaluation if the applicant or group of applicants has not provided evidence that the Agency has corrected the deficiencies.

3. An applicant or group of applicants shall not reapply for another 180 calendar days after each subsequent denial based on its noncompliance to correct deficiencies identified during the licensing process.

I. The Department may deny the application if the applicant fails to demonstrate the need for the services. If the Department denies an applicant solely based on a lack of demonstrated need for a Child Welfare Agency, the Department's denial shall not negatively impact any future application the applicant submits for Child Welfare Agency licensure.

J. A Child Welfare Agency is limited to the capacity, age, gender, and other conditions or restrictions specified on the license and operating certificate.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-111 Provisional License

A. The Department may issue a provisional license on an application when:

1. There is a demonstrated need for the services;

2. An agency is temporarily unable to conform to all licensing standards, including payment of fees as described in R21-7-136 ;

3. The deficiencies are minor, correctable, and not potentially injurious to the safety or welfare of a child in care; and

4. The agency agrees to correct the deficiency or deficiencies.

B. The Department shall not issue a provisional license for longer than six months.

C. The Department shall not renew a provisional license.

D. The Agency shall cooperate with the Department to develop a written Corrective Action Plan prior to the issuance of a provisional license.

E. An Agency issued a provisional license shall comply with the terms of the Corrective Action Plan.

F. If an agency receives a provisional license and the provisional license is later converted to a regular license, the regular license expires one year from the issuance of the provisional license.

G. The Department's decision to issue a provisional license is not appealable.

H. If the Department denies a regular license when the provisional license expires, the Department shall send a notice of adverse action.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-112 Alternative Method of Compliance

A. The Department, after consultation with the Attorney General's Office, may permit a licensee to substitute an alternative method of compliance for a licensing requirement or objective prescribed in this Chapter and not otherwise required by law, if the following conditions are met:

1. The licensee seeking to achieve compliance through an alternative method proposes, to the satisfaction of the Department, that the licensee can satisfy the objective of the requirement through the alternative method; and

2. Allowing the licensee to achieve compliance through an alternative method will not jeopardize the health, safety, or well-being of a child in care.

B. Permission of an alternative method expires as prescribed in the written notice provided by the Department. The licensee shall request a renewal of the previously permitted alternative method of compliance at time of license renewal.

C. The Department is not obligated to permit an alternative method of compliance or to renew approval of the alternative method of compliance.

D. The Department shall document the alternative and the findings required by subsection (A) in the licensing file.

E. The Department may revoke the licensee's permission to comply through an alternative method if the Department finds that a condition listed in subsection (A)(1) or (2) is not met.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-113 Corrective Actions

A. When the Department finds a violation of this Chapter, the Department shall notify the Agency of the violation under this Section.

B. Corrective Action Plan

1. The Department may require the Agency to prepare a Corrective Action Plan for the Department's review and approval.

2. A Corrective Action Plan submitted by the Agency shall contain the following information:

a. A list of the license violations requiring correction,

b. How the Agency will remedy the violations,

c. The time period for completing all corrective actions,

d. Agency staff responsible for carrying out the corrective action plan, and

e. A requirement for the Agency to send the Department a final report when all corrective action is completed.

3. A signature by the licensee or authorized representative and the date the Corrective Action Plan is signed.

4. The Department shall ensure that a Corrective Action Plan submitted by the Agency includes all requirements listed in subsection (B)(2).

5. The Department may require additional information prior to accepting the Corrective Action Plan submitted by the Agency.

6. The Department may monitor the Agency's progress in completing the Corrective Action Plan.

C. The Department shall notify the licensee of a violation through a Directive Corrective Action Plan. The notification shall include:

1. The rule violated;

2. The expected resolution of the violation;

3. The expected evidence to prove that the agency has complied; and

4. The expected date the violation is to be remedied.

D. At any time, the Department may conduct an announced or unannounced inspection of the Agency or facility to monitor corrections required by a Corrective Action Plan or Directive Corrective Action Plan.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-114 Denial, Suspension, and Revocation of a Licensing Application, License, or Operating Certificate

A. The Department may deny a licensing application, suspend or revoke any license or operating certificate when:

1. An applicant or licensee refuses or fails to comply with the applicable licensing requirements of this Chapter, Arizona state or federal laws, and city or county ordinances or codes;

2. An applicant or licensee refuses to cooperate with the Department in providing information required to determine compliance with the applicable licensing requirements of this Chapter, and the Department's efforts to ensure compliance;

3. An applicant or licensee misrepresents or fails to disclose information to the Department regarding licensing requirements including management or staff qualifications, experience, or performance of duties;

4. An applicant or licensee does not comply with A.R.S. § 46-141. This does not include individuals who have received a good cause exception under A.R.S. § 41-619.53 and has been issued a Level One fingerprint clearance card by the Arizona Department of Public Safety;

5. An applicant or licensee knowingly allows an adult to reside at the facility without a valid Arizona Level One fingerprint clearance card or has been convicted of or is awaiting trial on the criminal offenses listed in A.R.S. §§ 46-141 and 41-1758.07;

6. An applicant or licensee allows an adult to reside at the facility who has a substantiated report of child abuse or neglect;

7. The licensee fails to cooperate in developing a Corrective Action Plan after a request by the Department, or fails to comply with a Directive Corrective Action Plan issued by the Department within the required time period;

8. An applicant or licensee is unable or unwilling to provide for the physical, emotional, social, educational, or psychological needs of children in care; or

9. An applicant or licensee had a license or certification to provide care to a child or vulnerable adult denied, suspended, or revoked.

B. The Department shall deny, suspend, or revoke a license when an Agency:

1. Knowingly retains staff who have been convicted of or are awaiting trial on the criminal offenses listed in A.R.S. § 41-1758.07;

2. Allows an adult other than those described in subsection (C), who has been convicted of or is awaiting trial on the offenses listed in A.R.S. §§ 46-141 and 41-1758.07, to reside at a facility; or

3. Allows any staff or any other adult residing at the facility, who has committed an offense listed in A.R.S. §§ 46-141 and 41-1758.07, to have contact with children in care.

C. The Department may deny or revoke a Child Welfare Agency license if the Agency hires or retains any staff convicted of or is awaiting trial on any offense that would preclude the issuance of a Level One Fingerprint clearance card under A.R.S. § 41-1758.07(B) or (C).

D. The Department may deny or revoke a Child Welfare Agency License if the Agency hires or retains any staff determined to have a pending or substantiated DCS Report for Investigation on the Central Registry for a disqualifying act and has not received a good cause exception under A.R.S. § 41-619.53.

E. The Department may deny, suspend, or revoke a license if the applicant or licensee of the Agency:

1. Is listed as a perpetrator in a substantiated report of abuse or neglect on a child or vulnerable adult; or

2. Is the subject of an open DCS Report for investigation.

F. The Department may initiate an adverse action if the Department concludes that:

1. A violation of licensing requirements is not correctable;

2. A violation of licensing requirements poses a risk to the health, safety, or well-being of a child in care;

3. The Agency has a history or pattern of similar violations with licensing and Child Welfare rules, statutes, or local codes, as evidence that the applicant or licensee is unable or unwilling to meet the needs of children in care;

4. A violation is ongoing and was not corrected through corrective action; or

5. The Agency has a pattern or history of failing to provide safe care or complying with licensing requirements.

G. The Agency shall not accept any additional placements until the process of adverse action is finalized and the Agency has exhausted all appeal rights.

H. The Department may reinstate a suspended license or discontinue a process of adverse action if the Department determines the licensee has corrected the reason for the adverse action.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-115 Adverse Action; Procedures

A. The Department shall give the licensee written notice of an adverse action by certified mail.

B. The Department may consider the following factors when making a determination for an adverse action:

1. The nature of the violation,

2. Any history of prior violations,

3. Licensee's implementation and compliance with a corrective action, and

Other comparable factors demonstrating the licensee's ability and willingness to follow through with corrective actions to avoid future violations.

C. The notice shall specify:

1. Reasons supporting the action;

2. The action taken;

3. The sections of law, rule, or ordinance justifying the action;

4. The procedures by which an applicant or licensee may appeal the adverse action taken and the time frame to appeal; and

5. A description of the applicant or licensee's right to request an informal settlement conference as prescribed in A.R.S. § 41-1092.03.

D. A suspension of the license or an operating certificate shall detail the finding of a health, safety, or welfare concern that imperatively requires emergency action as prescribed in A.R.S. § 41-1064.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-116 Appeals

A. An applicant or licensee shall have the right to appeal an adverse action under the timeframes and procedures as outlined in A.R.S. § 8-506.01 and A.A.C. Title 21, Chapter 1, Article 3.

B. If a child in care has been removed from the Child Welfare Agency because of a health, welfare, or safety issue, the child shall not return to the Child Welfare Agency while the appeal is pending.

C. The following are not appealable:

1. Corrective Action Plan;

2. Parameters specified by the Department on the license or operating certificate, including the capacity, age group, gender, and other conditions or restrictions; and

3. Denial or revocation of approval for an alternate method of compliance.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-117 Voluntary Closure

A. An applicant or licensee may voluntarily withdraw an application for licensure or close the license by submitting written notice to the Department.

B. If there are no children placed or being served by the licensee the withdrawal or closure shall be effective on the date selected by the licensee or, if no date is selected by the licensee, the date of notification to the Department.

C. If the licensee has a child in care, a licensee shall notify the Department and the Placing Entity 30 calendar days before the voluntary closure date.

D. The licensee's written notice shall contain the following information:

1. The reason for the closure; and

2. If currently licensed, the date by which the agency will close.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-118 Governing Body

A. The licensee shall have a governing body to oversee or advise the operations, policies, and practices of the Agency and its facilities. The governing body shall be:

1. The Board of Directors for an Agency that is a corporation, or other entity that has a board of directors; or

2. For an Agency that is not a corporation, the individual who owns the Agency, a group of owners, partners, or the members of a limited liability company that govern the Agency as required by this Section.

B. The governing body shall:

1. Review, approve, and adopt a written scope of services;

2. Ensure that the licensee provides the services described in the licensee's program description;

3. Review and approve Agency policy and procedures, including any amendments or updates, prior to implementation and submission to the Department;

4. Adopt an annual budget of anticipated income and expenditures necessary to provide the services described in the licensee's program description;

Review the licensee's annual financial audit report;

6. Review and approve a policy and procedure for selection and retention of staff sufficient to operate the Agency and its facilities in accordance with this Chapter;

7. Meet at a minimum of once a year;

8. Develop criteria and written procedures for selection of the governing body members and the CEO;

9. Employ a CEO who meets the qualifications prescribed in R21-7-131, to whom the governing body, if a corporation, shall delegate responsibility for the daily administration and operation of the agency; and

10. Review the annual summary report submitted by the CEO as outlined in R21-7-119.

C. The Agency shall maintain a list of the governing body's members. The list shall include each member's name, address, phone number, term of membership, position in the Agency, and relationship to the licensee, if any. The Agency shall provide the list to the Department upon request or as required during an application process.

D. The Agency shall report to the Department all changes in composition of the governing body or officers of the Agency, in writing within 30 calendar days of a change.

E. The Agency shall ensure all governing body members comply with the requirements of A.R.S. § 46-141 and provide evidence of a valid Arizona Level One fingerprint clearance card.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-119 Quality Management

The Chief Executive Officer shall:

1. Develop and implement a written plan for ongoing quality management that, at a minimum, includes a method to:

a. Identify, document, and evaluate incidents;

b. Collect data to evaluate services provided to children;

c. Evaluate the data collected to identify a concern about the delivery of services related to children in their care; and

d. Make changes or take action as a result of the identification of a concern about the delivery of services related to children in their care;

2. Submit an annual summary report to the governing body that includes:

a. An identification of each concern about the delivery of services related to children in care; and

b. Any change made or action taken as a result of the identification of a concern about the delivery of services related to children in care;

3. Maintain the report required in subsection (2) and the supporting documentation for the report as indicated in R21-7-122 ; and

4. Submit the plan for ongoing quality management and the annual summary report to the Department at license renewal.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-120 Child's Service Plan: Preparation; Review; Planning Participants

A. A child in care shall have a personalized service plan tailored to the child's unique background, strengths, and needs created by the licensee unless otherwise provided. The plan shall include, at a minimum, the following information:

1. A description of services the child is to receive while in care, including services to ready the child for discharge from the program;

2. Goals and objectives for the child;

3. Dates and timelines for achieving each goal and objective;

4. Recommendations for any care after discharge;

5. Identification of persons invited to participate in service planning;

6. The names and, if available, signatures of the persons who participated in service planning; and

7. Identification of persons responsible for implementing the service plan, with an explanation of each person's role for after the child's discharge.

B. The licensee shall review and update a child's service plan at least every 90 calendar days.

C. The licensee shall invite, or delegate the responsibility for inviting, at least the following persons to participate in development and review of the service plan:

1. A representative from the Placing Entity;

2. A representative of the Child Welfare Agency, if applicable;

3. The child, if the child's presence is developmentally appropriate; and

The child's parent or guardian.

D. The licensee shall allow planning participants to participate in service planning through the following methods:

1. Attendance at a planning meeting,

2. Submission of a written report or documentation,

3. Review and approval of the plan through signing and dating, or

4. Audio or audio-visual teleconference.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-121 Records and Reports: Contents; Maintenance; Destruction

A. The licensee shall maintain and report accurate data on children receiving services, and staff employed, as requested by the Department.

B. The licensee shall maintain a current, separate record for each child in care in the following manner:

1. The record shall be readily accessible to the child's parent, guardian or persons providing services to the child unless prohibited by law or court order and shall include at least the following information:

a. The name, gender, race, religious preference, birthdate, and birthplace of the child;

b. The name, address, telephone number, marital status of the child's parents, and any court orders regarding custody;

c. The date of admission and source of referral; and

d. The name, address, telephone number, and relationship to the child of the person with whom the child was living prior to admission, if other than the child's parent;

2. Each record shall be kept up-to-date, confidential, consistently organized, and contain the following information:

a. All documents related to the child's referral and admission of the child to the facility;

b. Documentation of the current custody and guardianship of the child;

c. The child's court status, if applicable;

d. The terms of the child's probation, if applicable;

e. Consent forms signed by the Child Placing Agency or authorized person at the time of placement, allowing the licensee to authorize necessary medical care, medications, routine tests, and immunizations;

f. Contact information for the child's primary care physician, primary dental physician, behavioral health provider, and any other medical professional or health care provider involved in the child's care;

g. The Agency's service plan for each child in their care and all reviews, revisions, notes, and updates reflecting the child's goals, family's goals, and Child Placing Agency's goals, if applicable, and progress towards achievement of goals;

h. Education records and reports;

i. Vocational training and employment records, if applicable;

j. Treatment and clinical records and reports; and

k. The discharge summary required by R21-7-215 ; and

3. The licensee shall maintain health records for each child in care, including the child's medical, dental and behavioral health insurance information. The records shall include the following information, if available to the licensee:

a. Any medical records provided to the licensee by any medical, dental, or behavioral health provider, the Department, parent or guardian, or another source;

b. The name of the person or Agency bearing financial responsibility for the child's health care;

c. The child's past medical history and current medical record while in care, including:

i. Well-child visits;

ii. Diagnosis;

iii. Visit or after care summaries;

iv. Immunizations administered in the past and those provided while in care;

v. Serious illness or injury;

vi. Surgery;

vii. Allergies;

viii. Adverse drug reaction;

ix. Record of vision and hearing screening and physical and dental examinations;

x. Record of any treatment provided for a specific illness or medical emergency, including the name and location of the medical personnel who provided treatment;

xi. Developmental history;

xii. Medication history, in the past and provided while in care;

xiii. History of any alcohol or substance abuse or treatment;

xiv. Record of any medication errors; and

xv. Documentation showing the licensee's efforts, consistent with the terms of the placing agreement, to obtain glasses, hearing aids, prosthetic devices, corrective physical or dental devices, or any other health equipment recommended by a child's attending medical professional, or dentist.

4. Documentation of reasonable efforts to obtain all required information.

C. Licensee shall transfer the medical records to the Department if the child is in the custody of the Department or to an authorized person when the child in care is discharged from the licensee's care. Licensee shall maintain proof of transfer in the child's record.

D. Licensee shall ensure all record entries are made in ink or electronically. The licensee shall require staff to date and legibly sign entries in a child's records. The licensee shall ensure records are properly maintained, secured, and protected against loss or corruption.

E. If the licensee maintains a child's records in more than one place, the licensee shall:

1. Identify, in one location that is readily accessible for inspection by the Department, the location of all parts of the record; and

2. Consolidate all records and notes into one case file, at one location, within 15 calendar days following either:

a. A request for consolidation from the Department; or

b. The date of the child's discharge from the facility.

F. The licensee shall maintain a child's record for the longest of the following time periods:

1. Five years after the child's last discharge from the licensee's care;

2. Three years after the child's 18th birthday; or

3. Another time period specified by applicable law or contract.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-122 Confidentiality

A. The Department shall maintain the confidentiality of any applicant or licensee and facility address under A.R.S. § 8-502.

B. The Department shall maintain the confidentiality of a source filing a licensing complaint.

C. Except as otherwise allowed under A.R.S. § 8-807 or otherwise authorized by law, a licensee's records concerning a child in their care and the child's family are confidential and the licensee shall not disclose or knowingly permit the disclosure of confidential information.

D. The Agency shall keep all child records and Agency financial records in a locked, fire-resistant file or in a password protected electronic filing format. The Agency shall ensure records are properly maintained, secured, and protected against loss or corruption. The Agency shall limit access to child records to authorized staff and to the Department.

E. The licensee shall maintain written policy and procedures to keep the Agency's records secure in a manner that preserves confidentiality and prevents loss, tampering, or unauthorized use. The policy and procedures shall:

1. Be consistent with any laws applicable to the specific records; and

2. Cover the following:

a. The manner in which children's records are maintained, stored, and destroy;

b. Identification of the staff who:

i. Supervise the maintenance of records,

ii. Have custody of records, and

iii. Have access to records;

c. The persons to whom records may be released and under what circumstances records may be released, including release of information to custodial and non-custodial parents and guardians;

d. The protection of children in care against public identification; including through social media; and

e. Photography, and audio or audio-visual recording, which shall include;

i. Circumstances under which photographs and audio or audio-visual recordings are created;

ii. Methods and timeframe of storage;

iii. Circumstances under which the licensee will access the material;

iv. Who may access the material;

v. Location in and outside of the facility in which photography and audio or audio-visual recording is prohibited; and

vi. Access by the Department.

F. Before using personally identifiable information for publicity, fundraising, or research, a licensee shall obtain:

1. A written consent to release, from a parent or guardian; or

2. A court order, if the child is a ward of the court.

G. The licensee may release personally identifiable information about a child in care or family to a person who requires the information to treat or provide services to the child unless the release is prohibited by law.

H. A consent to release of information shall include:

1. The name of the person or entity to whom the information is to be released;

2. A description of the information to be disclosed;

3. The reason for disclosure;

4. The expiration date of consent, not to exceed six months from date of signature; and

5. The dated signature of the person or Placing Entity's representative authorizing the release.

I. Notwithstanding any other provision of this Chapter, in a medical emergency, the licensee shall promptly release necessary information to the person or entity providing the child in care with services related to the emergency.

J. Records Storage Space

1. The licensee shall maintain or have available a physical space for records storage that protects confidentiality and provides security against theft, unauthorized release, security breach, damage, and loss.

2. The records storage space may be a space for hard copy records, a server for electronic and digital records, or both.

3. The licensee shall lock all hard copy records and shall encrypt and password protect electronic records.

4. If the Agency contracts for storage space the contract shall include:

a. A provision that all data is owned jointly by the licensee and the Department and that a contractor may not use or disseminate the data in any way;

b. A provision that the contractor shall return all data immediately upon cessation of the contract; and

c. A provision requiring security against theft, unauthorized release, security breach, damage, and loss of records.

K. The licensee shall comply with all record retention laws and the Department's record retention schedules.

L. The licensee shall destroy records in a manner that maintains confidentiality and shall comply with all applicable laws.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-123 Changes; Notification to the Department

A. The licensee shall notify the Department of the following changes at least 30 calendar days prior to the change:

1. Licensee's name;

2. A change in ownership, governing board member, or individuals identified in R21-7-107(B)(1)(b) ;

3. Plan to remodel a facility or administrative location;

4. Agency policy and procedure;

5. Agency program;

6. Change in profit or non-profit status; or

7. Any circumstance requiring an amendment to the license or operating certificate as prescribed in R21-7-124.

B. If a change in governing board member, CEO, or program director occurs without sufficient time for prior written notice, the licensee shall notify the Department as soon as the licensee is aware of the change, but no later than two workdays of the change.

C. The Department may request additional information or deny any proposed changes that are inconsistent with licensing requirements.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-124 Amendment; License; Operating Certificate

A. A Child Welfare Agency shall request an amendment to modify their license or operating certificate on the Department's prescribed application form for the following:

1. License type,

2. The parameters of the license or operating certificate as prescribed in A.R.S. § 8-505,

3. Relocation of an administrative location or facility,

4. Additional facility, or

5. Completed remodel of a facility or administrative location.

B. The Department may issue an amended license or amended operating certificate if the change does not cause the Agency or facility to be out of compliance with applicable statutes, local laws and relevant sections of this Chapter.

C. The Department shall not issue an amended license for an Agency or an amended operating certificate for a facility that has moved to a new location or remodeled until the Agency or facility:

1. Provides the information listed in R21-7-123 ;

2. Corrects deficiencies from the Life Safety Inspection;

3. Corrects deficiencies from a site inspection;

4. Complies with physical site and environmental requirements:

a. Documentation showing that the local zoning authority verifies that each Agency facility complies with all applicable zoning requirements;

b. Fire safety inspection report from the state fire marshal or a local fire department inspector for each facility when required by the local jurisdiction;

c. Any other inspection certificate, inspection report, or building occupancy certificate required by the local jurisdiction; and

d. Gas equipment inspection report for applicants under Article 2 of this Chapter; and

5. Complies with fingerprinting and background checks under A.R.S. § 46-141 and R21-7-104 for any new staff and adults residing in a facility.

D. The Department's decision to either approve or deny the application shall be based on compliance with this Chapter.

E. An amended license or operating certificate expires at the end of the Agency's regular licensing term.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-125 Staff: Notification; Hiring; Changes; Monthly Report

A. Prior to the staff's start date the licensee shall:

1. Enter the information contained in the completed background check authorization form in the Department's electronic database;

2. Request a Central Registry Check for the staff through the Department's electronic database; and

3. Ensure the staff is in compliance with A.R.S. § 46-141.

B. The Department shall notify the licensee if the staff has a substantiated finding of child abuse or neglect or does not have a valid Level One fingerprint clearance card.

