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Residential Licensing Chapter 73. Child Placing Agencies⎯General Provisions §7301. Purpose A. It is the intent of the legislature to protect the health, safety, and well being of the children of the state who are in out-of-home care on a regular or consistent basis. Toward that end, it is the purpose of Chapter 14 of Title 46 of the Louisiana Revised Statutes of 1950 to establish statewide minimum standards for the safety and well being of children, to ensure maintenance of these standards, and to regulate conditions in these providers through a program of licensing. It shall be the policy of the state to ensure protection of all individuals placed by a provider and to encourage and assist in the improvement of provided services. It is the further intent of the legislature that the freedom of religion of all citizens shall be inviolate. §7303. Authority A. Legislative Provisions 1. The Child Care Facility and Child Placing Act 286 of 1985 as amended (R.S. 46:1401-1424) is the legal authority under which the department prescribes minimum standards for the health, safety and well-being of children placed in foster care and adoption. The rules are in LAC 67:V.Subpart 8, Chapter 73. 2. Public Law 96-272, the Adoption Assistance and Child Welfare Act of 1978 and Act 429 of 1981 Louisiana legislature made permanency planning for children in foster care a matter of federal and state law and public social policy. 3. Public Law 103-382, the Multiethnic Placement Act of 1994, the U.S. Constitution and Title VI of the Civil Rights Act of 1964 provide that an entity which receives federal financial assistance and is involved in adoption or foster care placements may not discriminate on the basis of the race, color or national origin of the adoptive or foster parent or the child involved. B. Facilities Requiring a License 1. Any institution, society, agency, corporation, facility, person or persons or any other group other than the parent(s) or guardian(s) of a child, engaged in placing a child or children in foster care and/or adoption in Louisiana or in placing a child or children from Louisiana into another state or foreign country is required to be licensed as follows or to work through a licensed agency in the state. a. Any agency with an office and staff within the state is required to have a license in Louisiana. b. Any out-of-state agency placing a child in Louisiana is required to have a license issued by the state in which the main office is located and have a 1 Louisiana license or make placements in Louisiana in cooperation with an agency licensed in Louisiana. c. A child placing agency (CPA) which is operated in conjunction with other programs subject to licensing shall obtain a license for each of the programs. C. Exemptions 1. The parent(s) or legal custodian(s) are authorized to place a child directly into a foster or adoptive home without a license. The parent(s) or custodian shall not be represented in placing the child(ren) by other than a licensed CPA. 2. Pursuant to ACT 64 of the 2010 Legislative Session, child placing agencies within the Department of Children and Family Services shall be exempt from the provisions of this Chapter. The department is authorized and mandated to perform its child-placing functions in accordance with the standards promulgated by the department for licensed child-placing agencies. D. Penalties. As stipulated in R.S. 46:1421, whoever operates any child care facility without a valid license shall be fined not less than $75 nor more than $250 for each day of such offense. E. Waiver Request 1. The secretary of the department, in specific instances, may waive compliance with a standard, as long as the health, safety, and well-being of the staff and/or the health, safety, rights or well-being of residents is not imperiled. Standards shall be waived only when the secretary determines, upon clear and convincing evidence, that the economic impact is sufficient to make compliance impractical for the provider despite diligent efforts, and when alternative means have been adopted to ensure that the intent of the regulation has been carried out. 2. Application for a waiver shall be made in writing and shall include: a. a statement of the provisions for which a waiver is being requested; and b. an explanation of the reasons why the provisions cannot be met and why a waiver is being requested. 3. The request for a waiver will be answered in writing and approvals will be maintained on file by the requesting provider and the department. The department shall document the reasons for granting the waiver. A waiver shall be granted for a period of one year or as specified by the secretary and will not be renewed if the basis for it no longer exists. If the provider has been granted a waiver by the department, the waiver will be identified on the survey report of any subsequent annual survey report. F. Variance Request 1. The secretary of the department, in specific instances, may grant an exception to the standards temporarily for the purposes of allowing emergency placement of a 2 child as long as the health, safety, and well-being of the child or other children in the home is not imperiled. 2. A request for a variance shall be made in writing and shall include a statement of the provisions for which the variance is being requested. 3. The request for a variance will be answered in writing and specify the period of time for which the variance is being granted. A variance may be granted for a length of time not to exceed 90 days, and may be renewed one time, for good cause shown, for an additional 90 day period not to exceed 180 days. §7305. Definitions Abuse—any one of the following acts which seriously endangers the physical, mental, or emotional health of the child: 1. the infliction, attempted infliction, or, as a result of inadequate supervision, the allowance of the infliction or attempted infliction of physical or mental injury upon the child by a parent or any other person; 2. the exploitation or overwork of a child by a parent or any other person; and 3. the involvement of the child in any sexual act with a parent or any other person, or the aiding or toleration by the parent or the caretaker of the child’s sexual involvement with any other person or of the child’s involvement in pornographic displays or any other involvement of a child in sexual activity constituting a crime under the laws of this state. Affiliate— 1. with respect to a partnership, each partner thereof; 2. with respect to a corporation, each officer, director and stockholder thereof; 3. with respect to a natural person, that person and any individual related by blood, marriage, or adoption within the third degree of kinship to that person; any partnership, together with any or all its partners, in which that person is a partner; and any corporation in which that person an officer, director or stockholder, or holds, directly or indirectly, a controlling interest; 4. with respect to any of the above, any mandatory, agent, or representative or any other person, natural or juridical acting at the direction of or on behalf of the licensee or applicant; or 5. director of any such. Child—a person who has not reached age eighteen or otherwise been legally emancipated. The words "child" and "children" are used interchangeably in this Chapter. Child Placing Agency—any institution, society, agency, corporation, facility, person or persons, or any other group engaged in placing children in foster care or with substitute parents for temporary care or for adoption or engaged in assisting or facilitating the adoption of children, or engaged in placing youth in transitional placing programs but shall not mean a person who may occasionally refer children for temporary care. Complaint—an allegation that any person is violating any provisions of these standards or engaging in conduct, either by omission or commission, that negatively affects the health, safety, rights, or welfare of any child who is receiving services from a CPA. 3 Criminal Background Check—the requirement of state law and federal funding rule for checking criminal records for certain offenses prior to employing an individual who will have access to a child in a CPA as well as for prospective foster or adoptive parents. Department—the Department of Children and Family Services. Director—the person with authority and responsibility for the on-site, daily implementation and supervision of the overall provider's operation. Disqualification Period—means the prescriptive period during which the department shall not accept an application from a provider. Any unlicensed operation during the disqualification period shall interrupt running of prescription until the department has verified that the unlicensed operation has ceased. Effective Date—the date of the revocation, denial, or non-renewal of a license shall be the last day for applying to appeal the action, if the action is not appealed. Facility—any place, program, facility or agency operated or required by law to operate under a license, including facilities owned or operated by any governmental, profit, nonprofit, private, or church agency. Foster Care—a social service that provides a planned period of substitute care in a foster home, a relative's home, or other living arrangements for children or youth when their families cannot or will not care for them. Foster Home—a private home of one or more persons who provide continuing 24hour substitute parenting for one to six children living apart from their parent(s) or guardian's and are placed for foster care under the supervision of the department or of a licensed child-placing provider. Foster Parent—an individual(s) who provides foster care with the approval and under the supervision of the department or of a licensed child-placing provider. Human Service Field—the field of employment similar or related to social services such as social work, psychology, sociology, special education, nursing, rehabilitation counseling, juvenile justice and/or corrections through which a person gains experience in providing services to the public and/or private children that serves to meet the years of experience required for a job as specified on the job description for that position. Home Study—an evaluation of a home environment conducted in accordance with applicable requirements of the state in which the home is located to determine whether a proposed placement of a child would meet the individual needs of the child, including the child's safety, permanency, health, well-being, and mental, emotional, and physical development. Injury of Unknown Origin—an injury where the source of the injury was not observed by any person or the source of the injury could not be explained by the child and the injury is suspicious because of the extent of the injury or the location of the injury (e.g., the injury is located in an area not generally vulnerable to trauma). Interstate Home Study—a home study conducted by a state at the request of another state to facilitate an adoptive or foster placement in the state of a child in foster care under the responsibility of the state. Legal Custody—the right to have physical custody of the child and to determine where and with whom the child shall reside; to exercise the rights and duty to protect, train, and discipline the child; the authority to consent to major medical, psychiatric, and surgical treatment; and to provide the child with food, shelter, education, and ordinary medical care, all subject to any residual rights possessed by the child's parents. 4 Legal Guardian—the caretaker in a legal guardianship relationship. This could be the parent or any provider representative. Legal Guardianship—the duty and authority to make important decisions in matters having a permanent effect on the life and development of the child and the responsibility for the child's general welfare until he reaches the age of majority, subject to any child rights possessed by the child's parents. It shall include the rights and responsibilities of legal custody. License—any license issued by the department to operate any child care facility or CPA as defined in R.S. 46:1403. Neglect—the refusal or unreasonable failure of a parent or caretaker to supply the child with necessary food, clothing, shelter, care, treatment, or counseling for any injury, illness, or condition of the child, as a result of which the child's physical, mental, or emotional health and safety is substantially threatened or impaired (Ch.C Art 603). Parent—any living person who is presumed to be a parent under the Civil Code or a biological or adoptive mother or father of a child. Provider—an entity that is responsible for the placement of children in foster care to include the Department of Children and Family Services and any private child placing provider licensed by the department. All owners or operators of a facility, including the director of such facility. If the owner is a corporate entity the owners are the officers, directors, and shareholders of the facility. Related or Relative—a natural or adopted child or grandchild of the caregiver or a child in the legal custody of the caregiver. Respite Care—temporary care provided by another individual or family to provide relief to a foster care parent or to allow an adjustment period for the child placed in outof-home care. Service Plan—a written plan of action usually developed between the family, child, social worker, and other service providers, that identifies needs, sets goals, and describes strategies and timelines for achieving goals. Specialized Foster Care—a foster care service to accommodate the needs of a child or youth who is unable to live with the child/youth’s own family and who has either an emotional, behavior, medical or developmental problem that requires more time consuming and specialized care with professional oversight based on the child's specific needs but whose needs prevent placement in a basic level foster home. Substantial Bodily Harm—a physical injury serious enough that a prudent person would conclude that the injury required professional medical attention. It does not include minor bruising, the risk of minor bruising, or similar forms of minor bodily harm that will resolve healthily without professional medical attention. Therapeutic Foster Care—a foster care service to accommodate the needs of a child or youth who require extremely time consuming, specialized care and supervision from a trained person, and ongoing, frequent professional oversight, based on the child's specific needs but whose needs prevent placement in a basic or specialized foster home. Transitional Placing Program—a program that places youth, at least 16 years of age, in an independent living situation supervised by a provider with the goal of preparing the youth for living independently without supervision. 