1. If the staff has a substantiated finding on the Central Registry, the licensee shall:

a. For non-disqualifying act provide the Department within 72 hours of notification a written plan detailing the licensee's determination on employment including the staff's job responsibilities; or

b. For disqualifying act where the staff has received a good cause exception as prescribed in A.R.S. §§ 8-804 and 41-619.57, provide the Department within one workday of notification a written statement on a form provided by the Department detailing and the licensee's determination on employment including the staff's job responsibilities; or

c. For a disqualifying act where the staff has not received a good cause exception, provide the Department within one workday of notification a written statement on a form provided by the Department detailing the staff has been suspended or separated from employment with the licensee.

2. If the staff does not have a valid Level One fingerprint clearance card, the licensee shall provide the Department within 72 hours of notification a written statement on a form provided by the Department detailing the staff has been suspended or separated from employment with the licensee.

C. The licensee shall submit to the Department, on a monthly basis, a list of staff on a form provided by the Department.

D. The licensee shall enter any changes to employment, including separation, with the licensee in the Department's electronic database within five workdays from the date of the change.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-126 Emergency and Disaster Plan

A. An Agency shall have an emergency and disaster plan as required by A.A.C. Title 21 Chapter 8 Article 1.

B. An Agency shall make a copy of the emergency and disaster plan available upon the Department's request.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-127 Transportation

A. Vehicles

1. The licensee shall ensure that each vehicle used for the transportation of a child in care:

a. Is mechanically sound and in good repair;

b. Has heating and air conditioning units that work efficiently;

c. Has documentation of regular, routine maintenance and repairs;

d. Conforms to applicable motor vehicle laws;

e. Carries first aid supplies;

f. Carries emergency roadside supplies;

g. Has equipment appropriate to the terrain and the weather; and

h. Has current registration and insurance.

2. The licensee shall not allow the number of individuals in a vehicle used to transport a child in care to exceed the number of available seats and seat belts in a vehicle other than a bus. If the vehicle is a bus, the licensee shall not exceed the maximum stated occupancy on the bus inspection certificate.

3. The licensee serving a non-ambulatory child in care or a child with a disability shall provide access to transportation that accommodates the child's special needs and disability.

B. Car Seats and Seat Belts

1. The licensee shall keep the correct number and type of child car seats at the facility appropriate for the ages of the children in their facility.

2. The licensee shall ensure that each car seat is properly installed prior to transporting any child requiring a car seat in accordance with state law.

The licensee shall ensure that each vehicle, except for a bus, used to transport a child has passenger safety restraints available and will utilize the safety restraints according to state and federal law.

4. The licensee shall ensure each child with a disability that prevents the child from maintaining head and trunk control while sitting is secured in a car bed, harness, or other device designed to protect the child during transportation.

5. The licensee shall ensure when a child is transported in a wheelchair, the child is properly secured with a floor-mounted seat belt, and the wheelchair is properly immobilized using lock-down devices.

C. The licensee shall not transport a child in a truck bed, cargo area, camper, or in a trailer attached to a motor vehicle.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-128 Insurance

A. The licensee shall procure and maintain, at all times, insurance coverage that provides protection against financial loss.

B. The licensee shall carry insurance per the terms of their contract. The following insurance coverages with limits of liability shall not be less than those stated below.

1. Commercial General Liability - Occurrence Form. The policy shall include bodily injury, property damage, personal injury and contractual liability.

a. General Aggregate $2,000,000;

b. Products - Completed Operations Aggregate $1,000,000;

c. Personal and Advertising Injury $1,000,000;

d. Damage to Rented Premises $500,000;

e. Each Occurrence $1,000,000.

Business Automobile Liability.

a. The policy shall cover both bodily injury and property damage for any owned, hired, or non-owned vehicles used in the performance of licensee's operations;

b. Combined Single Limit (CSL) $1,000,000.

3. Worker's Compensation and Employers' Liability.

a. Workers' Compensation: Statutory;

b. Employers' Liability, each Accident $1,000,000;

c. Disease:

i. Each Employee $1,000,000;

ii. Policy Limit $1,000,000.

d. This requirement shall not apply separately to a licensee that is exempt under A.R.S. § 23-901.

4. Professional Liability (Errors and Omissions Liability).

a. Each Claim $1,000,000;

b. Annual Aggregate $3,000,000;

c. The policy shall be endorsed to include coverage for sexual abuse and molestation in an amount not less than $500,000. The policy shall include this statement: "Sexual Abuse and Molestation coverage is included."

C. Licensee shall not allow its policies to be suspended, cancelled, materially changed, or to expire without 30 days' prior written notice to the Department.

D. Licensee shall provide the Department with verification of the above insurance coverages.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-129 Staff Management and Records

A. The licensee shall have written policy and procedures governing staff that describes:

How the licensee recruits, screens, hires, supervises, trains, retains, develops, evaluates, disciplines, and terminates;

2. How the licensee handles resignations;

3. A job title and description, for each position within the Agency and each facility;

4. The duties assigned to each position;

5. How the licensee handles grievances;

6. A method to assure privacy of records; and

How the licensee handles personnel issues.

B. The licensee shall employ an individual only after careful evaluation of the applicant including personal or professional references as to character, skills, knowledge, and experience.

C. The licensee shall provide all staff a copy of the person's own job description and a copy of, or allow access to, the licensee's policies and procedures.

D. The licensee shall maintain a personnel record for all staff. The record shall include the following information:

1. Application for employment including previous employment history;

Verification or documentation of reference checks as required in R21-7-130 and signed and dated by staff who completed the reference check;

3. Documentation of the highest level of education achieved. The documentation may include a copy of a diploma, equivalence certificate, or record of notes of calls to educational institutions;

4. Medical examination reports showing that direct-care staff is free from communicable diseases as required by R21-7-206 ;

5. Medical examination reports on any other adult residing at the facility showing that the adult is free from communicable diseases as required by R21-7-206 ;

6. Medical and immunization records for a child who resides at the facility, but is not a child in care, as required by R21-7-206 ;

7. Copies of applicable professional licenses, credentials, and certifications;

8. Documentation showing that the staff has read their job description, and acknowledges understanding of the functions and requirements of the position. The document shall include the dated signature of the staff, and shall also provide verification that the staff was given a copy of the job description;

9. Front and back copy of a valid Arizona Level One fingerprint clearance card as required by A.R.S. § 46-141 and R21-7-104 ;

10. Records of all orientation and training received during employment;

Signed documentation showing that the direct-care staff has read and agrees to abide by the facility's behavior management policies and procedures;

12. Signed documentation showing that the staff has read and agrees to abide by the duty to report child abuse or neglect as described in A.R.S. § 13-3620;

13. Documentation showing that the staff has a valid driver's license if transporting children;

14. Reports of all performance evaluations;

15. Documentation of any personnel actions or investigations;

16. If applicable, copy of the completed Central Registry form with evidence of submission of the form to the Department;

17. Dates the staff started and separated from employment; and

18. An Agency shall record, on a form provided by the Department, when a staff resigns, retires, or is discharged, the date and reason for termination.

E. The licensee shall keep personnel records for at least three years after the staff's separation from the licensee.

F. The licensee shall maintain the following records for all staff training:

1. Training provided by internal staff:

a. Lesson plan or training outline that includes the class title, contact hours, learning objectives, and titles of video and audio materials used;

b. Class roster that includes the instructor name, class title, location of training, trainee name, trainee initials, or signature to confirm attendance;

c. Assessment Results; and

d. Class materials including: Power Points, handouts, and student workbooks, and materials;

2. Training provided by external providers:

a. Documented proof of attendance and successful completion; and

b. Assessment results, if available; and

3. Verification of current adult and pediatric cardiopulmonary resuscitation (CPR) and first aid certification for direct care staff.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-130 General Qualifications for Staff

A. The licensee shall ensure that all staff are currently certified, registered, or licensed as required by state law and applicable to their position.

B. The licensee shall ensure that all staff certify, on notarized forms provided by the Department, whether the staff is awaiting trial on or has ever been convicted of any of the criminal offenses listed in A.R.S. § 41-1758.07.

C. For all staff, the licensee shall obtain and document at least two references as follows:

1. Current or most recent employment through reference checks; and

2. At least one reference from persons not related to the staff by blood or marriage, who can attest to the staff's character, knowledge, and skill.

D. The licensee shall ensure that:

1. Direct care staff is certified in adult and pediatric cardiopulmonary resuscitation (CPR) prior to providing direct care to children; and

2. Direct care staff is certified in first aid by the American Red Cross, the American Heart Association, the Arizona Chapter of the National Safety Council, or any other provider whose program contains core elements similar to these entities, and contains a demonstrative component prior to providing direct care to children.

3. Training and certification solely provided on-line shall not be accepted.

E. The licensee may allow one staff to perform multiple functions or fill more than one position if:

1. The staff performing multiple functions is qualified for the jobs held; and

The licensee does not violate the applicable requirements of this Chapter.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-131 Standards; Qualifications for Specific Positions

A. All positions, including executive positions shall:

Conduct themselves professionally and ethically;

2. Comply with federal and state laws and rules, Agency policies and directives;

3. Immediately correct problems to ensure the safety of children in care;

Maintain high standards of honesty, integrity, and impartiality, free from personal considerations, or favoritism;

5. Be courteous, considerate, and prompt in interactions with the children in care and service providers including the Department;

6. Conduct themselves in a manner that will not bring discredit or embarrassment upon the Agency or the Department;

7. Use sound, professional and ethical judgment;

8. Be accessible to representatives of the Department, and other governmental agencies. As used in this subsection, "accessible" means readily available to answer questions and address problems or emergencies that arise, either personally or through a chain of command; and

9. Be considered as potentially having contact with children and shall:

a. Obtain and maintain a Level One fingerprint clearance card and

b. Obtain a Central Registry clearance check in accordance with the requirements of this Chapter.

B. The licensee shall have a CEO whose role is to oversee the Agency, and who:

1. Is responsible for general management, administration, and operation of the Agency according to this Chapter;

2. Ensures that:

a. Each child in care receives necessary professional services including psychological; educational, medical and other services, as recommended by a professional in that field;

b. Appropriately qualified staff render services to children in their care; and

c. The Agency remains in compliance with all statutes and rules;

Shall have management experience and meet any other qualifications required by the governing body; and

4. Shall designate a qualified person to perform the CEO's responsibilities whenever the CEO is inaccessible.

C. The licensee shall have a Program Director whose role is to be responsible for the development, implementation and supervision of the Agency program and services, and who shall:

1. Be a resident of Arizona; and

2. Have at least one of the following sets of minimum qualifications:

a. A master's degree in social work or a related area of study in the human services field from an accredited school;

b. A bachelor's degree in social work or a related area of study in the human services field from an accredited school and two years' experience in the child welfare or child care services field; or

c. At least six years' experience in the child welfare or child care services field.

D. The licensee shall have direct care staff whose role is to supervise, care for, and nurture a child in care and shall have at least:

1. A high school diploma or equivalency degree and one year experience in providing direct care to children; or

2. One year post-high school education in a program leading to a degree in the field of child welfare, human services, or other related field of study.

E. The licensee shall have a supervisor whose role is to supervise, evaluate, and monitor the work of the direct care staff and who shall:

1. Meet the requirements of direct care staff; and

2. Have at least an additional two years of any combination of the following:

a. Paid child care or child welfare related experience, or

b. Post-high school education in social work or a related field.

F. Any licensee that operates more than one facility shall designate a person to supervise the operations of each facility.

G. A person may hold multiple positions with an Agency as long as that person meets requirements of each position held.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-132 Orientation and Training for Staff

A. The licensee shall have a written policy approved by the Department for orientation and training of all staff in accordance with R21-7-107.

B. All staff shall receive initial orientation and training before independently performing the essential functions of their job and before direct care staff may supervise children alone.

C. The licensee's policy shall require staff to complete the initial orientation and training to include:

1. Training all staff on the following:

a. The licensee's philosophy;

b. The licensee's organization;

c. The licensee's program;

d. The licensee's practices;

e. The licensee's goals;

f. The licensee's policies and procedures;

g. Identification and reporting children suspected to be victims of child exploitation, including sex trafficking;

h. Mandatory reporting of suspected child abuse and neglect under A.R.S. § 13-3620;

i. Any specific child care responsibilities outlined in the staff's job description; and

j. Any new training required by the federal or state governments.

Training direct care staff on the following:

a. Confidentiality,

b. Client and family rights,

c. Grievances,

d. Emergencies and evacuations,

e. Behavior management,

f. Preventing and reporting child abuse or neglect,

g. Recordkeeping,

h. Medications,

i. Infection control,

j. Treatment philosophy,

k. Adult and pediatric cardiopulmonary resuscitation (CPR) and first aid according to American Red Cross guidelines as prescribed in R21-7-130 ,

l. Initial wellness screening for identified direct care staff,

m. Trauma-informed care of children,

n. De-escalation and any physical restraint practices used by the Agency and taught by an instructor certified, approved by the Department, and qualified under this subsection. An instructor is certified and qualified to train staff in de-escalation and physical restraint practices if:

i. The instructor's curriculum conforms to the requirements of this Chapter, state law, and who have experience in the actual use of interventions as opposed to administrative responsibility for such use; and

ii. The classroom instruction provided conforms to the requirements of this Chapter and state law. The training shall cover at a minimum intervention techniques, particularly addressing the risks and side effects that may adversely affect a child. The use of intervention includes hands-on or practical experience to be conducted by instructors;

o. Recognizing expected responses to and side effects of medications commonly prescribed for children in care,

p. Recognizing the signs and effects of:

i. Substance use and abuse,

ii. Common childhood illness, and

iii. Communicable disease,

q. Emergency admissions process if applicable to the licensee's services,

r. Writing and submitting incident reports, and

s. Creating normalcy for children in their care. The training shall address best practices for meeting the diverse needs for each individual child.

D. The licensee's ongoing training plan shall require that:

1. All staff receive annual training to include the following topics:

a. Mandatory reporting,

b. Relevant portions of Arizona Administrative Code,

c. Agency and Department policies and procedures,

d. Responsibilities appropriate to the staff's duties with the Agency, and

e. Any updates to topics covered in prior trainings the staff has received.

2. All direct care staff shall receive annual training which shall include the following topics:

a. Child management techniques;

b. Positive discipline, crisis intervention, and behavior management techniques;

c. De-escalation, physical restraint techniques refresher to maintain currency in knowledge and recent technical trends;

d. Health care issues and procedures, including mental health;

e. Attachment and separation issues for a child and family;

f. Sensitivity towards and skills related to cultural and ethnic differences;

g. Sensitivity towards and skills related to children who identify as part of the lesbian, gay, bisexual, transgender, or questioning community;

h. Strategies for addressing safety concerns and challenges faced by children who identify as part of the lesbian, gay, bisexual, transgender, or questioning community;

i. Self-awareness, values, and professional ethics;

j. A child's need for permanency and how the Agency works to fulfill this need;

k. Trauma informed care; and

l. How to promote normalcy for children in their care.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-133 Monitoring

A. The Department shall monitor the ongoing operations of an Agency and its facility.

B. The Department's monitoring activities may include the following:

1. Announced and unannounced inspections or observations of an Agency or a facility, including both the premises and internal operations, books, records, policies, procedures, logs, manuals, files, inspection reports, certificates, and any other document required by this Chapter; and

2. Interviews with a child, client, staff, management, or other person with information about the Agency.

C. The licensee shall cooperate with the Department's monitoring activities.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-134 Licensing Complaint

A. If the Department receives a licensing complaint about a licensee, Agency, or facility, the Department shall ask the complaining party to submit the licensing complaint to the Department's Centralized Intake Hotline. The Department shall investigate a licensing complaint under this Section when the complaining party does not contact the Centralized Intake Hotline.

B. The Department shall refer a licensing complaint involving an allegation of child abuse or neglect to the Department's Centralized Intake Hotline as required by A.R.S. § 13-3620 for investigation under A.R.S. § 8-455.

C. The Department shall investigate a licensing complaint about a licensee through one or more of the following methods:

1. Telephone contact with the licensee,

2. Interviews with the complaining party,

3. Interviews with the licensee's management and staff,

4. Interviews with the licensee's clients and children in care,

5. Interviews of witnesses to the matters at issue,

6. Inspections of records and documents related to the issues raised in the complaint,

7. Announced and unannounced inspections of the Agency or a facility,

Evaluation of a law enforcement or DCS report or investigation and supporting information for evidence of a licensing violation, and

9. Any other activity necessary to validate or refute the allegations in the complaint.

D. The licensee shall cooperate in any Department investigation.

E. Upon completion of an investigation involving a licensing complaint under this Section, the Department shall:

1. Find that the licensing complaint is invalid, document the findings in the Agency's licensing file, and close the investigation;

2. Find that the licensing complaint is valid and take action against the licensee if necessary under R21-7-114 or require corrective action under R21-7-113 ; or

3. Find that the licensing complaint cannot be validated or refuted based on the available evidence and document the finding in the licensing file.

F. The Department shall provide the licensee with written notification of any findings made under subsection (E) and shall place a copy of the written findings in the licensee's file.

G. For purposes of this Section, a licensing complaint is an allegation that the Child Welfare Agency has violated any of the requirements set forth in this Chapter or in A.A.C. Title 21 Chapter 8.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-135 Additional Provisions for a Child Placing Agency

A. Each Child Placing Agency shall compile an operations manual that is available to all Agency staff. All staff shall be familiar with the operations manual, which shall contain:

1. The mission statement with the overall philosophy that guides the Agency's services;

2. A statement of the primary purpose, services, and goals of the Agency;

3. A chart of organizational structure;

4. The Agency's intake policies and procedures;

5. The manual of the Agency's governing board;

6. The operational procedures that guide the delivery of the Agency's services; and

7. Copies of the Agency's forms.

B. The Child Placing Agency shall have office staff who is responsible for performing clerical services to maintain correspondence, records, and bookkeeping. A Child Placing Agency's files shall be regularly updated and maintained in good order.

C. The Child Placing Agency shall have access to a medical professional who makes recommendations regarding the medical aspects of the agency program, coordinates medical care for children in care, and advises staff regarding the health problems of specific children.

D. The Child Placing Agency shall have access to psychiatric, psychological, and legal consultation or services.

E. When placing a child in care:

1. The Child Placing Agency shall follow the placement requirements and procedures in A.R.S. §§ 8-514, 8-516, 8-528, and 8-813; and

2. The Child Placing Agency shall, at the time of placement, provide the foster parent or other placement with the documents and information for each child in care required under A.R.S. § 8-514.

F. The Child Placing Agency's offices shall:

1. Have sufficient space for interviewing children and families and for supervisory conferences and to ensure the privacy of the parties; and

2. Comply with any building, health, fire, and codes and ordinances in effect in the jurisdiction where the facility is located.

G. A Child Placing Agency shall maintain phone service at each office and facility.

H. Unless also licensed as a residential group care facility under Article 2 of this Chapter, a Child Placing Agency shall not utilize the facility's physical office for the purpose of housing children.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-136 Fees

A. Fees apply to a Child Welfare Agency applying for a license under this Chapter, but do not maintain a contract with the State, and meets the criteria set forth in A.R.S. § 8-467(F).

B. The applicant shall submit payment of fees at the time of application. Fees are based on the number of beds requested for the placement of children stated on the application.

C. Final fees shall be determined as follows:

1. If the Department issues a license for a lower bed capacity than initially requested by the applicant, the Department shall return payment of fees made in excess of the licensed bed capacity within 60 days of the license being issued.

2. If, at the applicant's request, the Department issues a license for a higher bed capacity than initially requested on the application, the applicant shall submit additional fees based on the number of beds licensed.

3. If the applicant has not paid fees at the time the license is issued, the Department shall issue a 60-day provisional license subject to the terms of R21-7-111.

4. Fees are not refundable if the applicant withdraws their application or a license is denied under R21-7-114.

D. The fee schedule is as follows:

1. For the initial application, the fee is set at $600 per bed available for the placement of a child.

2. For the renewal application, the fee is set at $600 per bed available for the placement of a child.

3. For an amendment application to modify a license or operating certificate that increases available beds for the placement of a child, the fee is set at $600 per new or additional bed available for the placement of a child. An amendment application to modify the license or operating certificate includes an application to:

a. License a new facility; and

b. Increase capacity for the placement of children.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Article 2 [Effective 11/6/2023] RESIDENTIAL GROUP CARE FACILITIES

Ariz. Admin. Code § R21-7-201 Orientation

A. A person who is interested in operating a residential group care facility may complete a Child Welfare Agency orientation.

B. The person shall contact the Department to request the orientation and the Department shall offer the orientation within 90 calendar days of the request.

C. During orientation, the Department shall review with the person the application requirements and licensing requirements as prescribed by this Chapter.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-202 Application for an Operating Certificate for an Additional Facility

A. A currently licensed Agency that wishes to obtain an operating certificate for an additional facility may file an application for an amended license to add a new facility.

B. The applicant shall submit an application as required by R21-7-124, with information specific to the new facility.

C. Upon receipt of all information listed in subsections (A) and (B), the Department shall consider whether the Agency has:

1. A license in good standing;

2. Any open Department or licensing investigation;

3. Any outstanding corrective action plan;

4. Any licensing complaints or concerns within the past 12 months; and

5. Demonstrated a need for the additional facility as described in this Chapter.

D. Upon the Department's determination that the information provided in subsection (C) is satisfactory to proceed, the Department shall schedule the facility for a site inspection within 14 calendar days, under R21-7-105.

E. The Department shall issue a licensing decision on the application as prescribed in R21-7-104 and R21-7-110 and within the time frames of R21-7-109.

F. An operating certificate expires at the end of the Agency's licensing year.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-203 Statement of Purpose; Program Description and Evaluation; Compliance with Adopted Policies; Child Rights

A. The licensee shall have a written statement that describes its philosophy, purpose, and program for a child in their care.

B. The licensee shall have a written program description of all services each facility provides to a child in care and their families and the methods of service delivery.

C. The licensee shall adhere to and enforce all plans, policies, and procedures that the licensee adopts in accordance with this Chapter.

D. The licensee shall provide a copy of the rights listed in A.R.S. § 8-529 to each child in care age 12 and older and for children less than 12 years of age as developmentally appropriate. This information shall be posted in a conspicuous location within each facility.

E. The licensee shall ensure that the person assisting the child in care with personal care be of the same gender, if needed.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-204 Combining Populations

A. The licensee shall not combine its child welfare program with other forms of care, programming, or business including foster care, child care, nursing or convalescent care for adults, or adult developmental care, unless the licensee:

1. Physically separates the children in the child welfare program from persons in other programs,

2. Prevents interaction between a child in the child welfare program and any person in another program, and

3. Demonstrates how the programs are separate and prevents interaction between residents and other programs.

B. This Section shall not be interpreted in a manner that prevents a child in care from interacting with other children in the course of typical day-to-day activities and experiences.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-205 Grievances

A. The licensee shall have a written policy and procedure governing the receipt, consideration, and resolution of grievances regarding the licensee's program and care of children brought to the licensee by a child in care, or child's parent or guardian. The policy and procedure shall:

1. Be written in a clear and simple manner that is developmentally appropriate for a child in care;

2. Prohibit retaliation against an individual who brings a grievance;

3. Describe a process for fair and expeditious resolution of a grievance;

4. Provide a means to tell the grievant about the action taken in response to the grievance;

5. Provide the grievant with instructions for submitting the grievance to the licensee; and

6. Identify an accessible location for blank copies of the grievance form in each facility.

B. The licensee shall maintain a log of grievances filed against the licensee. The licensee may keep a centralized Agency log, or may maintain a separate log for each facility. The log shall include the following information:

1. Name of grievant;

2. Date grievance filed;

3. Description of the substance of the grievance;

Summary of the grievance resolution; and

5. A copy of the grievance decision.

C. The licensee shall maintain written records of a grievance decision for at least three years after the resolution of the grievance, or three years after the child has left the Agency, whichever is later.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-206 Physical and Mental Health

A. The licensee shall require all direct care staff and any adult living in the facility to be free of medical, physical, or mental health conditions that would interfere with the safe care and supervision of a child in care.

1. The direct care staff and any adult living in the facility shall demonstrate compliance by submitting the following on forms provided by the Department:

a. A health self-disclosure completed no more than 90 calendar days before beginning assigned duties or residing at the facility, and

b. A physician's statement completed no more than 90 calendar days before beginning assigned duties or residing at the facility.

2. The direct care staff and any adult living in the facility shall submit a new physician statement and health self-disclosure at least every 12 months from the date of hire while working or residing in the facility.

B. The licensee shall require a parent or guardian, whose child lives on the premises, to do all of the following:

1. Submit a health self-disclosure of the child's physical and mental health on a form provided by the Department:

a. No more than 90 calendar days prior to the child residing in the facility,

b. When a change to the physical and mental health of the child occurs since the last statement of physical and mental health, and

c. At least every 12 months while the child resides in the facility.

2. Ensure the child is up to date on immunizations and provide supporting documentation.

C. When the health self-disclosure or physician statement from a direct care staff, or a child residing with the direct care staff, or any adult residing in the facility discloses a condition that may interfere with the care of or poses a risk to a child in care, the licensee shall provide the Department with a detailed plan that the licensee will implement so the condition does not interfere with the care of the child or mitigates risk.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-207 Notification of Unusual Incidents and Other Occurrences

A. The licensee shall have a written policy and procedure consistent with the requirements of this Chapter, regarding documentation of, and reporting requirements for unusual incidents.

B. The licensee shall maintain a record of each unusual incident in a separate log that permits the Department to easily locate the documentation of each incident that occurred.

C. The licensee shall immediately notify the Centralized Intake Hotline:

1. Of any incident of alleged physical or sexual abuse of a child in care;

Upon the death of a child in care;

3. When a child in care suffers an injury, illness, or psychiatric episode that is severe enough to require emergency medical intervention, treatment, hospitalization or emergency services for the child;

4. When a child in care attempts suicide;

5. Substance abuse by the child in care that results in emergency medical treatment, hospitalization, or overdose;

When a child in care is arrested by law enforcement;

7. When a child's whereabouts are unknown including a child who has run away from a facility;

8. When the facility requires an emergency evacuation; or

9. When the licensee is affected by a fire or natural disaster with or without the need of emergency evacuation.

D. The licensee shall immediately call emergency services and within two hours of the licensee's knowledge of the death of a child in care:

1. Notify the Placing Entity or, if no Placing Entity, parent or guardian who placed the child with the Agency;

2. Cooperate in any arrangements for examination, autopsy, and burial; and

3. Provide written notice to the Department.

E. If a child in care suffers a serious illness, serious injury, or a severe psychiatric episode requiring hospitalization, the licensee shall notify the Placing Entity or, if no Placing Entity, parent or guardian who placed the child with the Agency and the Department within 24 hours of the licensee's knowledge of the occurrence.

F. If a child suffers a severe psychotic episode, or exhibits suicidal ideation, homicidal ideation, a threat of self-harm, or other mental health crisis that places the child or others in immediate danger, the licensee shall immediately contact a crisis hotline or the licensee's internal licensed counselor with training in crisis management. The licensee shall notify the Placing Entity or, if there is no Placing Entity, parent or guardian who placed the child with the Agency within 24 hours of the licensee's knowledge of the occurrence.

G. The licensee shall comply with the statutory obligation to report child abuse or neglect, under A.R.S. § 13-3620.

H. The licensee shall comply with any reporting requirements set forth in the licensee's contracts and shall give the Department written documentation on the form provided by the Department within 48 hours:

1. Of any fire or a natural disaster affecting the licensee, Agency, or facility with or without the need for emergency evacuation;

2. When pest infestation has been discovered at a facility;

3. When law enforcement involvement occurs in which a formal complaint is filed by or against the licensee;

4. When sexual contact or physical aggression occurs between children;

5. When a threat or altercation occurs involving a child in care;

6. When self-harming behavior occurs;

7. When a child in care receives emergency medical treatment;

8. When adverse medication reactions occur which may or may not result in medical intervention;

9. When medication is administered in an emergency situation;

10. When an accident or incident occurs involving injury or trauma to a child in care, including transportation related accidents;

11. When damage or theft of property occurs to or by a child in care;

12. When a child in care is involved in an incident that results in law enforcement contact;

13. When restrictive behavior management is used on a child in care;

14. Knowledge of substance use or abuse; and

15. When a call is made to the Centralized Intake Hotline involving a child in care.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-208 Investigations of Child Abuse or Neglect

A. The licensee shall ensure that the following requirements are met and have a written policy and procedure consistent with the requirements of this Chapter for handling alleged and suspected incidents of child abuse or neglect, to include the following provisions:

1. Immediately report a suspected incident of child abuse or neglect to law enforcement and the Department as required by A.R.S. § 13-3620;

2. Notify the Department, and notify the child's Placing Entity or person who placed the child with the Agency;

3. Take precautions to prevent further risk to the child who allegedly suffered the abuse or neglect and potential risk to any other child in care;

4. Contact law enforcement and the Centralized Intake Hotline if a child discloses that they are a victim of a crime, including sex trafficking;

5. Require staff to disclose to the licensee any substantiated finding of abuse or neglect recorded on the Central Registry during the staff's employment;

Evaluate staff who have a non-disqualifying act on the Central Registry for suitability to perform their assigned duties; and

7. Advise the Department of any staff who commits or allows child abuse or neglect, in order for the Department to ensure compliance with R21-7-104.

B. The licensee shall require all staff to read and sign a statement describing the duty to report child abuse or neglect under A.R.S. § 13-3620. The licensee shall maintain a copy of this statement in the staff's personnel file.

C. The licensee shall not internally investigate an incident of child abuse or neglect unless the Department approves.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-209 Runaway and Missing Children

A. The Agency shall have written policy and procedures, consistent with the requirements of this Chapter, for responding to a child in care who has run away or is otherwise a missing child.

B. The Agency's policy and procedure shall meet the following minimum requirements:

The Agency's strategies for making children feel safe and welcomed;

2. Notification shall be provided to the:

a. Local law enforcement agency,

b. Placing Entity or person who placed the child with the Agency, and

c. Administrator of the child's facility or that person's designee;

3. Timeframes for notification to the entities detailed in R21-7-207 ;

4. How to submit an incident report to the Placing Entity or person who placed the child with the Agency; and

5. Ensure the safety of a runaway or missing child who returns to the licensee, including:

a. Interviewing the child to determine the factors that led to the child's absence from the facility;

b. Determining the child's experiences while absent from care, including whether the child is a victim of a crime or sex trafficking; and

c. Determining substance use by the child in care that could result in emergency medical treatment, hospitalization, or overdose.

C. The Agency shall provide direct care staff information on reasons why children run away.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-210 Staff Coverage; Staff-child Ratios

A. The licensee shall have a written plan consistent with the requirements of this Chapter to minimize the risk of harm, ensure normalcy, and provide for the well-being of a child in care. The written plan shall describe the staffing for each facility, for 24 hours per day, seven days per week and shall explain:

1. How direct care staff coverage is assured:

a. When assigned direct care staff are absent due to illness, vacation, or other leave of absence; and

b. During emergencies, unplanned staff shortages, and when circumstances require additional staff;

2. The methods the licensee uses to assure adequate communication and support among direct care staff to provide continuity of services to a child in care; and

3. Direct care staff requirements for monitoring and documenting safety checks while a child in care is sleeping.

B. The licensee shall also have a written staffing schedule for each facility shift; the schedule shall document the direct care staff actually on duty during each shift. If there is a last minute or planned change to staffing, the licensee shall indicate on the staffing schedule. The licensee shall retain the schedule in one designated location at each facility for at least two years.

C. The licensee shall maintain paid direct care staff in the facility subject to the table below. The licensee shall assess the individual needs of the children in care and determine if additional paid direct care staff is necessary.

| Age | Minimum required direct care staff in the facility per number of children (staff-to-child ratio) | | --- | --- | | Under the age of three years old | One paid direct care staff shall not care for more than five children under the age of three years old. At least one paid staff for each six children when children are sleeping. | | Ages three years through five years old | One paid direct care staff shall not care for more than six children ages three through five years old. At least one paid staff member in each building where children are in care are sleeping. | | Ages six years through 11 years old | One paid direct care staff shall not care for more than eight children ages six years through 11 years old. At least one paid staff in each building where children in care are sleeping. | | Ages 12 years through 17 years old | One paid direct care staff shall not care for more than 10 children ages 12 years through 17 years old. At least one paid staff in each building where children in care are sleeping. | | Young Adults | One paid direct care staff shall not care for more than 10 children ages 18 years old and more. At least one paid staff onsite for each 20 young adults. |

D. For a multilevel facility the licensee shall have a minimum of one direct care staff for each living unit during sleeping hours, excluding single family homes.

E. The licensee shall have direct care staff in each building at each facility on shift who are trained and authorized to apply:

1. How to promote normalcy consistent with the program and policy of the Agency, and

2. Appropriate techniques of behavior management consistent with the program and policy of the Agency.

F. For the purpose of the direct care staff to child ratios in subsection (C):

1. Students and volunteers do not count as staff,

2. Staff providing one-on-one supervision for a designated child do not count as part of the overall direct staff-child ratio, and

3. Any child who lives at the facility is counted towards the ratio requirements.

G. The licensee shall not fall below the minimum direct care staff-child ratios specified in this Section and in addition shall maintain:

1. Direct care staff sufficient to care for a child as prescribed in this Article and in the licensee's own program description, statement of purpose, and policies; and

2. Practices or policies that take the following factors into account:

a. The ages, capabilities, developmental levels, and service plans of a child in care;

b. The time of day, and the size and type of the facility;

c. The facility's history and the frequency and severity of unusual incidents, including runaways, sexual acting-out behavior, disciplinary problems, and injuries; and

d. Any other information relevant to the need of a child in care at the facility.

H. The licensee shall have a sufficient number of qualified staff to perform the direct service, clerical, fiscal, food service, housekeeping, and maintenance functions prescribed in this Article and in the licensee's own policies.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-211 Admission and Intake; Criteria; Process; Restrictions

A. The licensee shall have a written policy and procedure describing the process and requirements for both regular and emergency admissions and intake. The policy shall include the provisions listed in this subsection.

1. The licensee shall have a method to allow a child to participate in admission and intake decisions, including selection of living unit, if developmentally appropriate and consistent with the licensee's program;

2. The licensee shall provide the Placing Entity or, if there is no Placing Entity, parent or guardian who placed the child with the Agency with a reasonable opportunity to participate in admission and intake decisions;

3. For an emergency admission the licensee shall have documentation that attempts were made to obtain the following:

a. A written agreement with the child's Placing Entity,

b. A court order, or

c. The written consent of the child's custodial parent or guardian;

4. The licensee shall obtain any available medical information about the child before or at the time of the child's admission. The information shall include the following, if available to the licensee:

a. A report of a medical examination of the child performed within 45 calendar days prior to admission;

b. A report of a dental examination of the child performed within six months prior to admission; and

c. The child's and child's family's medical history;

5. The licensee shall comply with the requirements of R21-7-224 to obtain an examination;

6. At the time of or prior to admission, the licensee shall obtain written consent from the Placing Entity, or if there is no Placing Entity the child's parent or guardian, for the licensee to authorize routine medical and dental procedures for the child;

7. If a child is taking medication at the time of admission, the licensee shall:

a. Document in the child's medical record required by R21-7-121 and the medication administration schedule required by R21-7-226 ; and

b. Administer medication, prescribed or over-the-counter, only if it is in the original container, and if applicable, labeled by the dispensing pharmacy with a fill date, prescribing physician, and instructions for administration; or

c. Schedule a medical appointment immediately if the medication is not its original container, and if applicable, labeled by the dispensing pharmacy with a fill date, prescribing physician, and instructions for administration; and

8. Within 24 hours of a child's admission, a licensed medical professional or staff who has the training listed in R21-7-132, shall complete a child's initial wellness screening, to include:

a. A visual inspection of the child for signs of obvious physical injury and symptoms of disease or illness;

b. An assessment of the child for evidence of apparent vision and hearing problems; and

c. The documentation of any condition or problem and referring the child for immediate or further assessment or treatment, if indicated.

B. Intake Assessment:

1. Prior to admitting a child into a facility, a licensee shall:

a. Ensure the child has a current intake assessment covering the child's social, health, educational, legal, family, behavioral, psychological, and developmental history; or

b. Completes such an assessment within seven workdays following the child's admission;

2. In this subsection, "current" means within the six months prior to admission.

C. The licensee shall not admit a person who is age 18 or older, except a licensee may provide care for a young adult less than 21 years of age who was a child in care and turned 18 while in care as long as the young adult is currently enrolled in and regularly attending a high school program, vocational training program or post-secondary education or meets criteria in A.R.S. § 8-521.02 and continues to reside in a Child Welfare Agency under an individual case plan agreement for out of home care.

1. A child who turns 18 and continues to reside in care is not required to obtain a Level One fingerprint clearance card.

2. A young adult who exits and re-enters care under A.R.S. § 8-521.02 is not required to obtain a Level One fingerprint clearance card.

3. A licensee who provides care for a young adult who is continuing in care shall adhere to all requirements of this Chapter.

D. The licensee shall obtain written approval from the Department prior to admitting a child who does not fall within the licensee's admission criteria.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-212 Information and Services Provided to the Placing Entity, Parent, or Guardian

A. The licensee shall provide information, no later than the date of a child's admission, about the following subjects to the Placing Entity, or if there is no Placing Entity, a parent or guardian:

The licensee's program description required by R21-7-107 ,

2. Daily routines and schedule at the facility where the child is or will be placed,

3. The method of how to assign the child to a particular living unit,

4. The positive behavior management policies and procedures prescribed in R21-7-227 ,

5. Services and treatment strategies provided or used at the facility,

6. The visitation and communications policy prescribed by R21-7-220 ,

7. The education program or method for providing a child with education, and

8. Any religious practices observed by the licensee or religious observances required of a child in care.

B. The licensee may provide the information in summary form or orally, but shall:

1. Convey the information in a language or form that the Placing Entity, or if there is no Placing Entity, parent and guardian can understand;

2. Advise the Placing Entity, or if there is no Placing Entity, parent or guardian that, upon request, the licensee shall provide a copy of the licensee's policies or procedures; and

3. Provide contact information for which the Placing Entity, or if there is no Placing Entity, parent or guardian can obtain information about the program, facility, or child in care.

C. The licensee shall provide the Placing Entity, or if there is no Placing Entity, parent or guardian with a copy of the licensee's grievance procedures required by R21-7-205 and the rights of a child in care required by R21-7-203.

D. The licensee shall explain the contents of the documents before obtaining the signature of a child's parent or guardian on a contract, consent, or release.

E. The licensee shall obtain the dated signature of the Placing Entity, or if there is no Placing Entity, parent or guardian indicating receipt of the information listed in subsections (A) through (C).

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-213 Orientation Process for a Child in Care

A. The licensee shall have a written policy and procedure for providing an orientation to a child placed in the licensee's care.

B. The licensee shall provide a child admitted into care with the orientation described in this Section. The orientation shall be in a language and manner that the child can understand and that is developmentally appropriate to the child.

C. During the first full day of a child's placement, the licensee shall:

1. Take the child on a tour of the facility; and

2. Introduce the child to staff and other residents.

D. During the first 72 hours following a child's admission and as part of each child's orientation, the licensee shall:

Familiarize the child with the licensee's program;

2. Explain the licensee's expectations and requirements for behavior;

Explain the criteria for successful participation in and completion of or discharge from the program, if applicable;

4. Make available a copy of the Agency's behavior management policy and procedure required by R21-7-227 ;

5. Make available a copy of the visitation and communication policy prescribed by R21-7-220 ; and

6. Describe and, upon request, make available a copy of the grievance procedures required by R21-7-205 and the statement of child rights prescribed by R21-7-203.

E. The licensee shall document the orientation and other information given to a child in the child's record.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-214 Child's Service Plan

A. If a child in care has an existing service plan at the time of admission, the licensee shall:

1. Review the plan before or at the time of the child's admission, and

2. Assess the existing plan and make any necessary additions to conform to the requirements of this Section.

B. If a child in care does not have a service plan at the time of admission, the licensee shall initiate service planning at the time of admission.

C. Within seven workdays of a child's admission, a licensee shall document all interim planning efforts identifying the child's needs and initial plans for service.

D. No later than 30 calendar days after the child's admission to a facility, the licensee shall:

1. Complete the child's initial service plan or any modifications to an existing plan; and

2. Identify Agency staff responsible for education, behavioral health, and any additional assistance the child in care requires to support the service plan.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-215 Discharge; Discharge Summary

A. The licensee shall have a written policy and procedure that conform to the requirements of this Chapter, for a planned and unplanned discharge of a child in care.

1. Before a child's planned discharge, the licensee shall explain the discharge plan to the child and help the child understand the plan.

2. The licensee shall explain the discharge plan to the Placing Entity, parent or guardian removing the child at the time of discharge.

3. The discharge plan shall include the following information:

a. The name, address, telephone number, and relationship of the person to whom the child was discharged;

b. A list of medication provided during care, with a summary of the reasons for prescribing the medication and any outcomes of the medication;

c. A summary of progress toward service plan goals;

d. An assessment of the child's unmet needs and alternative services that might meet those needs;

e. Identification of the person or Placing Entity responsible for ensuring provision of recommended follow-up services and after-care; and

f. For an unplanned discharge, a description of the circumstances surrounding the unplanned discharge, including the licensee's actions.

B. When a child's Placing Entity, or if there is no Placing Entity, parent or guardian has not participated in the decision to discharge the child, the licensee shall notify the Placing Entity, or if there is no Placing Entity, parent or guardian within one hour of discharge, or document attempts at notification. The licensee shall provide the required information detailed in the licensee's policy to the child's Placing Entity, or if there is no Placing Entity, parent or guardian within 15 calendar days from the child's discharge date.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-216 Personal Care of a Child in Care

A. The licensee shall provide a child in care with:

1. Developmentally appropriate supervision, assistance, and instruction in, good habits of personal care and hygiene and culturally appropriate grooming;

2. Necessary toiletry items; and

3. The opportunity to have a daily shower or bathe in private, as developmentally appropriate, or as otherwise prescribed in program policy.

B. The licensee shall not allow community use of grooming and hygiene items such as towels, toothbrushes, soap, hairbrushes, and deodorants.

C. If the licensee restricts personal care or grooming practices, the licensee shall have a policy describing the restrictions and the reasons for the restrictions.

D. The licensee shall not restrict access to feminine hygiene products of the child's choice.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-217 Children's Clothing and Personal Belongings

A. The licensee shall allow a child in care to bring clothing and personal belongings to the facility and acquire belongings while in care, in accordance with the child's service plan and the facility's policy.

B. When a child is admitted, the licensee shall inventory the child's clothing, shoes, and personal belongings. The licensee shall provide a copy of the inventory to the Placing Entity, or if there is no Placing Entity, parent or guardian, and keep a copy in the child's file.

C. The licensee shall either store any restricted possessions or return the possessions to the child's Placing Entity, or if there is no Placing Entity, parent or guardian.

D. The licensee shall allow a child to select their own clothing and shoes when developmentally appropriate.

E. If the licensee limits a child's right to have, wear, or display certain clothes, shoes, or personal belongings, the licensee shall:

Have a written policy explaining the limitations and the reasons for the limitations, and

2. Explain the limitations to the child in a form and manner that the child can understand.

F. The licensee shall ensure that each child has a personal supply of clean and seasonally appropriate clothing and shoes as required for health, comfort, and physical well-being and as appropriate to the child's age, gender, size, and individual needs.

G. The licensee shall have a policy governing a child's clothing and personal belongings that covers the following:

1. The method of storage and access to a child's clothing and personal belongings while a child is in the care of the licensee;

The retention, return, and disposal of clothes and personal belongings of a child who is discharged;

3. The requirement of the licensee to obtain written approval from the Placing Entity, or if there is no Placing Entity, parent or guardian prior to disposal of any of a child's clothing and personal belongings. The requirement shall include at least three attempts within 30 calendar days, to seek approval prior to disposing of any child's clothing and personal belongings; and

4. At the time of a child's planned discharge, the licensee shall allow the child to take their clothing and personal belongings.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-218 Children's Money

The licensee shall provide opportunities for a child in care to develop a sense of the value of money. This may include allowances, earnings, spending, giving, or saving. Any practices regarding the child's money shall comply with this Section.

1. The licensee shall have a written policy governing allowances, accounting records for the money of each child, disbursements of the money of each child, and purchases made by the child applicable to the licensee's program.

2. The licensee shall treat a child's money as that child's personal property.

3. The licensee may limit the amount of money to which a child may have access when the limitations are:

a. In the child's best interest and explained in the child's service plan; and

b. In accordance with the facility's program description.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-219 Nutrition; Menus; and Food Service

A. The licensee shall have a written, dated menu of planned meals. The licensee shall:

Have the menu either prepared or approved by a registered nutritionist or dietician;

2. Have the menu available at the facility at least one week before meals are served;

3. Post the weekly menu in a location where a child in care may review it; and

Keep a copy of the menu and any menu substitutions on file for one year and keep the record in a central location at the Agency or facility.