5 Unlicensed Operation—operation of any child care facility or child-placing agency, at any location, without a valid, current license issued by the department. Variance—an exception granted temporarily for the purpose of emergency admittance of specific children. Volunteer—an individual who works for the provider and whose work is uncompensated. This may include students, interns, tutors, counselors, and other nonstaff individuals who may or may not work directly with the child. Persons who visit the provider solely for providing activities for the provider and who are not left alone with the child are not considered as volunteers. Waiver—an exemption granted by the secretary of the department, or designee, from compliance with a standard that will not place the child or staff member at risk. Youth⎯a person not less than sixteen years of age nor older than twenty one years of age. §7307. Licensing Requirements A. General Provisions 1. Before beginning operation, it is mandatory to obtain a license from the department. 2. In addition all facilities shall comply with the requirements of the Americans with Disabilities Act, 42 U.S.C. §12101 et seq. (ADA). B. Initial Licensing Application Process 1. An initial application for licensing as a CPA provider shall be obtained from the department. A completed initial license application packet for an applicant shall be submitted to and approved by department prior to an applicant providing CPA services. The completed initial licensing packet shall include: a. application and non-refundable fee; b. Office of Fire Marshal approval for occupancy; if applicable; c. Office of Public Health, Sanitarian Services approval, if applicable; d. city fire department approval, if applicable; e. city or parish building permit office approval, if applicable; f. local zoning approval, if applicable; g. copy of proof of current general liability and property insurance for facility; h. copy of proof of insurance for vehicle(s); i. organizational chart or equivalent list of staff titles and supervisory chain of command; j. director résumé and proof of educational requirement; k. supervisor and case manager résumé and proof of educational requirement; l. list of consultant/contract staff to include name, contact info and responsibilities; m. copy of program plan; n. copy of table of contents of all policy and procedure manuals; o. copy of evacuation plan, if applicable; p. copy of house rules and regulations, if applicable; q. copy of grievance process; r. a floor sketch or drawing of the premises to be licensed, if applicable; and 6 s. any other documentation or information required by the department for licensure. 2. If the initial licensing packet is incomplete, the applicant will be notified of the missing information and will have 10 working days to submit the additional requested information. If the department does not receive the additional requested information within the 10 working days, the application will be closed. After an initial licensing application is closed, an applicant who is still interested in becoming a CPA shall submit a new initial licensing packet with a new application fee to start the initial licensing process. Once the department has determined the application is complete, the applicant will be notified to contact the department to schedule an initial survey. If an applicant fails to contact the department and coordinate the initial survey within 45 days of the notification, the initial licensing application shall be closed. After an initial licensing application is closed, an applicant who is still interested in becoming a CPA shall submit a new initial licensing packet with a new application fee to re-start the initial licensing process. C. Initial Licensing Survey 1. Prior to the initial license being issued to the CPA, an initial licensing survey shall be conducted on-site at the CPA to assure compliance with all licensing standards. The initial licensing survey shall be an announced survey. No resident shall be provided services by the CPA until the initial licensing survey has been performed and the department has issued an initial license. 2. In the event the initial licensing survey finds the CPA is compliant with all licensing laws and standards, and is compliant with all other required statutes, laws, ordinances, rules, regulations, and fees, the department may issue a full license to the provider after receipt of the annual licensing fee as prescribed by the department. The license shall be valid until the expiration date shown on the license, unless the license is modified, extended, revoked, suspended, or terminated. 3. In the event the initial licensing survey finds the CPA is noncompliant with any licensing laws or standards, or any other required statutes, laws, ordinances, rules, or regulations that present a potential threat to the health, safety, or welfare of the participants, the department shall deny the initial license. 4. In the event the initial licensing survey finds that the CPA is noncompliant with any licensing laws or standards, statutes, laws, ordinances, or rules but the department, in its sole discretion, determines that the noncompliance does not present a threat to the health, safety, or welfare of the participants, the department may issue an initial license for a period not to exceed three months. The provider shall submit a corrective action plan to the department. The corrective action plan shall include a description of how the deficiency shall be corrected and the date by which corrections shall be completed. The department must approve the corrective action plan prior to issuing the initial license. If the department determines, prior to the expiration date of the initial license, that such noncompliance or deficiencies have been corrected, a license will be issued. If the department determines that such noncompliance or deficiencies have not been corrected, the license will 7 5. 