B. The licensee shall prepare and serve meals in compliance with the written, dated menus.

C. The licensee shall ensure cooking staff have knowledge in how to plan and cook a nutritional meal.

D. The licensee shall develop and follow a specialized menu for a child in care with special nutritional needs. The licensee shall make special menus available to staff, but shall not post special menus in an area that is readily seen by other children in care.

E. Menus shall reflect the religious, ethnic, and cultural differences of children in care.

F. Menus shall reflect nutritional standards including servings of dairy, vegetables, fruits, carbohydrates and protein reflecting the latest standards from the United States Department of Agriculture.

G. When developmentally appropriate, a licensee shall allow children to make menu suggestions.

H. The licensee shall provide each child with at least three meals daily and supply snacks in between meal times; between-meal snacks shall not replace regular meals.

I. The licensee shall provide meal portions that are consistent with each child's caloric and metabolic needs.

J. The licensee shall serve a child meals that are the same as those served to staff unless special dietary needs require differences in diet.

K. All meals and between-meal snacks shall consist of foods that are within noted expiration or sell-by dates, and fresh fruits and vegetables that are not bruised, overripe, rotten, or inedible.

L. The licensee shall allow child in care to eat at a reasonable rate. Unless otherwise prescribed in Agency policy, staff shall encourage social interaction and conversation during meals.

M. The licensee shall have potable water available at all times.

N. Direct care staff shall directly supervise a child in care who is involved in food preparation.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-220 Visitation; Mail; Internet Usage; Phones

The licensee shall have a written policy and procedure that conforms to the requirements of this Section and this Chapter, regarding visitation, mail, phone calls, internet use, and other forms of communication between a child in care and the child's family, friends, and other persons.

1. The licensee shall keep a record of all persons who visit a child in care.

2. The licensee shall allow a child reasonable privacy during a visit unless the child's service plan requires supervised visitation.

3. The licensee shall have facility visiting hours that meet the need of a child and the child's parents, caregivers, family members, and approved friends and acquaintances.

4. The licensee shall not deny, monitor, record, or restrict a child's communication with the Department or child's social worker, attorney, Court Appointed Special Advocate, guardian ad litem, or clergy.

5. The licensee shall not deny, monitor, or restrict communications between a child and the child's parent, guardian, or friends except as follows:

a. By court order;

b. When the child's service plan contains specific and time limited treatment reasons for the restriction;

c. At the direction of the child's Child Safety Worker, or if not in the custody of the Department, the Placing Entity; or

d. As agreed upon by the parent or guardian with the licensee if the child in care is not in the custody of the Department and there is no Placing Entity.

6. The licensee shall allow a child access to electronic communication including texting, phone, video chatting, and email except as follows:

a. By court order;

b. When the child's service plan contains specific and time limited treatment reasons for the restriction;

c. If not in conflict with either of the above, at the direction of the child's Child Safety Worker or the Placing Entity; or

d. As agreed upon by the parent or guardian with the licensee if the child in care is not in the custody of the Department and there is no Placing Entity.

7. The licensee shall ensure a child in care has internet access to complete school work, obtain employment, or for the use of current employment. Any other internet activity may require approval from the Placing Entity, or if there is no Placing Entity, parent or guardian.

8. The licensee may require a child in care to open mail in the presence of staff in order to inspect the mail for contraband with documented approval from the Placing Entity, or if there is no Placing Entity, parent or guardian.

9. When the licensee is monitoring a communication as permitted in subsection (5), the licensee shall inform the parties to the communication about the monitoring.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-221 Educational and Vocational Programs

A. The licensee shall have a written policy governing its educational program or a plan for ensuring that each child in care attends an educational program in accordance with state and local laws. The licensee shall have at least one designated person to oversee compliance with the policy.

B. Upon a child in care's admission to a facility, the licensee shall arrange for the educational needs of the child. The arrangements shall:

1. Meet the child's individual needs;

2. Be consistent with the child's IEP, if applicable; and

Comply with federal and state education laws.

C. The licensee shall inform the child in care's educational program staff which of the licensee's staff is authorized to discuss the child's progress.

D. If a child in care's service plan provides for the child to receive vocational services, the licensee shall comply with the plan requirements.

E. The licensee shall provide a child in care with:

1. Opportunity and space for quiet study,

2. Developmentally appropriate supervision and assistance with homework, and

3. Access to necessary reference materials including access to resources found on the internet.

F. The licensee shall communicate developmental and educational progress and challenges, including any noted developmental delays, to the Child Safety Worker, Placing Entity, or if there is no Placing Entity, the parent or guardian.

G. The licensee shall work with the Child Safety Worker, Placing Entity, or if there is no Placing Entity, the parent or guardian, and surrogate parent if identified, to determine educational needs beyond those provided in the school setting and make reasonable efforts to obtain these educational services that are available.

H. The licensee shall:

1. Enroll the child in care in school within 10 local school days if a change in school is needed. If not placed during the school year, then as soon as possible;

2. Ensure school attendance for a child in care;

3. Ensure the child in care completes homework;

4. Schedule appointments, visitations, and other activities during hours that do not interfere with school;

Participate in parent-teacher conferences, IEP, and 504 plan meetings, as appropriate;

6. Allow a child in care to participate in extracurricular activities; and

7. Obtain required supplies to complete assignments and participate in extracurricular activities.

I. The licensee may use developmentally appropriate chores to provide an instructional experience for a child in care, but shall not:

1. Use the child as an unpaid substitute for staff or other contracted personnel;

2. Schedule at a time that interferes with other routine activities such as school, homework, sleep, and meals; and

3. Assign chores that are excessive in scope and duration.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-222 Recreation; Leisure; Cultural Activities; Community Interaction

A. The licensee shall have as part of the Agency's written program description the Agency's cultural, religious, indoor and outdoor recreational and leisure opportunities available to a child in care that may include:

1. Interests and needs of the child in care, including an allotment of time for the child to pursue individual interests, and time to address the special needs of the child; and

2. Procedures promoting normalcy through a child's participation in current community and community of origin activities and use of community resources.

B. The licensee shall arrange transportation and supervision to support a child in care's community activities, extracurricular activities, and use of community resources that are applicable to the Agency's program description.

C. The licensee shall make available recreational equipment, activities, and games suitable to the size, age, population, and developmental level of a child in care.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-223 Religion; Culture; Ethnic Heritage

A. The licensee shall include in their program description:

1. Its religious orientation, if any;

2. Any religious practices observed at a facility; and

3. How the licensee provides opportunities for each child in care to participate in religious activities in accordance with the faith of the child or the faith of the child's parent or guardian.

B. The licensee's program and the service plans for a child in care shall reflect consideration of and sensitivity to the racial, cultural, ethnic, and religious background of a child in care.

C. The licensee shall not compel a child in care to participate in religious, cultural, and ethnic activities if it is contrary to the child's religious, cultural, and ethnic practices or the wishes of the parent, guardian, or legal custodian.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-224 Health Care Services

A. General health care for a child in care:

1. The licensee shall have policy and procedures identifying how the Agency will comply with the health services for children as required in this Section. The policy shall identify where a child may obtain qualified health care, 24-hours per day, seven days per week.

2. The licensee shall meet the preventive, routine, and emergency medical, dental, vision, and behavioral health needs of a child to include the following as necessary:

a. Evaluation and diagnosis,

b. Treatment, and

c. Consultation.

3. The licensee shall ensure that a child receives a developmentally appropriate explanation of any health treatment the child receives, in a language and manner the child can understand.

4. The licensee shall seek medical attention for the child if the child reports or appears to be suffering from pain or illness.

5. The licensee shall carry out the written and verbal instructions from qualified professionals regarding the medical, vision, dental, and behavioral health needs of the child.

6. The licensee shall notify the Placing Entity, or if there is no Placing Entity, parent or guardian when written and verbal instructions from multiple medical professionals conflict.

7. The licensee shall ensure that a child, 12 months of age and younger, is placed to sleep on the child's back unless otherwise authorized in writing by the child's physician.

B. The licensee shall protect and care for the health and well-being of a child in care and:

1. Provide necessary first aid and care to treat common childhood ailments and injuries;

2. Maintain first aid supplies in each facility to meet the needs and number of children residing at the facility;

3. Arrange for a child in care to receive a well-child exam from a medical professional within 30 calendar days of the child's admission, unless the licensee has documentation from the following that the well-child exam was completed within 30-days preceding the child's admission:

a. The child's insurance;

b. The Department that the child has already had the required well-child visit; or

c. A medical professional who has completed the well-child exam;

4. Obtain well-child visits for each child under the age of two as described in the schedule below unless otherwise recommended by a medical professional. A well-child visit includes both a medical and vision examination as appropriate to the child's age and in accordance to Early and Periodic Screening, Diagnostic, and Treatment (EPSDT) requirements prescribed in 42 CFR 441.58;

5. Obtain an annual well-child visit for each child older than two years of age;

6. Obtain immunizations based on the current recommended immunization schedule published by the Centers for Disease Control and Prevention unless:

a. Prohibited by court order,

b. A parent or guardian enters a legally recognized objection, or

c. The immunization is medically contraindicated;

Administer prescription medication only as prescribed and ensure no lapse occurs in the administration of the prescription medication to the child;

8. Participate in health care appointments, including appointments where information is provided specific to a medical condition of the child; and

9. Obtain the following when a child wishes to participate in organized sports:

a. An evaluation of the child's capacity to participate;

b. An examination or sports physical; and

c. A report or statement signed by the medical professional conducting the examination regarding the child's capacity, fitness, and clearance to participate in sports.

C. Dental care

1. The licensee shall arrange for each child in care, one year of age or more, to have a dental examination within 30 calendar days of admission, unless the licensee is provided the written results of a dental examination conducted within six months prior to admission.

2. The licensee shall obtain routine dental examinations for each child in care, one year of age or more, at least once every six months and more frequently as recommended by the dentist.

D. Behavioral Health Care

1. The licensee shall cooperate with behavioral health referrals, evaluations, and services as applicable.

2. The licensee shall ensure each child in care attends all behavioral health follow-up visits and complies with all behavioral health recommendations.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-225 Medications; Allergies

A. The licensee shall have a written policy and procedure that governs over-the-counter and prescription medication usage and shall specify:

1. Safe storage of medications as required by A.A.C. Title 21, Chapter 8, Article 1;

2. A process to identify and ensure a child in care has access to necessary medication while at school or outings; such as rescue inhalers, and auto injector pens;

3. The process for medication administration, which shall be in accordance with any applicable laws;

4. The qualifications of the staff allowed to administer medications;

5. The qualifications of the staff allowed to supervise the self-administration of medications;

6. The supervision, process, and documentation of self-administration of medication;

7. The documentation process for the administration of medication, medication errors, and drug reactions;

8. The process and documentation of notifying a child in care's health care provider in case of a medication error or a drug reaction; and

9. The process and documentation when a child in care refuses to take a prescribed medication.

B. The licensee shall have a written policy and procedure that governs food allergies, medication allergies, or other allergies and shall specify:

1. The plan in the event of the child in care's exposure to an allergen;

That a licensee disclose the child in care's known allergies to a prescribing medical professional prior to the prescription or administration of medication or any procedures; and

3. The precautions a licensee shall take to ensure the child in care is not exposed to a food or other allergen, including:

a. Safe food handling to minimize the chance of cross contamination, and

b. Review of household items to ensure that they do not include a substance to which a child is allergic.

C. The licensee shall have a written medication log for each child in care who receives medication. The log shall include:

1. Child's name;

2. Child's allergies;

3. Name of the prescribing medical professional;

4. Telephone number at which the prescribing medical professional may be reached in case of medical emergency;

5. Reason for each prescribed medication;

6. Date on which the medication was prescribed;

Generic or commercial name of the medication;

8. Dosage level and time of day when the medication is to be administered, including any special administration instructions;

9. Each date, time, and dosage administered;

Dosages remaining after each administration;

11. The signature of the direct care staff administering each dosage. If the medication is self-administered, the log shall include the signature of the child and the direct care staff supervising the child's self-administration; and

12. The signature of the direct care staff and child if a dose is refused by the child.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-226 Medication Administration; Handling; Storage

A. The licensee shall ensure that each child in care receives all prescribed medication at the prescribed time and in the prescribed dose.

B. The licensee shall comply with the following requirements and have a policy and procedure to:

1. Review the amount of medication available when then child enters care,

2. Determine when and if a medication needs to be refilled,

3. Allow sufficient time for the timely refill of the medication, and

4. Have the pharmacy and insurance information clearly indicated to allow for the timely refills of medications.

C. The licensee shall ensure the medication logs are accurate and updated on a daily basis.

D. The licensee shall store prescription medication in a securely locked space in its original container and ensure that the original label is intact and unaltered.

E. The licensee shall keep all over-the-counter medication in its original container with the manufacturer's label.

F. The licensee shall, at least once every 90 calendar days, securely dispose of:

1. Outdated medication;

2. Medication for a child who is no longer at the facility or, by a medical professional's order, no longer needs the medication; and

3. Medication specifically prescribed for an illness from which a child in care has recovered.

G. The licensee shall secure the confidentiality of the medical information that may be on the medications during the process of disposal.

H. The licensee shall keep a record of all disposed medications, method of disposal, and any attempts to deliver the medication to the child if the child leaves the care of the Agency.

I. The licensee shall arrange for all of a child's necessary medication and medical supplies to go with the child when the child is discharged from the facility.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-227 Nurture; Supervision; Positive Behavior Management

A. An Agency shall nurture a child in care by:

1. Providing the child with opportunities to develop emotionally, socially, culturally, physically, and educationally, as appropriate to the child's skill and developmental level;

2. Helping the child develop a positive identity by respecting the child's race, ethnicity, religion, gender, gender identity, gender expression, culture, and sexual orientation by making active efforts to create an inclusive environment including celebrating holidays, displaying artwork, and providing meals that reflect the child's identity, and seeking out opportunities for the child to increase their connectedness to communities that reflect their identities;

3. Providing the child with opportunities to express preferences and make choices appropriate to the child's age and developmental level;

4. Providing the child with a variety of safe and developmentally appropriate play equipment, toys, and recreational supplies;

5. Practicing positive discipline;

6. Assisting the child with day-to-day concerns;

7. Providing the child with assistance, comfort, and emotional support to ease the distress associated with coming into care and with related transitions;

8. Assisting in maintaining the child's connection to their family, friends, community, and culture; and

9. Providing opportunities for the child to contact family members, friends and other persons the child identifies as significant to the child's well-being by means of face-to-face contact, mail, telephone, or other modes of communication, unless otherwise directed by a court order, the Placing Entity or, if there is no Placing Entity, the parent or guardian.

B. An Agency shall commit to provide each child in care with the support and supervision in accordance with licensing requirements and based on the child's age, developmental level, and maturity.

C. The licensee shall:

1. Provide positive discipline that is appropriate to the age, life experience, and developmental level of a child in care;

2. Establish well-defined and clearly communicated rules that set the limits of behavior;

3. Develop and implement reasonable, developmentally appropriate, and consistent rewards and consequences;

4. Use disciplinary methods that help a child in care build self-control, self-reliance, and self-esteem; and

5. Inform the Placing Entity, or if there is no Placing Entity, parent or guardian, of any behavior displayed by the child in care that endangers the health, safety, or well-being of the child or others.

D. An Agency shall have a written behavior management policy and procedure for a child in care that shall:

1. Be based on positive discipline methods that are developmentally appropriate for a child;

2. Be designed to encourage and support the development of self-control;

Describe the following:

a. Behavior expectations of a child;

b. The consequence to a child for a violation of the Agency's policy and procedure. A consequence shall:

i. Reasonably relate to the violation, and

ii. Be administered without prolonged and unreasonable delay;

c. The circumstances when a licensee permits the use of restrictive behavior management;

d. The kind of behavior warranting use of restrictive behavior management;

e. The licensee's methods of documenting use of restrictive behavior management;

f. Any restrictive behavior management technique that requires supervisory authorization or written documentation before being used;

g. The licensee's process for supervisory review to evaluate whether staff properly applied restrictive behavior management in a particular case; and

h. Any behavior management technique prohibited by the licensee; and

4. Abide by the requirements in this Chapter related to positive discipline and prohibited practices.

E. The licensee and direct care staff are responsible for control and discipline of a child in care. The licensee shall not allow a child to discipline another child.

F. The licensee shall not allow any child in care to be subjected to maltreatment, abuse, neglect, cruel, unusual, or physical discipline.

G. The licensee shall not use or threaten to use, or engage in and shall not permit any other person to use or threaten to use, or engage in, the following or similar punishment or maltreatment of a child in care including:

1. Any form of physical punishment, including hitting, spanking, biting, pinching, shaking, slapping, smacking, punching, or kicking;

2. Verbal abuse, including ridicule, profane language targeting a child, or humiliation;

3. Deprivation of medical care, medicine, shelter, bedding, food, water, clothing, sufficient sleep, or opportunity for toileting;

4. Force-feeding, except as prescribed by a licensed medical practitioner;

5. Seclusion, confinement in a locked room or small area or restricting access to the facility;

6. A consequence that requires a child to remain silent or motionless or to be isolated for a time period that is not developmentally appropriate;

Require a child to take a painfully uncomfortable position, including squatting or bending;

8. Behavior management involving chemical restraint, including over-the-counter or prescription medication for the purpose of restraining or sedating a child;

9. Restrictive behavior management involving mechanical or physical restraint except:

a. When the restraint is necessary to prevent danger to the child or danger to another;

b. After staff has tried less restrictive measures that have failed; and

c. When the licensee has documentation of the restrictive behavioral management training in the personnel file of the staff using the restraint;

Derogatory remarks about the child, the child's race, religion, ethnic origin, sexual orientation, gender identity, gender expression or about a person who is significant to the child;

Cruel, severe, depraved, humiliating, or frightening actions or statements;

12. Noxious stimuli as a consequence, including washing a child's mouth with soap, vinegar or hot sauce;

13. Denial of visitation or communication with a significant persons outside the facility solely as a consequence for inappropriate behavior; or

14. Required physical exercises such as running laps or performing push-ups, and assignment of physically strenuous activities, except:

a. As expressly prescribed in a child's service plan and as part of a regular physical conditioning program, or as part of a work experience that meets the programs requirements;

b. With documented clearance by a physician who is knowledgeable about the physical activities in which the child will participate; and

c. Within sight supervision of staff.

H. The licensee shall not use disciplinary measures against a group of children because of the behavior of one or more children in the group.

I. Only staff specifically trained in crisis intervention may use restrictive behavior management on a child in care and:

1. No person shall use restrictive behavior management for the purposes of discipline or convenience;

2. A trained staff shall administer restrictive behavior management in the least restrictive manner possible to protect the child or others and cease when the child becomes calm;

3. After child becomes calm, staff shall speak with the child and develop a strategy to reduce the likelihood of the need for restrictive behavior management in the future; and

4. The licensee shall provide written notice to the Placing Entity, or if there is no Placing Entity, parent or guardian within 24 hours of the use of restrictive behavior management.

J. To determine the licensee's compliance with the use of appropriate behavior management, the Department shall consider all the circumstances at the time of the behavior management, including the following:

1. The child in care's physical condition;

2. Whether the child in care was taking any medications that may have affected the child's behavior;

3. Whether or not the climatic conditions made the behavior management severe or unreasonable, such as intense heat or cold, rain, or snow;

4. The level of physical force, if any, the licensee used to implement the behavior management and whether any use of force resulted in injury to the child in care; and

5. Whether the behavior management was consistent with the licensee's program description, procedures, and the requirements of this Section.

K. The licensee may use physical restraint only when the practice and the circumstances warranting its use are:

1. Consistent with the licensee's program description and purpose,

Described in the licensee's behavior management policy,

3. Used as prescribed in this Section, and

4. Not otherwise prohibited by these rules.

L. If the licensee cannot use a specific restrictive behavior management practices on a particular child, the child's service plan shall describe the restriction.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-228 Property and Personal Searches

A. If the licensee permits a property search of a child in care, the licensee shall have a written policy that conforms to the requirements in this Chapter and approved by the Department. The written policy shall describe the conditions warranting a property search and the procedures for conducting the search, including the use of electronic scanning devices or metal detectors.

B. The licensee shall not search a child in care unless the licensee has a reasonable belief that the child is concealing an object that places themselves or others at risk or harm, including a weapon, an illegal substance, or a cell phone which is being used inappropriately.

1. When searching a child, staff shall use the minimum amount of physical contact required to determine if the child has a weapon or illegal substance.

2. The licensee shall not use any instruments to search a child except approved metal detector or electronic scanning devices.

3. The licensee shall not conduct a strip search.

4. The licensee shall not conduct an internal body cavity search on a child.

5. Unless a licensed medical professional is searching a child, a person of the same gender as the child shall do the search.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-229 Buildings and Grounds

The licensee shall maintain a facility's structures and improvements in good repair, free from danger to health or safety as prescribed in this Section and by the Life Safety Inspection requirements of A.A.C. Title 21, Chapter 8, Article 1. The licensee shall:

1. Repair any damage within 48 hours of discovery;

2. If damages cannot be repaired within 48 hours, the licensee shall provide the Department documentation detailing the efforts to obtain repairs and estimate of when the repairs will be completed. The licensee shall provide the Department this documentation within 48 hours of discovery of damage;

3. Have barriers appropriate to the developmental needs of children in care to prevent falls from porches and elevated areas, walkways, and stairs;

4. Ensure that a facility's physical plant can structurally accommodate the physical and program needs of all children in care according to the standards in this Chapter and the licensee's own program description;

5. Have mirrors in the facility to permit a child in care to examine their personal appearance and shall secure mirrors to walls at heights appropriate to a child in care;

6. Ensure that a window or door used for outside ventilation has a screen;

7. Ensure that a window designated as a fire exit complies with the building codes as required by the local jurisdiction;

8. Install and maintain emergency lighting systems in all living quarters if the facility is licensed to provide services to 10 or more children. Emergency lighting system means a battery or generator operated system that:

a. Automatically activates if electrical power fails; and

b. Provides sufficient light for persons to exit safely in an emergency;

9. Have written documentation showing that a facility's emergency lighting system meets applicable city or county building codes for such systems, if applicable;

10. Illuminate a facility's outdoor walkways and premises so that a child and staff using areas at night can perform activities and tasks safely; and

11. Ensure that free-standing stoves that use wood, sawdust, coal, or pellets, or portable heaters are not used as the primary source of heat for a residential area.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-230 Kitchens; Food Preparation; Dining Areas

A. An Agency shall:

1. For a facility, that has a licensed capacity of more than 20 residents:

a. Obtain a license or permit as a food establishment under A.A.C. Title 9, Chapter 8, Article 1; and

b. Maintain a copy of the food establishment license or permit in the kitchen;

2. Maintain a copy of the food establishment's license or permit if the Agency contracts with a food establishment, under A.A.C. Title 9, Chapter 8, Article 1, to prepare and deliver food to the facility;

Equip a facility kitchen used for meal preparation with the fixtures, appliances, equipment, tools, and utensils necessary for the safe and sanitary preparation, storage, service, and cleanup of food;

4. Keep kitchen equipment clean and in good working order;

5. Maintain dishes and utensils free of damage or defect;

6. Not use home canned foods;

7. Dispose of all foods and products that have passed the marked or expiration dates;

8. Maintain primary pantries, refrigerators or freezers free of locks;

Ensure that food is obtained, prepared, served, and stored as required by time and temperature control for safety food standards;

10. Ensure food is free of and protected from spoilage, rot, filth, or other contamination and is safe for human consumption;

11. Ensure foods requiring refrigeration are maintained at 41° F or below;

12. Ensure that all cooked food products, cut fruit and vegetables are date marked with date of purchase or date of preparation and used or discarded seven workdays from the date marked;

13. Ensure each refrigerator contains a thermometer, accurate to plus or minus 3° F, placed at the warmest part of the refrigerator;

14. Ensure frozen foods are stored at a temperature of 0° F or below; and

15. Ensure tableware, utensils, equipment, and food-contact surfaces are clean and in good repair.

B. The licensee shall have:

1. At least 14 cubic feet of refrigerator space for each 10 children at a facility; and

2. A three-compartment sink or a dishwasher with a sanitizer cycle.

C. A facility shall have clean dining areas and tables that allow children, staff, and guests to eat together.

D. A facility shall safeguard sharp objects.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-231 Sleeping Arrangements; Areas; Furnishings

A. The licensee shall provide a child in care with a bedroom.

1. The licensee shall not use mobile dwellings or vehicles as sleeping quarters.

2. The licensee shall provide a child with bedroom space that:

a. Has a direct source of natural light; and

b. Provides at least three feet of floor space between beds and is a minimum:

i. 74 square foot floor area for a single occupant;

ii. 50 square foot floor area for each occupant in a multiple sleeping area; or

iii. 40 square foot floor area for each crib.