6. 7. 8. 9. expire and all operations shall cease. The provider shall be required to begin the initial licensing process again by submitting a new initial license application packet and fee. The license shall be displayed in a prominent place at the CPA except that those operated by a church or religious organization may be exempt from such requirement provided the license is available upon request. Once a CPA has been issued a license, the department shall conduct licensing and other surveys at intervals deemed necessary by the department to determine compliance with licensing standards, as well as, other required statutes, laws, ordinances, rules, regulations, and fees. These surveys shall be unannounced. The department shall remove any child or all children from any home or when it is determined that one or more deficiencies exist within the home that place the health and well being of the child or children in imminent danger. The child or children shall not be returned to the home until such time as it is determined that the imminent danger has been removed. Department staff shall be given access to all areas of the facility and to all relevant files during any licensing or other survey. They shall be allowed to interview any provider staff or participant as necessary to conduct the survey. If an applicant or member of his/her immediate family has had a previous license revoked, refused or denied, upon reapplication, the applicant shall provide written evidence that the reason for such revocation, refusal or denial no longer exists. D. Fees 1. There shall be an annual fee as prescribed by the department for a license or renewed license, payable to the department 30 days prior to the date of issuance by certified check or money order. Non-payment of fee by due date may result in revocation of licensing. 2. Other license fees include: a. replacement fee of $25 for replacing a license when changes are requested, i.e., change in capacity, name change, age range, etc. No replacement charge will be incurred when the request coincides with the regular renewal of a license; b. a processing fee of $5 for issuing a duplicate license with no changes. E. Renewal of License 1. The license shall be renewed on an annual basis. 2. The provider shall submit, at least 60 days prior to its license expiration date, a completed renewal application form and applicable fee. The following documentation must also be included: a. Office of Fire Marshal approval for occupancy; b. Office of Public Health, Sanitarian Services approval; c. city fire department approval, if applicable; d. copy of proof of current general liability and property insurance for facility; and e. copy of proof of insurance for vehicle(s). 3. Prior to renewing the CPA license, an on-site survey shall be conducted to assure compliance with all licensing laws and standards. If the CPA is found to be in 8 4. 5. 6. 7. compliance with the licensing laws and standards, and any other required statutes, laws, ordinances, or regulations, the license shall be renewed for a 12 month period. In the event the annual licensing survey finds the CPA is non-compliant with any licensing laws or standards, or any other required statutes, ordinances or regulations but the department, in its sole discretion, determines that the noncompliance does not present a threat to the health, safety, or welfare of the participants, the provider shall be required to submit a corrective action plan to the department for approval. The department shall specify the timeline for submitting the corrective action plan based on such non-compliance or deficiencies cited but no later than 10 days from the date of notification. The corrective action plan shall include a description of how the deficiency shall be corrected and the date by which correction(s) shall be completed. Failure to submit an approved corrective action plan timely shall be grounds for non-renewal. If it is determined that such noncompliance or deficiencies have not been corrected prior to the expiration of the license, the department may issue an extension of the license not to exceed to 60 days. When it is determined by the department that such noncompliance or deficiencies have been corrected, a license will be issued for a period not to exceed 12 months. If it is determined that all areas of noncompliance or deficiencies have not been corrected prior to the expiration date of the extension, the department may revoke the license. F. Notification of Changes 1. A license is not transferable to another person or location. 2. When a provider changes location, it is considered a new operation and a new application and fee for licensure shall be submitted 30 days prior to the anticipated move. All items listed in §7307.B.1 shall be in compliance for the new location. An onsite survey is required prior to change of location. 3. When a provider is initiating a change in ownership a written notice shall be submitted to the department. Within five working days of the change of ownership, the new owner shall submit a completed application, the applicable licensing fee and a copy of bill of sale or a lease agreement. 4. The provider shall provide written notification to the department within 30 days of changes in administration and professional personnel, program direction and admission criteria. A statement to the qualifications of the new employee shall be sent to the office. G. Denial, Revocation, or Non-renewal of License 1. An application for a license may be denied, revoked or not renewed for any of the following reasons: a. cruelty or indifference to the welfare of the residents in care; b. violation of any provision of the standards, rules, regulations, or orders of the department; c. disapproval from any whose approval is required for licensing; 9 d. nonpayment of licensing fee or failure to submit a licensing application; e. any validated instance of abuse, neglect, corporal punishment, physical punishment, or cruel, severe or unusual punishment, if the owner is responsible or if the staff member who is responsible remains in the employment of the licensee; f. the facility is closed with no plans for reopening and no means of verifying compliance with minimum standards for licensure; or g. any act of fraud such as falsifying or altering documents required for licensure; h. provider refuses to allow the Licensing Section to perform mandated duties, i.e., denying entrance to the facility, lack of cooperation for completion of duties, intimidating or threatening DCFS staff, etc. 2. Even if a facility is otherwise in substantial compliance with these standards, an application for a license may be denied, revoked or not renewed for any of the following reasons: a. the owner, director, officer, board of directors member, or any person designated to manage or supervise the provider or any staff providing care, supervision, or treatment to a resident of the facility