3. The licensee shall provide each child with an individual bed that:

a. Is not a sleeper sofa, rollaway bed, couch, cot, mat, bassinet, infant swing, infant rocker, or a portable crib such as a Pack 'n Play;

b. Is proportional to the child's height;

c. Is proportional to the child's weight and at least 30 inches wide;

d. Has a solidly constructed bed frame that is in good condition, free from defects, and keeps the mattress off the floor;

e. All mattresses shall be:

i. Sanitary and free from stains,

ii. Free from holes and tears,

iii. Free from protruding springs or mattress foam,

iv. In service less than seven years from the date of purchase and in good condition, and

v. Replaced if required by the Department.

If the licensee uses a bunk bed or similar style bed in which the top of the mattress is elevated four or more feet above the floor:

a. The bed shall be limited to a double bunk;

b. Shall have sufficient head room to allow the occupant on a top tier to sit up;

c. The top tier shall have guard rails that extend at least five inches above the mattress surface;

d. The top tier shall have cross ties under the mattress foundation;

e. The top tier shall be securely fastened to the side frames; and

f. A child in care less than the age of six years, has a disability that limits mobility, or has a seizure disorder shall not sleep on the elevated mattress.

5. The licensee shall use only cribs that have:

a. Bars or slats no more than 2 3/8 inches apart;

b. A mattress that fits snugly into the crib frame so that there is no space between the mattress and frame;

c. No pillows, blankets, bumper pads, or other soft items or surfaces; and

d. No openings through which a child could place their head.

6. The licensee shall provide sheets, pillowcases, and blankets for each child and shall:

a. Ensure bedding is clean and in good repair, without tears or stains;

b. Ensure that sheets and pillowcases are washed at least weekly and more frequently if necessary; and

c. Use water resistant bedding when necessary.

7. The licensee shall provide each child with a dresser or other storage space adequate to contain the child's belongings and a designated space for hanging clothing in the child's bedroom.

8. The licensee shall not have locks on a child's bedroom door.

9. The child shall not share a bed.

10. A child in care, age 6 or older, shall not share a bedroom with a child of the opposite gender.

11. A child in care shall not share a bedroom with an adult or young adult unless one of the conditions listed in this subsection is met:

a. The child is sharing a room with their parent.

b. The child's service plan contains specific reasons and authorization for a shared bedroom from the Placing Entity, or if there is no Placing Entity, the parent or guardian who placed the child.

c. The child has a temporary need for special adult care during sleeping hours and the need is verified by a licensed medical professional and documented in the child's service plan.

d. The child has regularly shared a bedroom with another child in the licensee's care who has reached age 18, and the Placing Entity, or if there is no Placing Entity, the parent or guardian who placed the child, and licensee agree that continuing the shared arrangement is in the best interests of both the child and the young adult.

B. If a child in care has a documented record of behavior that poses a risk to other children, the licensee, in consultation with the Placing Entity, or if there is no Placing Entity, the parent or guardian who placed the child, shall develop special sleeping arrangements for that child, to minimize the risk of harm to other children. The licensee shall document the arrangements in the child's service plan.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-232 Bathrooms

The licensee shall maintain a bathroom and bathroom fixtures in good operating and sanitary condition, and shall:

1. Ensure that each facility bathroom is equipped with:

a. Cold and hot running water, with enough hot water to allow each child in care a daily bath or shower;

b. Clean hand towels in good condition;

c. Clean shower curtain or door, properly installed, and in good repair free from mold and mildew;

d. Toilets and bathtubs or showers that allow a child in care to have privacy, as developmentally appropriate; and

e. Sufficient toilet paper, towels, soap, and other items required to maintain good personal hygiene, or shall provide a child in care with personal supplies of these items;

2. Not permit a child in care age 5 or more to use a bathroom with someone of a different gender at the same time; and

Equip a bathroom to facilitate maximum self-help by a child in care through one or more of the following methods:

a. Providing a child with a step-stool to reach a sink,

b. Providing smaller sized bathroom fixtures,

c. Providing training toilets,

d. Placing towel racks and dispensers at lower heights, or

e. Other similar or comparable methods.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-233 Other Facility Space; Staff Quarters

A. The licensee shall ensure that a facility has:

1. A place other than a child in care's living area to serve as an administrative office for records, secretarial work, and bookkeeping; and

2. Space for private discussions and counseling sessions.

B. If a licensee has direct care staff who reside at the facility, the licensee shall provide those staff with sleeping space that is separate from a child in care's living or sleeping area, including a separate bathroom. The licensee shall provide any child of these staff, who also resides at the facility, with a residential environment that meets the requirements of this Article for a child in care, unless the child shares a bedroom with the staff.

C. If the licensee has direct care staff who reside at the facility, the staff must maintain their residence to the standards of this Chapter and ensure proper supervision of the staff's child at all times.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-234 Fire; Emergency; Fire Prevention

A. The licensee shall have a written procedure for staff and any child in the facility to follow in case of emergency or disaster. The procedures shall include:

1. Provisions for the evacuation of buildings, including the evacuation of a child with a physical disability;

2. Assignment of staff to specific tasks and responsibilities;

3. Instructions on the use of alarm systems and signals;

4. Specification of evacuation routes and procedures, with clearly marked diagrams; and

5. Notification of an unusual incident as required by R21-7-207.

B. The licensee shall prepare staff and each child in care to respond to an emergency as described in this subsection.

1. The licensee shall train all staff to perform assigned tasks during an emergency, including the location and use of fire-fighting equipment.

2. The licensee shall train staff and each child to report fires and other emergencies in accordance with written emergency procedures.

3. The licensee shall review the evacuation plan with a child in care as appropriate to the child's age and developmental level:

a. Within 72 hours if the facility relocated; and

b. At least once each year following the child's placement in the facility.

C. The licensee shall have and maintain fire prevention and safety equipment required by this subsection and A.A.C. Title 21, Chapter 8, Article 1.

1. The licensee shall clean and test each smoke detector at least every three months. The licensee shall keep a written record of the cleaning and testing at the facility.

2. The licensee shall have a qualified person inspect and, if necessary, recharge a fire extinguisher at least once a year and immediately after use.

3. The licensee shall:

a. Document the date that a fire extinguisher is charged and the person or Agency responsible for charging it, and

b. Attach the documentation to the extinguisher.

D. The licensee shall post evacuation procedures in clearly visible locations throughout all buildings.

E. The licensee shall ensure that exits above ground level have an outside fire escape or fire-resistant stairwell approved by a fire inspector.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-235 General Safety

A. The licensee shall house a non-ambulatory child or a child less than six years of age on the ground floor.

B. The licensee shall safeguard substances and items in a manner appropriate to protect the youngest child in care in the facility.

C. The licensee shall maintain water that is accessible to a child in care for personal use at a temperature at or below 120° F.

D. Smoking

1. The licensee shall not expose a child in care to tobacco products or smoke of any substance through any delivery system including tobacco, e-cigarettes, or marijuana.

2. The licensee shall not allow any person to use tobacco products or smoke of any substance through any delivery system including, tobacco, e-cigarettes, or marijuana inside buildings.

3. A licensee shall not allow a child in care to use or possess tobacco, e-cigarettes, or marijuana products.

E. Gas Appliances

1. The licensee shall have a licensed and bonded heating and cooling technician annually inspect all gas-fired devices at a facility. The licensee shall get a written report of the inspection for submission to the Department at the time of license renewal.

2. The licensee shall equip all gas-fired devices with an automatic pilot gas shut-off control.

3. The licensee shall remove the valves from unused gas outlets and cap the disconnected gas line with a standard pipe cap.

4. The licensee shall not use unvented water heaters.

5. The licensee shall not use kerosene or gasoline for lighting, cooking, or heating.

6. If the licensee uses a natural or propane gas burning device inside a facility, the licensee shall:

a. Install, test, and check carbon monoxide monitoring equipment in a facility's residential environment according to the manufacturer's instructions;

b. Maintain the monitoring equipment in good working condition;

c. Keep a copy of the manufacturer's instructions; and

d. Keep a record of the tests at the facility.

F. A licensee shall post:

1. The address and telephone number of the facility; and

2. Emergency telephone numbers, including 911, and non-emergency telephone numbers, including, fire, police, crisis hotline, and agency emergency number.

G. A licensee shall ensure that electrical outlets have safety plugs or plates when any child residing in the residential group care facility is age six years or less.

H. A licensee shall maintain lawn and garden equipment and maintenance tools and equipment in good repair, and shall allow children to use them only under the supervision of staff. Depending on the developmental level of the child, the supervision need not be direct supervision.

I. A licensee shall ensure that hot water or steam radiators, pipes or other heating devices are safeguarded.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-236 Pools

A. The licensee shall comply with A.A.C. Title 21, Chapter 8, Article 1.

B. The licensee shall ensure that at least one of the staff supervising a child in a pool shall remain out of the water.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-237 Access; Transportation; Outings

A. A facility shall be accessible by motor vehicles including emergency service vehicles.

B. Transportation

1. The licensee shall provide, arrange, or negotiate responsibility for arranging, with the Placing Entity, or if there is no Placing Entity, the parent, or guardian who placed the child, transportation required to implement a child in care's service plan.

2. The licensee shall provide staff supervision in any vehicle the licensee uses to transport a child in care.

3. The licensee shall tell the driver or staff about a child in care's particular needs, behavior, or problems that may reasonably cause difficulties during transportation, including seizures, tendency toward motion sickness, disability, anxiety, or other phobias.

C. Outings

1. The licensee shall have written policy and procedure to govern situations when a child in care temporarily leaves the facility on a visit or outing with a person other than a staff. The procedure shall include:

a. A method for documenting the child's location, the duration of the activity, and the anticipated and actual time of the child's return;

b. The name, address, and telephone number of the person responsible for the child while the child is absent from the facility; and

c. A reference to the licensee's policy detailed in R21-7-209 if the child does not return.

2. For every facility outing that is not part of the daily routine, the licensee shall maintain at the facility a record of the following information:

a. The name of each child in care participating in the outing,

b. The name of each direct care staff participating in the outing,

c. A contact number for staff to be reached during the outing,

d. Departure time and anticipated return time,

e. The agency vehicle make and model used for the outing, and

f. Name and location of the destination.

3. The licensee shall give the driver of a vehicle written emergency contact information on each child in care who is participating in the outing and riding with that particular driver.

4. The direct care staff supervising the child in care shall keep the following information during the outing:

a. Each child's medication requirements, if any;

b. Common and known potential adverse reactions a child may have to a medication;

c. Adverse reactions a child may have as the result of delay in administration of medication; and

d. Any other adverse reaction a child is likely to have due to the child's special needs, including allergic reactions to particular substances or insects.

5. The licensee shall obtain written permission for out-of-state outings from the child's Placing Entity, or if there is no Placing Entity, the parent or guardian who placed the child.

6. If a deviation occurs during the course of a daily routine involving transportation, staff shall communicate details of the deviation including the location and anticipated return time to a designated staff within the Agency.

D. Extended Outings

1. For any outing that lasts more than 48 hours, the licensee shall obtain written permission from the child in care's Placing Entity, or if there is no Placing Entity, the parent, or guardian who placed the child.

2. For any outing that lasts 30 or more consecutive calendar days, the licensee shall ensure that any child who is in the custody of the Department has court permission for the outing.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-238 Special Provisions for Shelter Care Facilities

A. The licensee operating a residential group care facility for an intended short term period shall be licensed as a shelter care facility and shall comply with all the requirements of this Chapter, unless otherwise provided in this Section.

B. Admission Policy and Practice

1. If a child in care has already been in shelter care for more than 21 calendar days, a licensee shall not admit the child into shelter care at the licensee's facility, or permit the child to continue residing at the licensee's facility, unless the licensee has requested to have a multidisciplinary team meeting with the child's Placing Entity, or if there is no Placing Entity, the parent, or guardian, to:

a. Assess the child through a review of the child's records or in person,

b. Develop a service plan for the child, and

c. Document the request and outcome in the child's record.

2. When a child self-refers to a shelter care facility, the licensee shall, within 24 hours of the child's arrival:

a. Notify the Department or the child's parent or guardian; and

b. Obtain written consent for the child's continued placement from the Placing Entity, or if there is no Placing Entity, from the parent or guardian, or by obtaining a court order.

3. The licensee may admit a child prior to obtaining medical information and consents as required by R21-7-211 . The licensee shall attempt to obtain the medical consents from the Placing Entity, parent, or guardian who placed the child within two workdays of the child's admission. The licensee shall document details of their attempts.

4. At the time of a child's admission, the licensee is not required to obtain the comprehensive intake assessment required by R21-7-211, but shall work with the Placing Entity, or if there is no Placing Entity, parent or guardian to compile information on and assess the child's current social, behavioral, psychological, developmental, health, legal, family, and educational status, as applicable to the child. The licensee shall document efforts to obtain the comprehensive intake assessment.

If the child in care remains in shelter for over 21 calendar days the provisions of R21-7-224 shall apply.

C. Unless a child remains in continuous shelter care for more than 21 consecutive calendar days, a licensee operating a shelter care facility is not required to comply with R21-7-120 regarding service planning, but shall comply with all applicable court orders.

D. The licensee shall maintain a record for each child in a shelter care facility as prescribed in R21-7-121 except as otherwise provided in subsections (B) and (C).

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-239 Special Provisions for Transitional Program and Independent Living Program

A. The licensee operating a residential group care facility that provides transitional programs or independent living programs shall comply with the requirements in this Chapter.

B. The licensee operating a transitional program or an independent living program shall not provide services related to these programs to a child less than 12 years of age.

C. The licensee that operates a residential group care facility providing a transitional program or an independent living program may request an alternative method of compliance as prescribed in R21-7-112 that ensures the safety and well-being of a child in care, age 12 and older, who participates in a transitional program or independent living program.

D. The licensee that operates a residential group care facility providing a transitional program or an independent living program shall provide adequate safety information and individualized instruction to promote:

1. The safe use of a substance or item that is required to be safeguarded under the Life Safety Inspection rules in A.A.C. Title 21, Chapter 8, Article 1;

2. The safe use of a substance or item that is necessary for self-sufficiency, such as laundry and cleaning supplies, tools, razors, and kitchen knives; and

3. The understanding of how to summon assistance in the event of an emergency.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Ariz. Admin. Code § R21-7-240 Special Provisions for Residential Group Care Facility with Multi-Purpose Premises

A. The licensee operating a residential group care facility that provides program and services in a Multi-Purpose Premises developed and managed by the licensee shall:

1. Have a detailed map of the community that:

a. Identifies each structure and area, including the use and purpose;

b. Identifies all structures and areas accessible to children in care;

c. Identifies all structures and area restricted from a child in care; and

d. Identifies all structures and areas in which visitors not associated with the residential group care program are permitted and restricted;

2. Have a written policy and procedure governing the Multi-Purpose Premises that:

a. Outlines the restrictions identified in subsection (A)(1);

b. Outlines agency actions if a child in care gains access to any restricted area or structure; and

c. Outlines agency methods to communicate these restrictions to visitors, any other adult or child not in care residing in the community, staff, and children in care; and

3. Submit a request for an alternative method of compliance as prescribed in R21-7-112.

B. The licensee operating a residential group care program in a Multi-Purpose Premises shall comply with all the requirements of this Chapter, unless otherwise approved in an alternative method of compliance as prescribed in R21-7-112.

History

• New Section made by final rulemaking at 29 A.A.R. 2231, effective 11/6/2023.

Chapter 8 DEPARTMENT OF CHILD SAFETY - FOSTER HOME AND CHILD WELFARE AGENCY FACILITY SAFETY

Article 1 LIFE SAFETY INSPECTIONS

Ariz. Admin. Code § R21-8-101 Definitions

The definitions in R21-6-101 apply to this Article, except the following terms are defined as:

1. "Animal or doggie door" means a small portal in a wall, window, or human door to allow pets to enter and exit a house on their own without a person to open the door.

2. "Home" means a foster home or Child Welfare Agency residential group care facility where the provider is licensed to provide care to a foster or privately placed child in a residential group care facility.

3. "Pool" means any natural or man-made body of water located at a home or on its premises that:

a. Could be used for swimming, recreational, therapeutic, or decorative purposes;

b. Is greater than 18 inches in depth; and

c. Includes swimming pools, spas, hot tubs, fountains, and fishponds.

4. "Pool enclosure" means a fence or barrier surrounding a pool and meets the requirements of R21-8-114(B)(2).

5. "Premises" means:

a. The home; and

b. The property surrounding the home that is owned, leased, or controlled by the provider.

6. "Provider" means a licensed foster parent or Child Welfare Agency residential group care facility, and applicants for these licenses.

7. "Structural modification" means:

a. Adding or removing walls, windows or doors; or

b. Converting a garage, attic, basement, or other similar space into a bedroom.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 23 A.A.R. 3548, effective 12/12/2017. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-102 Application

This Article applies to:

1. All foster homes regulated under A.A.C. Title 21, Chapter 6; and

2. A Child Welfare Agency operating a residential group care facility licensed by the Department of Child Safety.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-103 Frequency of Inspection and Inspection Area

A. Each provider shall have a Life Safety Inspection of the premises completed by OLR.

B. OLR shall conduct an inspection to verify compliance with Life Safety Inspection rules:

1. At initial licensure;

2. Every two years; and

3. Within three months prior to the renewal date of a license.

1. Before an initial license is issued;

2. Before an amended license is issued for a new location;

3. Before an amended license is issued for structural modifications;

4. Before an amended license is issued for an addition of a pool; and

5. Before a renewal license is issued.

C. The Life Safety Inspection shall include all rooms and dwellings on the premises including mobile homes and trailers.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-104 General Condition and Cleanliness of the Premises

The provider shall ensure:

1. The interior is clean, sanitary, and disinfected to prevent, minimize, and control illness, infection, or injury.

2. The premises is maintained in good repair and does not constitute a hazard. Damage that constitutes a hazard includes:

a. Broken glass;

b. Surfaces that are rusted, have sharp or jagged edges, or have nails protruding;

c. Holes in walls, ceilings, or floors; or

d. Broken furniture, fixtures, appliances, or equipment.

3. Play areas and therapy equipment are stable, in good repair, and do not constitute a hazard.

4. Swing sets are securely anchored to the ground.

5. The premises are clean to the degree that the condition does not constitute a hazard. Conditions that constitute a hazard include:

a. Rotting food,

b. Stale or accumulated urine or feces, or

c. An accumulation of mold.

6. Garbage is removed from the premises at least once each week.

7. The premises and outside play areas are free of insect and rodent infestation, or the premises have an effective ongoing system to eliminate insects or rodents.

8. Water in a pool on the premises is maintained, is not stagnant, and is clear enough to see through the water to the bottom surface of the pool.

Excessive weeds and brush that pose a fire hazard are trimmed or removed.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016.

Ariz. Admin. Code § R21-8-105 Safeguarding of Hazards

A. The provider shall ensure:

1. Highly toxic substances and materials are safeguarded in locked storage. Highly toxic substances include gasoline, lighter fluid, pesticides, radiator fluid, drain cleaner, ammonia, bleach, spray paint, turpentine, and other substances that can cause serious bodily harm or death if improperly used.

2. Household cleaning supplies are safeguarded to prevent unsafe or improper use. Household cleaning supplies are substances that are not intended for ingestion, but generally will not cause serious bodily harm or death if improperly used. Examples of household cleaning supplies include spray cleaners, laundry detergent, furniture polish, and dishwasher detergent.

3. Access to personal grooming supplies is not restricted unless the case plan or service plan for a foster child or child in a residential group care facility specifically restricts such access. Personal grooming supplies include toothpaste, hand-soap, shampoo, menstrual products, and deodorant.

4. Ramps, bathtubs, and showers have slip-resistant surfaces.

Handrails and grab-bars are securely attached and stationary.

6. Skirting is intact around the base of the setting, if the setting is a mobile home.

7. The child's access is prevented as appropriate, for his or her age and development, from all medications, poisonous materials, cleaning supplies, other hazardous materials, and alcoholic beverages.

8. That the home maintains first aid supplies.

B. OLR may require removal, repair, or safeguarding of physical and other hazards that are determined to be unsafe for a foster child or child in a residential group care facility, including a drained swimming pool and trampoline.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016.

Ariz. Admin. Code § R21-8-106 Weapons and Firearms

A. The provider shall meet the following standards concerning weapons:

1. The provider shall store the following weapons in an inoperable condition in a locked area inaccessible to children:

a. Firearms;

b.a. Air guns, including BB guns;

c. b. Bows and cross-bows;

d. c. Stun guns;

e. d. Hunting slingshots;

f. e. Any other projectile weapon; and

g. f. Hunting knives.