has been convicted of or pled guilty or nolo contendere to any offense listed in R.S. 15:587.1. A copy of a criminal record check performed by the Louisiana State Police (LSP) or other law enforcement provider, or by the Federal Bureau of Investigation (FBI), or a copy of court records in which a conviction or plea occurred, indicating the existence of such a plea or conviction shall create a rebuttal presumption that such a conviction or plea exists; b. the provider, after being notified that an officer, director, board of directors member, manager, supervisor or any employee has been convicted of or pled nolo contendere to any offense referenced above, allows such officer, director, or employee to remain employed, or to fill an office of profit or trust with the provider. A copy of a criminal record check performed by the LSP or other law enforcement provider, or by the FBI, or a copy of court records in which a conviction or plea occurred, indicating the existence of such a plea or conviction shall create a reputable presumption that such a conviction or plea exists; c. failure of the owner, director or any employee to report a known or suspected incident of abuse or neglect to child protection authorities; d. revocation or non-renewal of a previous license issued by a state or federal provider; e. a substantial history of non-compliance with licensing statutes or standards, including but not limited to failure to take prompt action to correct deficiencies, repeated citations for the same deficiencies, or revocation or denial of any previous license issued by the department; f. failure to timely submit an application for renewal or to timely pay required fees; and/or g. operating any unlicensed facility and/or program. 3. If a license is revoked, denied or refused, a license may also be denied or refused to any affiliate of the licensee or applicant. For the purpose of this Section, "affiliate" means: 10 a. with respect to a partnership, each partner thereof; b. with respect to a corporation, each officer, director and stockholder thereof; and c. with respect to a natural person: anyone related within the third degree of kinship to that person; each partnership and each partner thereof which that person or any affiliate of that person is a partner; and each corporation in which that person or any affiliate of that person is an officer, director or stockholder. 4. In the event a license is revoked or renewal is denied, (other than for cessation of business or non-operational status), or voluntarily surrendered to avoid adverse action any owner, officer, member, manager, director or administrator of such licensee shall be prohibited from owning, managing, directing or operating another licensed facility for a period of not less than two years from the date of the final disposition of the revocation or denial action. The lapse of two years shall not automatically restore a person disqualified under this provision to eligibility for employment. The department, at its sole discretion, may determine that a longer period of disqualification is warranted under the facts of a particular case. H. Posting of Notices of Revocation 1. The notice of revocation of the license shall be prominently posted. a. The Department of Children and Family Services shall prominently post a notice of revocation action at each public entrance of the CPA within one business day of such action. This notice must remain visible to the general public, other placing agencies, parents, guardians, and other interested parties who are involved with children who attend the child care facility. b. It shall be a violation of these rules for a provider to permit the obliteration or removal of a notice of revocation that has been posted by the department. The provider shall ensure that the notice continues to be visible the general public, other placing agencies, parents, guardians, and other interested parties throughout the pendency of any appeals of the revocation. c. The provider shall notify the department’s licensing section in writing immediately if the notice is removed or obliterated. d. Failure to maintain the posted notice of revocation required under these rules shall be grounds for denial, revocation or non-renewal of any future license. I. Disqualification of Facility and Provider 1. If a facility’s license is revoked or not renewed due to failure to comply with state statutes and licensing rules, the department shall not accept a subsequent application from the provider for that facility or any new facility for a minimum period of two years after the effective date of revocation or non-renewal or a minimum period of two years after all appeal rights have been exhausted, whichever is later (the disqualification period). Any pending application by the same provider shall be treated as an application for a new facility for purposes of this section and shall be denied and subject to the disqualification period. Any subsequent application for a license shall be reviewed by the secretary or her designee prior to a decision being made to grant a license. The department reserves the right to determine, at its sole discretion, whether to issue any subsequent license. 11 2. Any voluntary surrender of a license by a facility facing the possibility of adverse action against its license (revocation or non-renewal) shall be deemed to be a revocation for purposes of this rule, and shall trigger the same disqualification period as if the license had actually been revoked. 3. In addition, if the applicant has had a substantial history of non-compliance, including but not limited to revocation of a previous license, operation without a license, or denial of one or more previous applications for licensure, the department may refuse to accept a subsequent application from that applicant for a minimum period of 24 months after the effective date of denial. 4. With respect to an application in connection with the revoked, denied, or not renewed facility, the disqualification period provided in this Section shall include any affiliate of the provider. J. Appeal Process 1. If the department refuses to grant or renew a license, if a license is revoked, the procedure will be as follows. a. The department shall notify the licensee, or applicant in writing of the denial or revocation and the reasons for that denial or revocation and the right of appeal. b. The program director or owner may appeal this decision by submitting a written request with the reasons to the secretary, Department of Children and Family Services, Bureau of Appeals, P. O. Box 2994, Baton Rouge, LA 70821-9118. This written request shall be postmarked within 15 days of the receipt of the notification in §7107.H.1 above. c. The Division of Administrative Law shall set a hearing to be held within 30 days after receipt of such a request except as provided in the Administrative Procedures Act. d. An administrative law judge shall conduct the hearing. Within 90 days after the date the appeal is filed, the administrative law judge shall notify the appellant in writing of the decision, either affirming or reversing the original decision. If the department’s decision is upheld, the facility shall terminate operation immediately. 