Firearms are safeguarded to prevent unsafe or improper use. In addition:

a. Firearms are unloaded and kept in a tamper-proof, locked storage container made of unbreakable material; and

b. Ammunition is maintained in locked storage. Locked storage may be in the same container as the firearms.

B. OLR may approve a provider who is a foster parent applicant or foster parent who is also a law enforcement official, to maintain an assigned duty weapon when they:

1. Obtain documentation that the jurisdiction requires them to have ready and immediate access to the weapons at all times;

2. Supplies official documentation that he or she has been trained in the law enforcement protocols for the safe use and carrying of a firearm;

3. Adopts and follows a safety plan approved by OLR and the licensing agency; and

4. Stores the weapon according to the provisions of this Section when the weapon is not on their person.

2. Obtain documentation that the jurisdiction requires them to have their weapon stored in an official law enforcement vehicle, if applicable, which would prevent them from meeting the provisions of subsection (A);

3. Provide official documentation that they have been trained in the law enforcement protocols for the safe use and carrying of a firearm;

4. Maintain the weapon according to the provisions of this Section when the weapon is not on their person;

5. Develop a safety plan with the guidance of the licensing agency; and

6. Obtain approval from OLR.

C. Notwithstanding subsections (A) and (B), weapons are not permitted in a Child Welfare Agency residential group care facility or group foster home.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-107 Animals

The premises shall meet the following standards concerning animals:

1. Animals kept on the premises do not pose a hazard due to behavior, venom, or disease.

2. OLR may require an assessment by a veterinarian to determine whether a pet poses a hazard if the animal displays signs of aggressive or abnormal behavior or of disease.

3. The provider shall vaccinate any pets required to be vaccinated by state or tribal law against diseases that can transmit to humans, including rabies.

4. All dogs older than six months have current rabies vaccination or are otherwise in compliance with A.R.S. § 11-1010.

5. Vaccination shall be administered by a veterinarian.

Vaccination records shall be maintained in the home.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-108 Storage of Medication

A. The provider shall ensure:

1. Medication is maintained in a securely fastened and locked storage, with the exception of the following:

a. Medication that may be accessed by a foster child, as specified in that individual's case plan or service plan; and

b. Medication that must be readily and immediately accessible, such as an asthma inhaler or an autoinjector such as an epinephrine autoinjector, known as an Epi-pen.

2. Medication that may be unlocked under subsection (1)(a) or (1)(b) is safeguarded to prevent improper use.

3. Medication that must be refrigerated is safeguarded in locked storage, without preventing access to refrigerated food. This may be accomplished by storing refrigerated medication in a locked box within the refrigerator.

B. A Child Welfare Agency provider shall safeguard medications using a double-lock system. A locked box stored inside a locked cabinet is an example of a double-lock system.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016.

Ariz. Admin. Code § R21-8-109 Safe Appliances

The provider shall ensure:

1. Safe and functioning appliances are available for food refrigeration and cooking, if applicable.

a. Safe and functioning refrigerators shall maintain food at or below a temperature of 41° F.

b. An outdoor cooking appliance that uses charcoal or gas shall not be used indoors.

2. Electrical lighting is available in bedrooms, living areas, and rooms used to provide services.

a. Lighting is sufficient to perform normal activities, and

b. Light sockets are equipped with light bulbs or safely covered to prevent electrical shock.

3. Adequate heating, cooling, and ventilation are available in bedrooms, living areas, and rooms used to provide services. Temperatures outside the range of 65° - 85° F are indicators of inadequate heating or cooling.

4. At least one operable telephone is available on the premises unless OLR has approved an alternative system for communication. Telephone includes cellular phones, digital phones, and phones with traditional land lines.

5. If the premises have a clothes dryer, the dryer is safely vented with a non-flammable vent hose.

6. If a portable heater is on the premises, it has a protective covering to keep hands and objects away from the heating element and, it is:

a. Electric;

b. UL approved;

c. Equipped with a tip-over shut-off switch;

d. Placed at least three feet from curtains, paper, furniture, and any flammable object when in use;

e. Not used as the primary source for heat in the setting; and

f. Not used in bedrooms.

7. A carbon monoxide detector-alarm is properly located according to manufacturer's instructions and functioning on each level of the premises that has an appliance or heating device using combustible fuel, including gas, oil, or wood. Such appliances or devices include fireplaces, wood stoves, gas stoves, and gas hot water heaters.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016.

Ariz. Admin. Code § R21-8-110 Electrical Safety

The provider shall ensure:

1. Electrical cords are in good condition; no broken or frayed cords are in use.

2. Electrical panels and outlets are in good condition; no wiring is exposed, and covers are in place.

3. Extension cords are not used on a permanent basis.

4. Electrical outlets are not overloaded.

Major appliances are plugged directly into grounded outlets. Major appliances include refrigerators, freezers, dishwashers, stoves, ovens, washers, and dryers.

6. Mid-sized appliances, which include computers, televisions, and stereo equipment, are plugged into:

a. Grounded outlets, or

b. Power strips or surge protectors that are plugged into grounded outlets.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016.

Ariz. Admin. Code § R21-8-111 Water and Plumbing Requirements

A. The provider shall ensure that a continuous source of safe drinking water is available to a foster child or child in a residential group care facility receiving care.

B. The provider shall obtain a written water analysis report if the home uses a non-municipal water source that shall meet the following standards:

1. If a home uses a non-municipal water source including private well water or another source of drinking water, the provider shall have the water tested for safety under subsection (B)(2).

2. If the home's water is from any source other than an approved public water supply, the foster parent shall obtain a written water analysis report, showing that the water is within acceptable state and federal standards for drinking water for the age of the children in care. The provider shall obtain the analysis and report from a laboratory certified by the Arizona Department of Health Services as part of the initial licensing process and before each renewal.

1. The analysis report shall be from a laboratory certified by the Arizona Department of Health Services;

2. The analysis report shall be completed no more than 12 months prior to the date of the Life Safety Inspection completed by OLR;

3. The analysis report shall be available in the home at all times and presented at the time of inspection; and

4. If the analysis report details contaminants are found to exceed acceptable state and federal standards for drinking water the provider shall prepare a plan with the guidance of the licensing agency or OLR to include:

a. How the provider will ensure safe drinking water will be available in the home;

b. Efforts to reduce identified contaminants to meet state and federal standards for drinking water; and

c. Approval by OLR.

C. The provider shall ensure that the sewage disposal for the setting is functioning. If the setting has a septic tank, it shall be in good working order, with no visible signs of leakage on the ground.

D. The provider shall ensure that at least one working toilet, wash basin, and shower or tub is available for every seven persons living or receiving care in the home at the same time.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-112 Fire Safety

The provider shall ensure:

1. The premises is free of obvious fire hazards, such as defective heating equipment, or improperly stored flammable materials. Household heating equipment must be equipped with appropriate safeguards, maintained as recommended by the manufacturer.

2. Flammables and combustibles are stored more than three feet from water heaters, furnaces, portable heaters, fire- places, and wood-burning stoves.

If the premises has a working fireplace or wood-burning stove, it is protected by a fire screen sufficient to shield the room from open flames and flying embers.

4. A functioning fire extinguisher with a rating of "2A 10BC" or greater is available near the kitchen area. If the home has multiple levels at least one functioning fire extinguisher with a rating of "2A 10BC" or greater is available on each level.

5. At least one UL approved and working smoke detector is installed:

a. In the main living or program area of the setting;

b. In each bedroom, if overnight care is provided; and

c. On each level of a multiple-level setting.

6. A written emergency evacuation plan is developed and maintained in the home, to provide guidance on the safe and rapid evacuation of the home. An emergency evacuation plan shall:

a. Be reviewed with the child within 72 hours of placement in the home and posted in a prominent place in the home;

b. Identify multiple exits from the home;

c. Identify two routes of evacuation from each bedroom on every floor used by individuals residing in or receiving care in the home. At least one of the exit routes for these bedrooms shall lead directly to the outside of the home. If that exit leads into an area that serves as a pool enclosure, a child six years of age or less receiving care in the home shall not reside in that bedroom.

i. If the exit is a window, it shall be secured with a latching device located a minimum of 54 inches above the floor; or

ii. If the exit is a door, it shall be locked at all times with a latching device or lock located a minimum of 54 inches above the floor. If there is no quick release mechanism on the lock, it must comply with the provisions of R21-8-112(11), and a key for the deadbolt shall be located a minimum of 54 inches above the floor. Bedroom doors that lead into an area that serves as a pool enclosure shall comply with this Section and also be self-closing and self-latching. Such doors that are hinged shall also swing outward from the pool area.

d. Identify the location of fire extinguishers and fire evacuation equipment, including rope or chain ladders, and emergency lighting, as applicable;

e. Designate a safe central meeting place close to the home, known to the child, at a safe distance from potential danger;

f. Be maintained in the home to review with individuals residing in or receiving care in the home; and

g. Include the placement of equipment, such as a ladder, that can be safely used by the individuals residing in each upstairs bedroom that have been identified with fire exits.

7. All windows identified as fire exits, must have enough space for an adult to move through.

8. Each bedroom used by a foster child or child in a residential group care facility receiving care or services has two exits to the outside.

a. One exit shall be a path through the premises and leading to a door that opens to the outside. A garage door that opens either manually by lifting or with an automatic opener shall not be accepted as an exit.

b. Another exit shall be a window or door within the bedroom that opens directly to the outside.

9. Premises authorized to provide care or services to five or more children shall train staff and children in evacuation procedures and conduct emergency drills at least every three months as prescribed in this subsection.

a. Practice drills shall include actual evacuation of children to safe areas, outside, and beyond the home.

b. Drills shall be held at random times and under varying conditions to simulate the possible conditions in case of fire or other disaster.

c. All persons in the home shall participate in the drill.

d. Records shall be maintained for each emergency drill and shall include:

i. Date and time of drill;

ii. Total evacuation time;

iii. Exits used;

iv. Problems noted; and

v. Measures taken to ensure that a foster child or a child in a residential group home facility understand the purpose of a drill and his or her responsibilities during a drill.

10. 6. The exit routes for the home are clear of obstruction that could prevent safe and rapid evacuation.

11. 7. The locks on exterior doors and windows, including the front door, screen doors, and bars on windows, are equipped with a quick release mechanism. A quick release mechanism is a lock that can be opened from inside the setting without special knowledge (such as a combination) or equipment (such as a key). The Department may grant an exception to this requirement for a double-key deadbolt on a door if:

a. There is breakable glass within 40 inches of the interior locking mechanism;

b. There is another exit with a quick release mechanism on the same level of the premises; and

c. The key for the deadbolt is permanently maintained in a location that is:

i. Within six feet of the locking mechanism;

ii. Accessible to all household members;

iii. Reviewed with persons residing in or receiving care in the home; and

iv. Identified on the emergency evacuation plan.

12. 8. The address for the home is posted and visible from the street, or the local emergency response team, such as the local fire department, is notified of the location of the home in writing, with a copy of this notification maintained in the home.

13. Providers must maintain a comprehensive list of emergency telephone numbers, including poison control, and post those numbers in a prominent place in the home.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 23 A.A.R. 3548, effective 12/12/2017. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-113 Emergency and Disaster Plan

A. A provider shall develop and maintain in the home a written emergency and disaster plan on a form provided by the Department that includes:

1. Contact information for each foster child, including the name and telephone number of the primary care physician and legal guardian;

2. A comprehensive list of emergency telephone numbers;

An evacuation plan for the home, as detailed in this Section; and

4. A plan for relocation from the home in the event of displacement due to flood, fire, the breakdown of essential appliances, or other disasters.

B. A provider shall ensure:

1. A written emergency evacuation plan is developed and maintained in the home, to provide guidance on the safe and rapid evacuation of the home. An emergency evacuation plan shall:

a. Be reviewed with the child within 72 hours of placement in the home and posted in a prominent place in the home;

b. Identify multiple exits from the home;

c. Identify two routes of evacuation from each bedroom on every floor used by individuals residing in or receiving care in the home. At least one of the exit routes for these bedrooms shall lead directly to the outside of the home. If that exit leads into an area that serves as a pool enclosure, a child six years of age or less receiving care in the home shall not reside in that bedroom.

i. If the exit is a window, it shall be secured with a latching device located a minimum of 54 inches above the floor; or

ii. If the exit is a door, it shall be locked at all times with a latching device or lock located a minimum of 54 inches above the floor. If there is no quick release mechanism on the lock, it must comply with the provisions of R21-8-112(7), and a key for the deadbolt shall be located a minimum of 54 inches above the floor. Bedroom doors that lead into an area that serves as a pool enclosure shall comply with this Section and also be self-closing and self-latching. Such doors that are hinged shall also swing outward from the pool area.

d. Identify the location of fire extinguishers and fire evacuation equipment, including rope or chain ladders, and emergency lighting, as applicable;

e. Designate a safe central meeting place close to the home, known to the child, at a safe distance from potential danger;

f. Be maintained in the home to review with individuals residing in or receiving care in the home; and

g. Include the placement of equipment, such as a ladder, that can be safely used by the individuals residing in each upstairs bedroom that have been identified with fire exits.

2. All windows identified as fire exits, must have enough space for an adult to move through.

3. Each bedroom used by a foster child or child in a residential group care facility receiving care or services has two exits to the outside.

a. One exit shall be a path through the premises and leading to a door that opens to the outside. A garage door that opens either manually by lifting or with an automatic opener shall not be accepted as an exit.

b. Another exit shall be a window or door within the bedroom that opens directly to the outside.

4. Premises authorized to provide care or services to five or more children shall train staff and children in evacuation procedures and conduct emergency drills at least every three months as prescribed in this subsection.

a. Practice drills shall include actual evacuation of children to safe areas, outside, and beyond the home.

b. Drills shall be held at random times and under varying conditions to simulate the possible conditions in case of fire or other disaster.

c. All persons in the home shall participate in the drill.

d. Records shall be maintained for each emergency drill and shall include:

i. Date and time of drill;

ii. Total evacuation time;

iii. Exits used;

iv. Problems noted; and

v. Measures taken to ensure that a foster child or a child in a residential group home facility understand the purpose of a drill and his or her responsibilities during a drill.

C. A provider shall submit a copy of the emergency and disaster plan to the licensing agency or placing entity, as applicable.

History

• New section made by exempt rulemaking at 21 A.A.R. 3517, effective 1/24/2016. Amended by final rulemaking at 23 A.A.R. 3548, effective 12/12/2017. Amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Ariz. Admin. Code § R21-8-114 Pool Safety

A. The provisions of this Section apply to:

Each Child Welfare Agency residential group care facility; and

2. A foster home licensed to provide care to a child six years of age or less, or an individual with a developmental disability.

B. If a provider listed in subsection (A) has a pool the provider shall ensure the following:

1. That the pool complies with A.R.S. § 36-1681 and all local municipal codes to the extent not inconsistent with this Section.

2. A fence or barrier meeting the following requirements is maintained between the pool and the home, or any building used to provide care and supervision.

a. The exterior side of the fence or barrier is at least five feet high;

b. All openings shall measure less than four inches;

b. c. If the barrier is a chain link fence or lattice, each opening in the mesh measures less than 1 3/4 inches horizontally. Chicken wire and other light gauge wire are prohibited as a primary fencing material for the pool;

c. If the barrier is a fence constructed of vertical bars or wooden slats, the openings between bars or slats measure less than four inches;

d. The exterior side of the barrier is free of hand holds, or foot holds, or other means that could be used to climb over it and if it has a horizontal component spaced at least 45 inches, measured vertically;

e. The gate to the enclosure is locked, except when in use and there is an adult within the enclosure to supervise the pool and spa area;

f. The connection between the panels of the fence cannot be separated without a key or a tool;

g. The fence is secured to the ground or has sufficient tension to prevent the fence from being lifted more than four inches from the ground;

h. If the home or building to provide care or supervision constitutes part of the enclosure:

i. The enclosure does not interfere with safe egress from the home;

ii. A door from the home does not open within the pool enclosure, unless it is a bedroom door in a bedroom not occupied by an individual six years of age or less receiving care and such a door cannot be opened by a foster child six years of age or less or child in a residential group care facility because it is either locked as required in R21-8-113(B)(1)(c)(ii) or inoperable. Any key shall not be accessible to a foster child six years of age or less or child in a residential group care facility;

iii. A window located in a room that is designated as a bedroom for a foster child six years of age or less or child in a residential group care facility shall not open into the pool enclosure or shall be permanently locked and not used for egress; and

iv. Other windows that open into the pool enclosure are permanently secured to open no more than four inches; or as required in R21-8-113 (B(1)(c)(i).

v. Animal or doggie doors shall not open directly into the pool enclosure.

3. A pool shall have its methods of access through the barrier equipped with a safety device, such as a bolt lock:

a. Gates should be self-closing and self-latching, maintained in good repair, and open out or away from the pool.

b. The gate latch is at least 54" above the ground and is equipped with a key or combination lock.

4. If the swimming pool cannot be emptied after each use, the pool must have a working pump and filtering system.

5. Hot tubs and spas must have safety covers that are locked when not in use.

6. Hot tubs and spas that are drained must be disconnected from the power and water source and have safety covers that are always locked.

C. The Department shall not approve a locked cover in lieu of the fence required under subsection (B).

D. After a fence has been inspected and approved by OLR as meeting the standards required under subsection (B), the provider shall ensure the fence is not dismantled or moved for as long as the provider is licensed by OLR.

E. Regardless of the age of the foster child or child in a residential group care facility living in the home, if the pool is deeper than six feet, the care provider shall ensure the following rescue equipment is available in the pool area:

1. A shepherd's crook attached to a pole; and

2. A ring buoy attached to a rope that measures at least half of the distance across the pool plus 10 feet.

F. A drained pool is a safety hazard. The provider shall comply with this Section or R21-8-105, if applicable.

History

• Renumbered from R21-8-113 and amended by final rulemaking at 28 A.A.R. 809, effective 6/6/2022.

Chapter 9 DEPARTMENT OF CHILD SAFETY - ADOPTION AGENCY LICENSING

Article 1 DEFINITIONS

Ariz. Admin. Code § R21-9-101 Definitions

The definitions contained in A.R.S. & 8-101 and R21-5-301 apply in this Chapter. In addition, and where inconsistent with the definitions in R21-5-301, the following definitions apply in this Chapter:

1. "Adoption agency applicant" means the individual completing an application for a license to operate an adoption agency in Arizona on behalf of the individual or on behalf of the adoption agency. "Adoption agency applicant" also includes the adoption agency for which the individual is applying.

"Child restraint system" means an add-on child restraint system, a built-in child restraint system, a factory-installed built-in child restraint system, a rear-facing child restraint system, or a booster seat.

3. "Child welfare field" means an area of endeavor that provides a set of services designed to protect children and encourage family stability. These typically include investigation of alleged child abuse and neglect, foster care, adoption services and services aimed at supporting at-risk families so they can remain intact.

4. "Client" means a prospective adoptive parent and the child who is or would be the subject of an adoption performed by the adoption agency.

5. "Human services field" means any area of study that moves the human experience forward; including, psychology, sociology, social work, medicine, and education.

6. "Office of Licensing and Regulation" or "OLR" means the administration within DCS that is responsible for reviewing and evaluating applications for licensure; supervising and monitoring licensees; and completing all official licensing actions, including issuing, denying, amending, suspending, and revoking a license.

7. "Person" means a corporation, company, partnership, firm, association, or society, as well as a natural person.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Article 2 ADOPTION AGENCY LICENSING REQUIREMENTS

Ariz. Admin. Code § R21-9-201 Who Shall be Licensed

A. Only the following may perform the adoption services listed in subsection (B):

1. A person licensed as an adoption agency;

2. An employee of or an independent contractor for an adoption agency;

3. A person acting under the direct supervision and control of an adoption agency; or

4. The Department under A.R.S. § 8-131.

B. Only the persons or entities listed in subsection (A) may perform the following adoption services:

1. Recruiting a birth parent to place a child through a particular adoption agency;

2. Accepting a birth parent's relinquishment and consent to adoption;

Accepting physical custody of a child for placement into an adoption placement;

4. Placing a child in an adoptive home;

5. Monitoring, supervising, or finalizing an adoption placement; and

6. Providing networking or matching services for a birth parent, an adoptive parent, or a child.

C. Notwithstanding subsections R21-9-201(A) and (B), attorneys licensed to practice law in the state of Arizona may participate in direct placement adoptions to the extent allowed by A.R.S. Title 8, Chapter 1, Article 1.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-202 Adoption Agency License; Initial Application Package; Fee

A. A person who wants to operate an adoption agency shall initiate the licensing process by completing an application package for an adoption agency license.

B. A complete application package for an initial adoption agency license shall contain the information and the supporting documentation listed in this subsection:

1. Identification and background information, including the following information for the adoption agency, facility, and administrators:

a. Name, address, telephone, and fax numbers for the adoption agency and all offices operated by the adoption agency;

b. Name, title, business address, telephone and fax numbers, and email address of:

i. The person who serves as the adoption agency administrator as prescribed in R21-9-211 ;

ii. The person who serves as the Social Services Director as prescribed in R21-9-212 ;

iii. The person with delegated authority to act when the adoption agency administrator is absent;

iv. The person in charge of each separate office;

v. The registered agent, if applicable; and

vi. Persons holding at least a 10 percent ownership interest in the adoption agency applicant;

c. The educational qualifications and work history for each person identified in R21-9-214, with that person's attached resume or employment application;

d. A list of the members of the adoption agency's governing body required by R21-9-210, including name, address, position in the adoption agency, term of membership, and any relationship to the adoption agency applicant;

e. If applicable, a written description of any proceedings pending or filed, brought against the adoption agency applicant or a person listed in R21-9-210 through R21-9-214, adoption agency employees, partners, or independent contractors, including those held in this state or another state or country; for denial, suspension, or revocation of a license or certificate for provision of:

i. Adoption services; or

ii. Social services, including child welfare, child care, or any other programs or services to children, elderly, or vulnerable adults; and

f. If applicable, a written description of any litigation in which the adoption agency applicant or a person listed in R21-9-210 through R21-9-214 is or has been a party, including, collection matters and bankruptcy proceedings, during the 10 years preceding the date of application for the adoption agency license.

2. Business organization.

a. An organizational chart for the adoption agency and each separate office, showing administrative structure, lines of authority, and staff;

b. Business organization documents appropriate to the adoption agency applicant, including:

i. Articles of incorporation,

ii. By-laws,

iii. Articles of organization, or

iv. Partnership documents, such as the Partnership Agreement;

c. Annual reports for the preceding three years if the adoption agency has been in existence for three or more years;

d. For corporations, or limited liability companies, a certificate of good standing from the Arizona Corporation Commission;

e. A copy of any license or authorization to perform adoption services in a foreign country; and

f. A consent allowing any out-of-state or foreign licensing authority to release information on the adoption agency applicant to OLR.