2. If the facility continues to operate without a license, the department may file suit in the district court in the parish in which the facility is located for injunctive relief. K. Voluntary Closure 1. When a licensee voluntarily ceases operation, the licensee shall notify the department in writing at least 30 days before the closure date. 2. The provider shall make adequate preparation and arrangements for the care, custody and control of any children in the custody and/or care of the provider. 3. The provider shall make arrangements for the preservation of records. L. Complaint Process 1. In accordance with R.S. 46:1418, the department shall investigate all complaints (except complaints concerning the prevention or spread of communicable diseases), including complaints alleging abuse or neglect, within prescribed time 12 2. 3. 4. 5. 6. frames as determined by the department based on the allegation(s) of the complaint. All complaint investigation will be initiated within 30 days. All complaint surveys shall be unannounced surveys. A written report of any noncompliance or deficiencies will be given to the provider. The provider shall be required to submit a corrective action plan to the department for approval. The department shall specify the timeline for submitting the corrective action plan based on the areas of non-compliance cited but no later than 10 days from the date of receipt of the notification. The corrective action plan shall include a description of how the deficiency shall be corrected and the date by which corrections shall be completed. If it is determined that all areas of noncompliance or deficiencies have not been corrected, the department may revoke the license. Except in cases alleging abuse or neglect, the complainant will be notified in writing of the results of the complaint investigation conducted by the department’s licensing section. If, because of the nature of the allegations, state law or department policy requires that the complaint be handled by another office, or board (including another office or board within the department), the complaint will be referred to the appropriate office or board without delay. Upon such referral, except in cases involving abuse or neglect, the complainant will be notified, in writing, of the referral. The complaint procedure shall be posted conspicuously in the facility including the name, address, and telephone number of the required department units to be notified. §7309. Administration and Operation A. Department Access 1. The provider shall allow representatives of the department in the performance of their mandated duties to inspect all aspects of a program's function that impacts on children and to interview any staff member or child. The department representatives shall be admitted immediately and without delay, and shall be given free access to all areas of a facility, including its grounds. 2. The provider shall make any information that the provider is required to have under the present standards, and any information reasonably related to determination of compliance with these standards available to the department. The children's rights shall not be considered abridged by this standard. B. Other Jurisdictional Approvals 1. The provider shall comply and show proof of compliance with all relevant standards, regulations and requirements established by federal, state, local and municipal regulatory bodies. 2. Except for a child in the custody of or otherwise made the legal responsibility of the department or the Department of Corrections, Office of Juvenile Justice, the provider shall be responsible for obtaining the following: a. agreement for voluntary care signed by the custodian; or b. order from a court of competent jurisdiction placing the child into the custody of the child-placing provider. 13 C. Governing Body. The provider shall have an identifiable governing body with responsibility for and authority over the policies, procedures and activities of the provider. 1. The provider shall have documents identifying all members of the governing body, their addresses, the term of their membership (if applicable), officers of the governing body (if applicable) and the terms of office of all officers (if applicable). 2. When the governing body of a provider is composed of more than one person, the governing body shall hold formal meetings at least twice a year. 3. When the governing body is composed of more than one person, a provider shall have written minutes of all formal meetings of the governing body and bylaws specifying frequency of meetings and quorum requirements. D. Responsibilities of a Governing Body. The governing body of the provider shall: 1. ensure the provider's compliance and conformity with the provider's charter; 2. ensure the provider's continual compliance and conformity with all relevant federal, state, local and municipal laws and standards; 3. ensure the provider is adequately funded and fiscally sound by reviewing and approving the provider's annual budget or cost report; 4. ensure the provider is housed, maintained, staffed and equipped appropriately considering the nature of the provider's program; 5. designate a person to act as director and delegate sufficient authority to this person to manage the provider; 6. formulate and annually review, in consultation with the director, written policies and procedures concerning the provider's philosophy, goals, current services, personnel practices and fiscal management; 7. have the authority to dismiss the director; 8. meet with designated representatives of the department whenever required to do so; 9. inform designated representatives of the department prior to initiating any substantial changes in the program, services or physical location of the provider. E. Authority to Operate 1. A private provider shall have documentation of its authority to operate under state law. 2. A privately owned provider shall have documentation identifying the names and addresses of owners. 3. A corporation, partnership or association shall identify the names and addresses of its members and officers and shall, where applicable, have a charter, partnership agreement, constitution, and articles of association or bylaws. F. Accessibility of Director. The director, or a person authorized to act on behalf of the director, shall be accessible to provider staff or designated representatives of the department at all times (24 hours per day, 7 days per week). 