3. Staff.

a. A list of the adoption agency applicant's paid or unpaid staff, including:

i. Name,

ii. Position or title,

iii. Degrees,

iv. Certificates,

v. Licenses held,

vi. Business address,

vii. Date of hire,

viii. Date of submission for fingerprinting and criminal background clearance, and

ix. If contracted with the Department, a Central Registry check;

b. Obtain and provide to the Department evidence that all staff, interns, and volunteers have submitted fingerprints and criminal background information as prescribed in A.R.S.§ 46-141, R21-9-214, and R21-9-215.

4. Financial Stability.

a. A written, proposed operating budget for startup and a projected or annual budget for the first year of operation;

b. Verifiable documentation of funds available to pay start-up costs; the funds shall be in the form of cash or written authorization for a line of credit;

c. Verifiable documentation of funds available to pay operating expenses for the first three months of operations; the funds shall be in the form of cash or written authorization for a line of credit;

d. Verifiable documentation of financial resources to operate in accordance with the proposed operating budget for the remaining nine months of the licensing year; the resources may include:

i. Cash,

ii. Contracts for placement,

iii. Donations,

iv. Letters of commitment from financial backers or investors,

v. Grants, and

vi. Authorization for a line of credit;

e. If the adoption agency applicant, the adoption agency administrator, a Board Member, or any adoption agency employee or partner has operated any adoption agency in this state or any other state during the past 10 years, the most recent financial statement and financial audit for that adoption agency, unless the most recent statement or audit is more than 10 years old; and

f. A certificate of insurance, or letter of commitment from an insurer, showing that the adoption agency applicant has insurance coverage as prescribed in R21-9-223.

5. Program.

a. Informational, marketing, or advertising material about the adoption agency;

b. Program description, including:

i. All adoption services the adoption agency applicant intends to provide;

ii. The fee the adoption agency applicant will charge for each service;

iii. The cost to the adoption agency applicant of providing each service;

iv. The time in the adoption process when the adoption agency applicant will require a client to pay the fee described in R21-9-231 ;

v. The anticipated number of clients the adoption agency applicant will serve; and

vi. The methods the adoption agency applicant will use to recruit birth parents and prospective adoptive parents; and

c. A written explanation of how the adoption agency applicant will provide adoption services, including:

i. The number and description of staff who will provide the service, and

ii. Staff training requirements.

6. Documentation, Forms, and Notices. Samples of all documents, forms, and notices, which the adoption agency applicant will use with or provide to a client, including:

a. Adoption agency application for services;

b. Adoptive parent certification application;

c. Fee policy and schedule as prescribed by R21-9-231 ;

d. Sample birth parent relinquishment and consent form;

e. Informational or advertising brochures;

f. Sample fee agreement;

g. Sample birth parent agreement letter;

h. Intake form;

i. Sample case file;

j. Court report format; and

k. Statistical report.

7. Sample Files. A sample of the type of filing format the adoption agency applicant will utilize for personnel files as prescribed in R21-9-216, and client files as prescribed in R21-9-226 and R21-9-227.

8. Policies and Procedures. Copies of the adoption agency applicant's internal policies and operations manual.

9. Physical site and environment.

a. The floor plan for each office or location designated for conducting private discussions, interviews, and meetings;

b. A description of the adoption agency applicant's computer security system and the adoption agency applicant's confidentiality safeguards; and

c. Registration and inspection certificates for all vehicles used to transport a client or children.

10. Miscellaneous.

a. A signed, written statement authorizing OLR to investigate the adoption agency applicant;

b. The signature, under penalty of perjury, of the adoption agency administrator or authorized person submitting the application, attesting to the truthfulness of the information contained in the application;

c. The date of application; and

d. Board or partnership meeting minutes for the past three years if the adoption agency has been in existence for three or more years.

11. Fee. Pay a non-refundable, initial application fee of $400.

C. An adoption agency that does not have or maintain all or part of the supporting documentation listed in this Section shall so indicate in a written statement filed with the application.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016. Amended by final rulemaking at 24 A.A.R. 3275, effective 1/6/2019.

Ariz. Admin. Code § R21-9-203 Additional Requirements for Licensing; Out-of-state and Foreign Adoption Agencies

A. An out-of-state adoption agency or an adoption agency that conducts foreign adoptions that wishes to become licensed in Arizona as an adoption agency shall comply with all requirements of R21-9-202.

B. In addition to the documentation required by R21-9-202, the out-of-state or foreign adoption agency applicant shall file the following documents with OLR:

1. A copy of each license or authorization to perform adoption services the adoption agency applicant holds in states other than Arizona or in a foreign country;

2. A signed, written consent allowing any out-of-state or foreign licensing authority to release information on the adoption agency applicant to OLR; and

3. A written description of any license suspension or revocation proceedings pending, filed, or brought against:

a. The adoption agency applicant;

b. The adoption agency applicant's owner, if the adoption agency applicant is acting as an individual or a sole proprietor;

c. The partners of the adoption agency applicant, if the adoption agency applicant is a partnership; and

d. The directors, officers, and shareholders holding more than a 10 percent ownership interest in the adoption agency applicant, if the adoption agency applicant is a corporation.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-204 Department Procedures for Processing License Applications; Licensing Time Frames

A. In this Section, a complete application package means:

1. For an initial license, the items listed in R21-9-202 for an in-state adoption agency and R21-9-203 for an out of state adoption agency or an adoption agency engaged in foreign adoptions; or

2. For a renewal license, the items listed in R21-9-207.

B. Within 15 days of receiving an initial or renewal license application package, OLR shall conduct an administrative review to determine whether all required documentation and information has been submitted. Within the 15-day administrative review time-frame:

1. If the application is complete, OLR shall immediately move the application forward for a substantive review; or

2. If the application is incomplete, OLR shall issue a Notice of Incomplete Application to the adoption agency applicant containing a list of items and information needed to complete the application.

a. The adoption agency applicant shall have 60 days to supply the missing items or information to OLR.

b. The time-frame for the administrative completeness review shall be suspended from the date OLR issues the Notice of Incomplete Application to the date that OLR receives the missing item or information.

c. If the adoption agency applicant does not supply the requested items or information within 60 days of the date of the Notice of Incomplete Application, OLR shall close the file. Once closed, the adoption agency applicant may reapply for licensure.

d. If the adoption agency applicant supplies the required items and information to OLR within 60 days, OLR shall conduct a substantive review of the application.

C. An adoption agency applicant whose file has been closed under subsection (B)(2)(c) and who reapplies no later than 90 days after the date of the notice closing the application, may reopen the application provided:

1. The Adoption agency applicant schedules a conference with OLR, and

2. The Adoption agency applicant provides to OLR the missing information or items identified in the Notice of Incomplete Application.

D. Within the 90 days following the administrative completeness review of an application, and if the application is complete, OLR shall complete a substantive review to evaluate the adoption agency applicant's fitness for licensure. Within the 90-day substantive review time-frame, OLR:

1. May request that the adoption agency applicant provide additional information if needed to evaluate the suitability of the adoption agency applicant for licensure.

a. The adoption agency applicant shall have an additional 15 days to provide the information to OLR.

b. The time-frame for the substantive review shall be suspended from the date OLR requests additional information to the date OLR receives the information.

2. Shall make the licensing decision under R21-9-205.

E. Within an overall time-frame of 105 days upon receipt of a complete application, OLR shall:

1. Complete an administrative review of an application,

2. Complete a substantive review of an adoption agency applicant's fitness, and

3. Notify the adoption agency applicant of the decision to issue or deny a license.

F. For the purpose of A.R.S. & 41-1073, OLR establishes the following licensing time-frames for both an initial and renewal license:

1. Administrative completeness review time-frame: 15 days;

2. Substantive review time-frame: 90 days; and

3. Overall time-frame: 105 days.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-205 License: Issuance; Denial

A. Prior to issuing a license to an adoption agency applicant, OLR shall:

1. Review the application package;

2. Inspect the adoption agency applicant's place of business, records, accounting records, and system for client files;

Interview the adoption agency applicant's staff, as necessary to familiarize the OLR representative with the adoption agency applicant's operations; and

4. For out-of-state adoption agency applicants, and foreign adoption agencies, verify that the adoption agency applicant is licensed out-of-state or authorized to conduct foreign adoptions, as applicable, and investigate any complaints asserted against the adoption agency applicant in other states or countries.

B. Prior to issuing a license, OLR may submit the adoption agency applicant's start-up, operating, or annual budget required in R21-9-202 for audit verification.

C. OLR may issue a license to an adoption agency applicant who:

1. Has complied with all application and inspection requirements of this Chapter; and

2. Demonstrates that it:

a. Has sufficient capital to pay all start-up costs;

b. Has sufficient capital, personnel, expertise, facilities, and equipment to provide the services it plans to offer;

c. Does not intend to charge unreasonable fees; and

d. Complies with the requirements of this Chapter and A.A.C. Title 21, Chapter 5, Article 4.

D. OLR may deny a license to:

1. An adoption agency applicant that had a license revoked by any state or foreign country;

2. An adoption agency applicant that employs personnel whose fingerprint background check shows that the employee has been convicted of or is awaiting trial on an offense listed in A.R.S. & 46-141;

3. An adoption agency applicant that does not comply with one or more of the standards listed in subsection (C);

4. An adoption agency applicant that has intentionally or recklessly jeopardized the well-being of its client;

5. An adoption agency applicant that has a history or pattern of violations of applicable adoption statutes or rules; or

6. An adoption agency applicant that violates the ICPC or ICWA during a licensing year.

E. When OLR denies a license, OLR shall send the adoption agency applicant written notice explaining the reason for denial, and the adoption agency applicant's right to seek a fair hearing.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-206 License: Term; Non-transferability

A. OLR shall issue a license only to the adoption agency for which application is made and for the location shown on the application.

B. A license expires one year from the date of issuance.

C. A license shall not be transferred or assigned and shall expire upon a change in adoption agency ownership.

D. For the purpose of this Section, a change in ownership shall include the following events:

1. Sale or transfer of the adoption agency,

2. Bulk sale or transfer of the adoption agency's assets or liabilities,

3. Placement of the adoption agency in the control of a court appointed receiver or trustee,

4. Bankruptcy of the adoption agency,

5. Change in the composition of the partners of an adoption agency organized as a partnership,

6. Sale or transfer of a controlling interest in the stock of a corporate adoption agency, or

7. Loss of an adoption agency's nonprofit status.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-207 Application for License Renewal; Fee

A. No earlier than 90 days and no later than 45 days prior to the expiration date of a license, an adoption agency may apply to OLR for license renewal.

B. The renewal application shall be on a Department form containing the information listed in R21-9-202 and R21-9-203, as applicable.

C. The adoption agency shall submit evidence that each current employee has obtained a new fingerprint clearance card every six years following original clearance.

D. An adoption agency shall submit copies of the supporting documents listed in R21-9-202 if the adoption agency has changed, amended, or updated such documents since the adoption agency last renewed its license.

E. With a renewal application, the adoption agency shall also submit a non-refundable renewal fee of $225 and the following documentation:

1. A current financial statement;

2. A copy of the adoption agency's current operating budget and a recent audit report required by R21-9-222 or if applicable, the documentation required by R21-9-222 subsection (C);

3. Copies of any written complaints the adoption agency has received about its performance during the expiring license year; and

4. A written description of any changes in program services or locations, or the population served by the adoption agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016. Amended by final rulemaking at 24 A.A.R. 3275, effective 1/6/2019.

Ariz. Admin. Code § R21-9-208 Renewal License: Issuance

A. OLR shall process a renewal application package pursuant to the procedures described in R21-9-204 and R21-9-205.

B. In addition to conducting an investigation as prescribed in R21-9-205, OLR may:

1. Interview adoption agency clients and references,

2. Observe adoption agency staffings, and

3. Conduct field visits to the adoption agency offices.

C. In determining whether to renew a license, OLR may consider the licensee's past history from other licensing periods, and shall consider a repetitive pattern of violations of applicable adoption statutes or rules as evidence that the adoption agency is unable to meet the standards for obtaining a license.

D. OLR may renew an adoption agency's license when the adoption agency:

1. Demonstrates that it meets the standards described in this Chapter,

2. Has complied with the requirements of this Article and A.A.C. Title 21, Chapter 5, Article 4 during the expiring period of licensure, and

3. Has corrected any prior circumstances that resulted in non-compliance status.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-209 Amended License

A. An adoption agency that seeks to change its name, address, or offices, without a change in ownership, shall apply to OLR for an amended license at least 14 days prior to the effective date of the change.

B. The application shall be in writing and shall specify the information to be changed.

C. So long as the change does not cause the adoption agency to fall out of compliance with the standards listed in this Article and A.A.C. Title 21, Chapter 5, Article 4, OLR shall issue an amended license.

D. The amended license shall expire at the end of the adoption agency's current licensing year.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-210 Governing Body

A. The adoption agency shall have a governing body to oversee the operations, policies, and practices of the adoption agency and its facilities.

B. The governing body shall be:

1. The board of directors for any adoption agency formed as a corporation;

The individual owner of any adoption agency that is a sole-proprietorship;

3. The members of a limited liability company; or

4. The partners in a partnership.

C. The governing body shall:

1. Establish the adoption agency's policies and oversee the implementation of those policies;

2. Ensure that the adoption agency has the capital, physical facilities, staff, and equipment to effectively implement the adoption agency's policies and adoption program;

3. Ensure that the adoption agency complies with:

a. All legal agreements to which the adoption agency is a party; and

b. All relevant federal, state, and local laws;

4. Review and approve the adoption agency's annual operating budget required by R21-9-221 and the annual audit required by R21-9-222, or, if applicable, the documentation required by R21-9-222 subsection (C); and

5. Notify OLR before making any substantial changes to the adoptions program set out in the adoption agency's operations manual.

D. The adoption agency shall advise OLR in writing of any changes in composition of the governing body within 30 days of the change.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-211 Adoption Agency Administrator

A. The adoption agency shall have an administrator who is responsible for the adoption agency's business operations.

B. The Administrator shall have the education and experience described in this subsection.

1. A bachelor's degree from an accredited college or university and two years of professional experience in a human services field, one year of which shall have been in a supervisory or administrative position;

2. A master's or doctorate degree from an accredited graduate school in business, public administration, or a human services field, and one year of professional experience in the human services field; or

3. Five years of experience as the administrator in a program in a human services field.

C. The Administrator shall:

1. Oversee development and implementation of the adoption agency's policy and procedures for program and fiscal operations;

2. Ensure that the adoption agency achieves and maintains compliance with the requirements of this Article;

3. Oversee hiring, evaluation, and discharge of adoption agency personnel in accordance with the adoption agency's established personnel policies and this Article; and

4. Establish and supervise working relationships with other social service agencies within the community.

D. An Administrator who directly supervises adoption activities shall also meet the requirements for a social services director prescribed in R21-9-212.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-212 Social Services Director

A. The adoption agency shall have a social services director who is responsible for the adoption agency's casework and family services.

B. The social services director shall have the following education and experience:

1. A bachelor's degree in social work or a related human services field from an accredited college or university and three years of professional experience in services to children and families, two years of which shall be in adoption services;

2. A master's degree in social work or a related human services field from an accredited college or university and a minimum of two years of professional experience in services to children and families; or

3. Five years of experience as the director in a program in a child welfare field.

C. The social services director shall, either personally or through a designee:

1. Supervise, manage, train, and evaluate all social work staff members and consultants;

2. Approve decisions regarding family and child eligibility for service, maternity and child care, transportation and placement arrangements, finalization, and any other changes in a child's legal status; and

3. Implement the adoption agency's adoption program and services.

D. If the social services director delegates responsibility under subsection (C), the social services director shall personally supervise the designee and shall oversee the performance of the duties described in subsection (C).

E. If the social services director performs the duties of an adoption agency administrator, the director shall also meet the requirements for an adoption agency administrator prescribed in R21-9-211.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-213 Social Workers

A. The adoption agency shall have social workers sufficient to meet the ratio requirements prescribed in R21-9-219.

B. A social worker shall have the following qualifications:

1. A bachelor's degree in social work or a related human services field from an accredited college or university and two years of professional experience in a human services field;

2. A master's degree in social work or in a related human services field from an accredited college or university;

3. An associate's or a two-year degree from an accredited educational institution in a human services or child welfare field and five years' experience engaged in the activities listed in subsection (C); or

4. Ten years experience in a human services or a child welfare field engaged in the activities listed in subsection (C).

C. A social worker shall:

1. Maintain or supervise the maintenance of up-to-date case records on cases assigned to the worker;

2. Prepare certification and placement reports and home studies for adoptive applicants and parents, and such other reports as the court may require; and

3. Provide pre-placement, placement, post-placement, or post-adoption services to a client.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-214 Adoption Agency Employees: Hiring; References; Fingerprinting

A. An adoption agency shall obtain an application for employment or a resume from each employee, or contracted employee. The application or resume shall contain, at a minimum, the following information on the applicant:

1. Name and current address and telephone number;

2. Educational history;

3. Degrees or certifications held;

4. Work history for five years prior to the date of the application, and the reasons for leaving each prior job;

5. A summary of all prior experience the applicant has had in the area for which the applicant is seeking employment;

A minimum of three professional references, preferably of prior or current supervisors;

7. A minimum of three personal references; and

8. A list of any criminal convictions, excluding minor traffic violations.

B. An adoption agency shall not hire an applicant for employment until:

1. The adoption agency has personally contacted at least two of the applicant's professional references and one of the applicant's personal references;

2. The adoption agency has verified that the applicant has the skills and training necessary to perform the task for which the adoption agency is hiring the applicant;

3. The applicant has submitted to a fingerprint and criminal records check as required by A.R.S.§ 46-141 and A.A.C. Title 21, Chapter 1, Article 4; and

4. If contracted with the Department, the applicant has passed a Central Registry check.

C. The adoption agency shall not knowingly hire or retain any staff, member, including a volunteer or intern, who is awaiting trial on, or has been charged with, been convicted of, pled guilty to, or entered into a plea agreement regarding an offense listed in A.R.S. § 46-141.

D. The adoption agency shall ensure that any staff required to have a fingerprint clearance card shall obtain a new card every six years after initial issuance.

E. The adoption agency shall have written job descriptions for all employee and volunteer positions in the adoption agency. The job descriptions shall include the essential functions of the job and any minimum qualifications or training required for the position.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-215 Adoption Agency Volunteers; Interns

An adoption agency that uses volunteers or student interns shall follow the requirements of this Section.

1. An appropriate employee shall directly supervise each volunteer or intern. As used in this subsection, the term "appropriate" shall mean adoption agency personnel with skills and training to guide the volunteer or intern in the performance of the designated tasks.

2. The adoption agency shall subject each volunteer or intern who renders direct services to a client, to the same fingerprint clearance card requirements and reference checks the adoption agency performs on adoption agency employees under R21-9-214.

3. For each volunteer or intern, the adoption agency shall maintain a record of fingerprint clearance, reference check information, and any training provided. The adoption agency shall retain the record for three years following the volunteer's or intern's termination with the adoption agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-216 Personnel Records

A. The adoption agency shall maintain a personnel file for each adoption agency employee. The file shall contain:

1. The employee's resume or written application for employment;

2. Documentation of the reference checks required by R21-9-214 and R21-9-215 ;

3. Evidence of a fingerprint clearance card and criminal records clearance;

Results of a Central Registry check;

5. A record of the expiration date and number of the employee's driver's or chauffeur's license, if the employee transports a client;

6. Copies of the employee's professional credentials or certifications, if relevant to the employee's job functions;

7. Documentation of initial and ongoing training the employee has received;

8. Periodic job performance evaluations; and

9. Dates of employment and separation, and reasons for separation.

B. The adoption agency shall maintain employee personnel records for at least three years following the employee's separation from the adoption agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-217 Training Requirements

A. An adoption agency shall provide initial and ongoing training for professional employees.

1. Initial training shall include orientation to the adoption agency and any of the adoption agency's and the Department's policies and procedures that are relevant to the employee's job.

2. Ongoing training shall include a minimum of 14 hours of annual training in the following, or related, subject areas:

a. Adoption statutes and rules,

b. Adoption agency and Department policies and procedures,

c. Confidentiality, and

d. The specific subject matter of the employee's job.

B. The adoption agency shall document all training in the employee's personnel file.

C. As used in this Section, "professional employee" shall mean any person who renders services directly to a client.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-218 Contracted Services

A. When an adoption agency provides adoption services through persons who are not adoption agency employees, volunteers, or interns, the adoption agency shall retain only external professionals or consultants who are certified, licensed, or otherwise meet the qualifications described in A.A.C. Title 21, Chapter 5, Article 4, to provide such services.

B. The adoption agency shall not require a client to use medical, legal, psychological, psychiatric, or other professionals or consultants used or recommended by the adoption agency. The adoption agency may use consultants or persons selected by the adoption agency's client, so long as the consultant designated by the client has the education, experience, or certification required to render the service.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-219 Staffing Ratios

A. An adoption agency shall have sufficient staff to satisfy:

1. All statutory requirements for provision of adoption services;

2. All applicable requirements of this Article and A.A.C. Title 21, Chapter 5, Article 4; and

3. All requirements included in the adoption agency's own operating and procedural manuals, policies, or guidance documents.

B. To determine sufficiency under subsection (A), OLR shall consider:

1. Complaints made against the adoption agency;

2. The complexity of the individual needs of the clients served by the adoption agency;

3. The professional training and experience of the adoption agency's staff;

The specific functions assigned to individual adoption agency staff;

5. The geographic area served by the adoption agency and any travel time required for adoption agency staff;

6. The respective amounts of time staff devote to various functions and responsibilities, including provision of services, court appearances, case documentation, professional training and development, and administrative tasks; and

7. Other similar factors bearing on caseload distribution.

C. Notwithstanding any other provision of this Article, a social worker whose caseload is predominantly a caseload of children with special needs shall not have a caseload in excess of 20 children.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-220 Operations Manual

A. An adoption agency shall have a written operations manual, which shall include:

1. A statement of the adoption agency's purpose, philosophy, and program;

2. A list of any eligibility requirements for a client;

3. A description of services provided to clients and the name of any person or entity providing the service, if different from the adoption agency and its employees;

4. An organizational chart explaining the adoption agency's lines of authority;

5. Intake policies and procedures;

6. The operational procedures the adoption agency follows for delivery of services;

7. Confidentiality policies and procedures;

8. Staff training policy;

9. Policy for use of volunteers;

10. Policy on student and intern placement;

11. Policy and procedures to be followed in the event of adoptive placement disruption;

12. Policy for recruitment and selection of adoptive families; and

13. Policy for transferring files if the adoption agency goes out of business, including designated personnel or positions to handle the transfer.