14 G. Statement of Philosophy 1. The provider shall have a written statement of its child placing philosophy, purpose and program. The statement shall contain a description of all the services the provider provides to include: a. the extent, limitation, and scope of the services for which a license is sought; b. the geographical area to be served; and c. the ages and types of children to be accepted for placement. 2. The statement shall be one that has been adopted by the governing body. When the provider is operated under a charter or articles of incorporation, all of its functions shall be stated therein. 3. When a provider adds a new function to its program, its governing body shall adopt a supplementary statement of such function. H. Policies and Procedures 1. The provider shall have a clearly defined intake policy in keeping with its stated purpose and it should be clear from the practices of the provider that it is carrying out these purposes. a. Provider intake policy shall prohibit discrimination on the basis of race, color, creed, sex, national origin, handicapping condition, or ancestry. b. A provider shall have a written description of admission policies and criteria which expresses the needs, problems, situations or patterns best addressed by its program. These policies shall be available to the legally responsible person for any child referred for placement. 2. The provider shall have operational and program policy and procedure manuals that are current and clearly stated in writing to ensure the practices of the provider are in keeping with its stated purpose and with minimum requirements for child placement. 3. The provider policies and procedures shall cover such areas as: a. personnel; b. admission; c. social services related to child placement; d. financial arrangements; e. medical care; f. personal care and supervision for children; g. discipline; h. resource development and utilization; i. social services related to post-placement; j. abuse and neglect; k. confidentiality; l. records; m. complaints; and n. grievances. 4. The provider shall develop written policies and procedures regarding employees of the provider serving as a foster parent or respite care provider. 5. The provider shall develop written policies and procedures that address the prevention or appearance of: 15 a. a conflict of interest; or b. misuse of influence. I. Location and Equipment 1. The provider shall provide suitable space for the following purposes: a. office and reception areas which provide comfort, safety, privacy, and convenience for children and staff; b. areas for confidential interviewing with parent(s) and children and visitation between parent(s) and children if applicable to the program; c. storage areas for personnel and child records which provide controlled access, retrieval, and confidentiality. 2. The provider shall maintain suitable equipment in good working condition for the operation of the office and the functioning of the staff. 3. The provider shall provide furnishings which are clean and safe. 4. The provider shall assist children and families in arranging transportation necessary for implementing the child's service plan. 5. The provider shall have means of transporting children which are equipped with safety seats in accordance with the laws and standards. 6. The provider and staff shall maintain and operate vehicles used for transporting children in safe condition, in conformity with appropriate motor vehicle laws and standards. 7. The provider shall carry liability insurance or determine that it is carried on all offices and vehicles used for providing services and transporting children. §7311. Provider Responsibilities A. Human Resources 1. Policies and Procedures. The provider shall have written policies and procedures that include: a. a plan for recruitment, screening, orientation, ongoing training, development, supervision, and performance evaluation of staff members to include contract services and volunteers; b. written job descriptions for each staff position including volunteers; c. health screening of all staff in accordance with public health guidelines to include screening for communicable diseases; d. an employee grievance process; e. abuse and neglect reporting procedures that require all employees to report any incidents of abuse or neglect whether that abuse or neglect is done by another staff member, a family member, a child, or any other person; and f. preventing discrimination. 2. Personnel Requirements a. The provider shall employ a sufficient number of qualified staff and delegate sufficient authority to such staff to perform the following functions: i. administrative; ii. fiscal; iii. clerical; 16 b. c. d. e. f. iv. child services; v. record keeping and reporting; vi. social service; and, vii. ancillary services. The provider shall ensure that all staff members are properly certified or licensed as legally required and appropriately qualified for their position. Personnel can work in more than one capacity as long as they meet all of the qualifications of the position and have met the trainings requirements. In all instances, child placement staff shall include a person meeting the qualifications of a supervisor of placement services. A staff person shall be delegated supervisory authority and responsibility in the short-term absence of the supervisor of placement services for illness, vacation, jury or military duty, professional seminars and meetings or in short-term periods when the position is vacant. A person serving as acting supervisor shall meet the qualifications of supervisor of placement services. If there is no one on staff who meets the qualification, the provider may meet the minimum requirements for licensing by entering into an agreement with another provider for supervision or by entering into a contractual agreement with a private practitioner who meets the qualifications and is a board certified social worker. 3. Personnel Qualifications a. Director. The director shall meet one of the following qualifications: i. a bachelor's degree in a human service field or business administration, public administration, childcare administration plus three years experience relative to the population being served. One year of administrative experience in social services may be substituted for two years of regular experience. A master's degree plus two years of social service experience may be substituted for the three years of experience. An alternative may be a bachelor of social work (BSW) degree or professional equivalent with three years experience working with children, one year of which may be experience in administration; or ii. a master’s degree in health care administration or in a human service related field; or iii. in lieu of a degree, six years of administrative experience in health or social services, or a combination of undergraduate education and experience for a total of six years. 