B. The adoption agency shall make the operations manual available to all adoption agency personnel and shall ensure that personnel are familiar with and trained in those policies and procedures relevant to their job functions.

C. The adoption agency shall make the operations manual available for review by a client, upon request.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-221 Adoption Agency Operations Budget; Financial Records

A. Before the start of the adoption agency's fiscal year, the Governing Body shall adopt a budget that shall reflect sufficient funds to pay the costs of the adoption agency's program and shall be based on the audit report prepared in compliance with R21-9-222, or, if applicable, the documentation required by R21-9-222 subsection (C).

B. The adoption agency shall operate within the budget adopted by the Governing Body.

C. The adoption agency shall maintain financial records of receipts, disbursements, assets, and liabilities. The adoption agency shall maintain its financial records in accordance with generally accepted accounting principles; the records shall accurately reflect the adoption agency's financial position.

D. The adoption agency shall maintain records showing the following information:

1. Each adoptive parent's original contract date with the adoption agency;

2. Fees that each adoptive parent has paid to the adoption agency and the date of such payments; and

3. Fees that the adoption agency has charged to the adoptive parent.

E. The adoption agency shall make all records described in this Section available for inspection by OLR at periodic inspections, or at other reasonable times upon Department request.

F. The adoption agency shall retain financial records for ten years, including the records involved in an audit, following completion of the audit.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-222 Annual Financial Audit

A. An adoption agency shall obtain an annual, fiscal year-end, financial audit by an independent certified public accountant. The accountant shall conduct the audit in accordance with generally accepted auditing standards.

B. The adoption agency shall obtain from the auditor a written audit report that shall include the following financial information:

1. Income statement,

2. Balance sheet,

3. Statement of cash flows,

4. Statement of monies or other benefits the adoption agency has paid or transferred to other business entities or individuals affiliated with the adoption agency, and

5. A record of any financial transactions between the adoption agency and any other adoption agency.

C. Notwithstanding subsections (A) and (B), for adoption agencies with an annual income of less than $250,000, rather than submit the financial audit required in subsections (A) and (B), the adoption agency shall:

1. Provide verifiable information that allows OLR to evaluate the adoption agency's financial stability.

2. Maintain acceptable documentation that includes:

a. Annual fiscal audit;

b. Six month current bank statement;

c. Statements from lines of credit; and

d. The previous year's tax return.

D. OLR may request additional information that would allow OLR to evaluate the adoption agency's financial stability.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-223 Insurance Coverage

A. An adoption agency contracted with the State shall have insurance coverage as required by the State contract in addition to the requirements of this Section.

B. An adoption agency shall have insurance coverage that provides protection against financial loss as required by this Section, including insurance coverage with the minimum scope and limits of liability not less than those stated below.

1. Commercial General Liability - Occurrence Form Coverage including bodily injury, property damage, personal injury, and broad form contractual liability:

a. General Aggregate $2,000,000;

b. Products - Completed Operations Aggregate $1,000,000;

c. Personal and Advertising Injury $1,000,000;

d. Blanket Contractual Liability - Written and Oral $1,000,000;

e. Fire Legal Liability $50,000;

f. Each Occurrence $1,000,000; and

g. The policy shall include coverage for sexual abuse and molestation.

2. Automobile Liability. The policy shall cover bodily injury and property damage for any owned, hired, or non-owned vehicle used in the performance of licensee's operations and shall have a Combined Single Limit (CSL) coverage of $1,000,000.

3. Worker's Compensation and Employers' Liability.

a. Workers' Compensation coverage shall comply with state statutory requirements.

b. Employers' Liability.

i. Each Accident $500,000;

ii. Disease - Each Employee $500,000; and

iii. Disease - Policy Limit $1,000,000.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-224 Physical Space Requirements; Transportation of a Child

A. An adoption agency shall not discuss confidential information with a client in a public setting.

B. An adoption agency shall have available a physical space in Arizona that provides privacy and security.

C. Meeting Space.

1. Available space. The adoption agency shall maintain at its offices in Arizona or have available a local meeting space for interviewing children and families and for supervisory conferences.

2. Confidentiality. The adoption agency meeting space shall provide privacy for interviews and discussion of confidential information.

Safety. The adoption agency meeting space shall comply with any building, health, fire or other codes in effect in the jurisdiction where it is located.

4. Telephone. The adoption agency meeting space shall have telephone service.

D. Records Storage Space.

1. The adoption agency shall maintain or have available a physical space for records storage that protects confidentiality and provides security.

2. The records storage space may be a space for hard copy records or a secure server with encryption capabilities for digital records.

3. The adoption agency storage space shall provide security against theft, unauthorized release, security breech, damage, and loss of records.

4. The adoption agency storage space shall allow for immediate protection of confidential information.

5. If the adoption agency contracts for storage space, the contract shall include:

a. A provision that all records are owned solely by the adoption agency and shall not be used or disseminated by the contractor in any way;

b. A provision that the contractor shall return all records immediately upon cessation of the contract; and

c. A provision requiring security against theft, unauthorized release, security breech, damage, and loss of records.

E. Transportation. When an adoption agency transports a child or directs the transportation of a child, the adoption agency shall ensure that the vehicle, at a minimum:

1. Is maintained in safe operating condition;

2. Is properly licensed, registered, and has liability insurance; and

3. Has passenger safety restraints available and:

a. Each child less than the age of five years or weighing less than 40 pounds is properly secured in a child car seat and child restraint system that is appropriate to the height, weight, and physical condition of the child;

b. Each child five to eight years of age who weighs more than 40 pounds, but is less than four feet nine inches in height is properly secured in a child restraint system that is appropriate to the height, weight, and physical condition of the child;

c. Each child not covered by subsections (a) and (b) is properly secured with a seat belt;

d. Each child with a disability that prevents the child from maintaining head and torso control while sitting is secured in a car bed, harness, or other device designed to protect the child during transportation; and

e. If a child is transported in a wheelchair, the child is properly secured with a floor-mounted seat belt, and the wheelchair is properly immobilized using lock-down devices.

F. An adoption agency shall not leave a child unattended during transportation if the child:

a. Is less than seven years of age;

b. Has a developmental disability; and

c. Is more than seven years of age if the adoption agency has determined, and documented in the child's record, that the child is physically and emotionally incapable of traveling alone;

G. The adoption agency shall ensure that the adoptive parent has all of the equipment in place and properly installed to meet the requirements of subsection (E) prior to placement.

H. An adoption agency shall ensure the following safety requirements for drivers selected by the adoption agency to trans port a child:

1. The driver has a valid driver license; and

2. The driver practices safe, defensive driving and obeys all traffic laws.

I. A child shall not be transported in a truck bed, cargo area, camper, or in a trailer attached to a motor vehicle.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-225 Protecting Confidentiality of Adoption Records

The adoption agency shall have and follow a written policy for the maintenance and security of adoption records. The policy shall be consistent with A.R.S. && 8-120, 8-121, and 36-2903.01(Q) and shall specify:

1. The personnel responsible for supervision and maintenance of records;

2. The persons who shall and may have access to the records;

3. The procedures for immediately securing confidential information;

4. The procedures for authorizing release of records;

5. The procedures for release of records;

6. The procedures for security breach or loss of adoption records; and

7. The procedures for transferring records.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-226 Recordkeeping Requirements: Adoptive Children

The adoption agency shall maintain a case record for each adoptive child. Except as otherwise provided in A.R.S. § 8-129, the record shall be divided into two sections as follows:

1. Non-identifying information as required by A.R.S. & 8-129; and

Identifying information which shall include:

a. Tapes, videos, or photos of the adoptive child or birth parent;

b. Legal documents and reports required for adoption;

c. Social, physical, mental, and educational history of the child's birth family;

d. Social, physical, mental, and educational history of the adoptive child; and

e. A summary of all action taken to prepare the child for placement in the adoptive home.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-227 Recordkeeping Requirements: Adoptive Parents

The adoption agency shall maintain a case record for each adoptive parent. If the adoptive parent is a member of the same family as another adoptive parent, the adoption agency can maintain one file for the adoptive family. The file shall include:

1. Documentation showing that the adoptive parent received the orientation described in R21-5-403 ,

2. The adoptive parent's application for certification,

3. The adoptive parent's certification report and any recertification reports,

4. A copy or description of the non-identifying information the adoption agency has provided to the adoptive parent pursuant to A.R.S. § 8-129(A), and

5. A summary of the adoptive placement decision and the pre-placement and post-placement contacts with the adoptive family and the adoptive child.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-228 Reporting Requirements: Abuse; Adoption Agency Change; Change of Circumstances of a Child or Family

A. During the period of time that an adoption agency is providing services to an adoptive child or family, the adoption agency shall:

1. Immediately report any suspected or alleged incident of abuse or neglect of an adoptive child to the Department; and

2. Immediately notify an adoption agency licensing representative in OLR if an adoptive child dies or suffers a serious illness, bodily injury, or psychiatric episode.

B. An adoption agency shall notify OLR orally of any of the following changes or events within 24 hours after the adoption agency learns of their occurrence and shall submit written notification to OLR within seven days:

Permanent or temporary closure of the adoption agency or any part thereof;

2. A criminal conviction or plea agreement involving any adoption agency staff member, including a volunteer and intern, excluding minor traffic violations;

3. Filing of a lawsuit against the adoption agency;

4. Filing of a lawsuit against adoption agency personnel when the lawsuit relates to or is likely to adversely affect the provision of adoption services;

5. Damage to adoption agency facilities that substantially disrupts the program or the adoption agency's accessibility to a client; and

6. Knowledge of any child placement that the adoption agency reasonably believes is not permitted by law.

C. The adoption agency shall notify OLR in writing at least 30 calendar days prior to any of the following proposed changes and events, if known:

1. Any plans to reorganize the adoption program that would involve changes in target population, geographic area, services, or eligibility, and the reasons for the changes;

2. Any change in the identity of the adoption agency administrator or social services director; or

3. Any change in ownership as described in R21-9-206(D).

D. Change of Circumstances of a Child or Family.

1. When there is a change in the adoptive circumstances of a child or family listed on the Adoption Registry, the adoption agency shall notify the Department of the change within five work days of receipt of information about the changed circumstances.

2. For the purpose of this subsection, a change in adoptive circumstances include the following events:

a. Placement of a child,

b. Loss or renewal of certification, and

c. Disruption or failure of a placement.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-229 Closure of Adoption Agency: Record Requirements

A. An adoption agency shall not destroy any files, records, reports, and other papers not filed in or in the possession of the court for 99 years;

B. If an adoption agency ceases operations, the adoption agency shall do all of the following:

1. Transfer the documents described in subsection (A) of this section to the Department or to another adoption agency in this state if the documents concern a matter that is closed;

2. Transfer the documents described in subsection (A) of this section to another adoption agency in this state if the documents concern a matter that is open;

3. Notify the Department of the transfer of any documents to another adoption agency in this state; and

4. Notify all adoptive parents whose files the adoption agency is transferring to the Department or another adoption agency in this state of the transfer.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-230 Birth Parent: Service Agreement; Prohibitions

A. Before providing services to a birth parent, an adoption agency shall enter into a signed written agreement with the birth parent. The agreement shall:

Describe all services the adoption agency shall provide to the birth parent;

2. Contain an explanation in plain language describing any monies that an adoptive parent may pay to a birth parent under A.R.S. & 8-114, including that a birth parent may only receive payments up to $1,000 without court approval;

3. Contain an itemized statement describing the nature, purpose, and amount of any payments the birth parent shall receive through the adoption agency or any entity affiliated with the adoption agency under A.R.S. § 8-114;

a. If the actual amount under subsection (3) is not known, the adoption agency shall describe how the amount shall be calculated, and

b. Include amounts only for reasonable and necessary expenses incurred in connection with the adoption under A.R.S. & 8-114.

B. Before or at the time of entering into a birth parent agreement with a birth mother, the adoption agency shall advise the birth mother of her obligations under A.R.S. § 8-106(F).

C. Before providing services to a birth parent, the adoption agency shall advise the birth parent of OLR's responsibility for licensing and monitoring an adoption agency, and the public's right to register a complaint about an adoption agency as prescribed in R21-9-235.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-231 Adoption Fees; Reasonableness

A. An adoption agency shall not charge a client more than a reasonable fee for services.

B. An adoption agency shall establish, maintain, and follow a written policy on the fees it charges a client for adoption services. The fee policy shall include all of the adoption agency's practices and procedures regarding fees, including the following:

1. A schedule of fees the adoption agency charges for each specific service the adoption agency offers, and the time in the adoption process when the client is required to pay the fee, broken down, at a minimum, as follows:

a. Preregistration and registration fees,

b. Application and orientation fees,

c. Certification application fee,

d. Certification investigation,

e. Certification report,

f. Certification renewal fees,

g. Placement services,

h. Placement investigation and report,

i. Foreign adoption services,

j. Post-placement services,

k. Fees incurred when a child has special needs, and

l. Twins or sibling placements;

2. An explanation of any practice the adoption agency may have for assessing fees based on pooled or averaged costs;

3. An explanation of the circumstances or conditions that would cause the adoption agency to reduce, waive, suspend, or refund a fee, which circumstances may include:

a. Adjustment made for the well-being of an adoptive child, and

b. Adjustments made to accommodate an adoptive parent's limited ability to pay;

4. An explanation of the circumstances that would cause the adoption agency to increase its fees; and

5. The procedures the adoption agency follows to collect its fees.

C. An adoption agency shall advise prospective and existing clients of its fee policy and shall make a copy of the policy available to clients upon request.

D. An adoption agency shall not:

1. Condition a client's eligibility for, or receipt of, adoption services on the client's donation or agreement to donate money, goods, services, or other things of value, other than the regular scheduled adoption fees, to the adoption agency or to an adoption agency affiliate;

2. Obstruct or withhold finalization of a placement or adoption solely for nonpayment of fees;

3. Charge a client for any fee, which the adoption agency has not listed in the fee schedule, included in its fee policy, and disclosed to the client in the client's fee agreement letter;

4. Charge a prospective adoptive parent advance fees contrary to R21-5-403(D) ; or

5. Charge a prospective adoptive parent for a service not rendered.

E. OLR may audit, or designate a certified public accountant to audit, an adoption agency's fee structure.

F. The adoption agency shall provide OLR and the adoption agency's current adult clients with a copy of any changes made to the adoption agency's fee policy, no less than 14 days prior to the effective date of the change.

G. An adoption agency shall refund to a client any fees the client paid for services the adoption agency failed to perform. Against any such refund, the adoption agency may offset any amount due from the client for services the adoption agency has performed and for which the client agreed to pay but has not paid.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-232 Adoption Fee Agreement

A. Before providing services to an adoptive parent, the adoption agency shall enter into a written fee agreement with the adoptive parent. Both the adoptive parent and an authorized representative of the adoption agency shall sign and date the agreement. The adoption agency shall retain the original agreement in the adoptive parent's file and provide a copy to the adoptive parent.

B. The fee agreement shall include the following terms:

1. A description of all services the adoption agency will provide to the adoptive parent and the fee for each service; the agreement shall specify how much of the fee is being allocated to cover medical expenses, including the cost of prenatal care and delivery;

2. A general description of any adoption services the adoption agency is not providing but that are required to finalize the adoption, with an estimate of the costs of such services;

3. The terms of payment, including payment due dates and amounts; and

4. A statement advising the client of the client's right to receive a copy of the adoption agency's fee policy.

C. An adoption agency shall not charge a fee, other than a certification application fee, or enter into an adoption fee agreement until after the potential client has received the orientation described in R21-5-403.

D. When an adoption agency charges adoptive parents for birth parent counseling, the adoption agency will monitor birth parent attendance at scheduled counseling at least monthly. When a birth parent does not schedule counseling services or misses scheduled counseling services for a month, the adoption agency shall refund to the adoptive parents the portion of the fee covering the remainder of the counseling services.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-233 Monitoring: Inspections and Interviews; Compliance Audit

A. OLR shall monitor the ongoing operations of each adoption agency.

B. Monitoring activities may include the following:

1. At least one announced and one unannounced onsite inspection of each adoption agency during the licensing year;

2. Interviews of adoption agency personnel and clients;

3. A review of the adoption agency's books, records, and sample client files; and

4. A compliance audit of the adoption agency, as described in subsection (C).

C. Upon receipt of a complaint against an adoption agency or in response to observed deficiencies, OLR may conduct a compliance audit of the adoption agency to assess the adoption agency's compliance with applicable adoption licensing and adoption services statutes and rules.

D. An adoption agency shall facilitate OLR's monitoring functions or compliance audit by:

1. Making the adoption agency's books, files, records, manuals, premises, and facilities available to OLR staff for inspection;

2. Allowing OLR to interview adoption agency staff; and

3. Enabling OLR to conduct interviews with adoption agency clients.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-234 Complaints; Investigations

A. Any person may register a complaint about an adoption agency with OLR. OLR shall ask persons making oral complaints to put the complaint in writing.

B. Upon receipt of a complaint, or in response to deficiencies observed by Department staff, OLR shall investigate the allegations of the complaint or the deficiencies.

C. OLR's investigation may include:

1. Interviews with the complaining party, adoption agency staff, including a volunteers and interns, and adoption agency clients;

2. Inspections of adoption agency records, files, or other documents related to the issues raised in the complaint; and

3. Any other activities necessary to determine the truth of the allegations.

D. Upon completion of its investigation, OLR shall:

1. Find that the complaint is not valid and close the investigation;

Find that the complaint is valid and take appropriate disciplinary action against the adoption agency, as described in this Chapter; or

3. Find that the complaint cannot be validated or refuted based on the available evidence.

E. OLR shall maintain a file on all complaints against an adoption agency and shall make information on validated complaints available to the general public, upon request, and to the extent permitted by confidentiality laws.

F. A complainant's identity is confidential unless OLR takes a licensing action based on the testimony of the complainant.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-236 Suspension

A. OLR may suspend an adoption agency's license for violations of the statutes or rules governing adoptions, or for any activity that may threaten the health, safety, or welfare of any adoption agency client, including the following:

1. When the Department receives a report of abuse or neglect alleged to have been committed by adoption agency staff, including a volunteer of intern against a child, and the adoption agency fails to take protective measures pending an investigative finding;

2. Conduct that causes disruption of a placement or adoption;

3. When an adoption agency permits an employee who has failed to comply with fingerprinting requirements or who has been denied fingerprint clearance to continue providing services to children;

4. When an adoption agency refuses to cooperate with OLR requests for information that OLR requires for determining compliance with the statutes and rules governing provision of adoption services;

5. When an adoption agency refuses to provide OLR with information OLR has requested during the course of a complaint investigation; or

6. When an adoption agency fails to correct a problem that resulted in imposition of noncompliance status, within the time provided in the adoption agency's corrective action plan.

B. OLR shall mail the adoption agency written notice of the suspension, the reason for the suspension, and an explanation of the adoption agency's right to appeal the suspension.

C. Except as otherwise provided in subsection (D), an adoption agency may continue to place adoptable children who become available for placement and to finalize adoptions of placed children and adoptees during a period of suspension, but the adoption agency shall not recruit, accept, or register any new birth or adoptive parent.

D. When the Department finds that the physical or emotional health or safety of a client is in imminent danger, the Department may take immediate action to eliminate the danger. For the purpose of this subsection,

1. A situation involving imminent danger are those situations identified in A.R.S. § 8-821(B) that would justify removal of a child;

2. Immediate action may include:

a. Removal of a child,

b. Transfer of a client to another adoption agency, or

c. Other protective action designed to eliminate the danger or risk of harm.

E. If the adoption agency does not correct the situation that led to suspension of its license, OLR shall initiate license revocation proceedings against the adoption agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-237 Revocation

A. OLR may revoke a license for any of the following reasons:

When the adoption agency refuses or fails to comply with licensing requirements, Arizona or federal laws, local codes or ordinances, or violates a statute or rule governing provision of adoption services;

2. When the adoption agency commits any activity that may threaten the health, safety, or welfare of any adoption agency client, including, but not limited to the circumstances justifying license suspension, as prescribed in R21-9-236 ;

3. When the adoption agency commits fraud or intentional misrepresentation in obtaining or renewing its license;

4. When the adoption agency commits fraud or intentional misrepresentation in dealing with its clients;

5. When the adoption agency has obtained a birth parent's relinquishment and consent to adoption through duress, coercion, extortion, or intimidation;

6. When the adoption agency knowingly fails to advise an adoptive parent that the adoptive child has been abused while in the adoption agency's care or control; or

7. When the adoption agency violates its agreement with a client for provision of services.

B. OLR shall mail the adoption agency written notice of the revocation, the reason for the revocation, and an explanation of the adoption agency's right to appeal the revocation.

C. A revocation is effective:

1. Twenty-one days after receipt of the notice or letter advising the person of the revocation; or

2. In cases where the adoption agency appeals the revocation the revocation is effective under R21-1-307.

D. An adoption agency that has had its license revoked shall not perform adoption services after the effective date of the revocation and shall surrender its license to OLR.

E. An adoption agency that has had its license revoked shall cooperate with OLR to transfer all its clients to another adoption agency.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-238 Adverse Action: Procedures

A. When OLR takes adverse action against adoption agency applicant or adoption agency, OLR shall give the affected party written notice of such adverse action by first-class or registered mail.

B. For the purpose of this Section, the following are adverse actions:

1. Denial of an initial or renewal license, and

2. Suspension or revocation of a license.

C. The adverse action notice shall specify:

1. The action taken,

2. All reasons supporting such action,

3. The procedures by which the adoption agency may contest the action taken, and

4. Where the adoption agency may file an appeal.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-239 Appeals

A. An adoption agency applicant or adoption agency may appeal an adverse action other than imposition of a corrective action plan due to noncompliance status, by filing a written notice of appeal with OLR no later than 20 days after receipt of the notice or letter advising the adoption agency of the adverse action.

B. OLR shall conduct an appeal from an adverse action as prescribed in A.A.C. Title 21, Chapter 1, Article 3.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.

Ariz. Admin. Code § R21-9-240 International Adoptions

A. An adoption agency shall not accept a foreign child for adoptive placement in the United States unless the government of the foreign child's country of origin authorized the placement.

B. The adoption agency shall provide OLR with evidence of its authority from or agreements with a foreign country or placing organization (such as Hague Accreditation). If the evidence of authority is not written in English, the adoption agency shall provide an English language translation of the documentation by an independent translation service.

C. The adoption agency shall advise the adoptive parents of the need to have the child naturalized in the United States.

D. The adoption agency shall provide adoptive parents with information about the child's culture of origin.

History

• New section made by exempt rulemaking at 21 A.A.R. 3524, effective 1/24/2016.