4. Personnel Job Duties a. The director shall be responsible for: i. implementing and complying with policies and procedures adopted by the governing body; ii. adhering to all federal and state laws and standards pertaining to the operation of the provider; iii. address areas of non-compliance identified by annual survey and complaint investigations; 17 iv. directing the program; v. representing the provider in the community; vi. delegating appropriate responsibilities to other staff including the responsibility of being in charge of the provider during their absence; vii. recruiting qualified staff and employing, supervising, evaluating, training and terminating employment of staff; viii. providing leadership and carrying supervisory authority in relation to the provider; ix. providing consultation to the governing body in carrying out their responsibilities, interpreting to them the needs of children, making needed policy revision recommendations and assisting them in periodic evaluation of the provider's services; x. preparing the annual budget for the governing body's consideration, keeping the body informed of financial needs, and operating within the established budget; xi. supervising the provider's management including building, maintenance and purchasing; xii. participating with the governing body in interpreting the provider's need for financial support; xiii. establishing effective communication between staff and children and providing for their input into program planning and operating procedures; xiv. reporting injuries, deaths and critical incidents involving children to the appropriate authorities; xv. supervising the performance of all persons involved in any service delivery/direct care to children; and, xvi. completing an annual performance evaluation of all staff. For any person who interacts with children, a provider's performance evaluation procedures shall address the quality and quantity of their work. 5. Orientation a. The provider's orientation program shall include the following topics for all staff within 15 working days of the date of employment: i. philosophy, organization, program, practices and goals of the provider; ii. specific responsibilities of assigned job duties; iii. administrative procedures; iv. children's rights; v. detecting and reporting suspected abuse and neglect; vi. confidentiality; and vii. reporting incidents. b. All staff shall sign a statement of understanding certifying that such training has occurred. c. A new employee shall not be given sole responsibility until training is completed. 6. Annual Training 18 a. The provider shall ensure that all staff receives training on an annual basis in the following topics: i. administrative procedures and programmatic goals; ii. children's rights; iii. detecting and reporting suspected abuse and neglect; iv. confidentiality; and v. reporting incidents. b. All staff shall sign a statement of understanding certifying that such training has occurred. c. The provider shall maintain sufficient information available to determine content of training. This information shall be available for review. 7. Volunteers a. Providers who utilize volunteers to perform staff functions shall: i. have orientation, training, and be given a job description for the duties they are to perform; ii. have a criminal background check as required in R.S. 15:587.1 and R.S. 46:51.2; iii. have a completed state central registry disclosure form prepared by the department whether or not his/her name is currently recorded on the state central registry for a justified finding of abuse or neglect and he/she is the named perpetrator as required in R.S. 46.1414.1. B. Record Keeping 1. Administrative Records a. The provider shall have an administrative file that shall contain, at a minimum, the following: i. a written program plan describing the services and programs offered by the provider; ii. organizational chart of the provider; iii. all leases, contracts and purchase-of-service agreements to which the provider is a party; iv. insurance policies. Every provider shall maintain in force at all times a comprehensive general liability insurance policy. This policy shall be in addition to any professional liability policies maintained by the provider and shall extend coverage to any staff member who provides transportation for any resident in the course and scope of his/her employment; v. all written agreements with appropriately qualified professionals, or a state provider, for required professional services or resources not available from employees of the provider; and, vi. written documentation of all residents’ exits and entrances from provider property not covered under summary of attendance and leave. Documentation must include, at a minimum, date, time and destination. 2. Personnel Records 19 a. The provider shall have a personnel file for each employee that shall contain, at a minimum, the following: i. the application for employment, including the resume of education, training, and experience, if applicable; ii. a criminal background check in accordance with state law; iii. evidence of applicable professional or paraprofessional credentials/certifications according to state law; iv. documentation of any state or federally required medical examinations or testing; v. documentation of employee's orientation and annual training received; vi. employee’s hire and termination dates; vii. documentation of current driver's license for operating provider or private vehicles in transporting residents; viii. annual performance evaluations to include his/her interaction with residents, family, and other providers; ix. personnel action, other appropriate materials, reports and notes relating to the individual's employment with the provider; and, x. annual state central registry disclosure form prepared by the department whether or not his/her name is currently recorded on the state central registry for a justified finding of abuse or neglect and he/she is the named perpetrator. b. Staff shall have reasonable access to his/her file and shall be allowed to add any written statement he/she wishes to make to the file at any time. c. The personnel file of staff shall be retained for at least three years after termination of employment. 3. Accounting Records a. The provider shall establish a system of business management and staffing to assure maintenance of complete and accurate accounts, books and records. b. The provider shall ensure that all entries in records are legible, signed by the person making the entry and accompanied by the date on which the entry was made. c. All records shall be maintained in an accessible, standardized order and format, and shall be retained and disposed of according to state and federal law. d. The provider shall have sufficient space, facilities and supplies for providing effective accounting record keeping services. 4. Confidentiality and Retention of Case Records a. The provider shall have written policies and procedures for the maintenance, security and retention of records. The provider shall specify who shall supervise the maintenance of records, who shall have custody of records, and to whom records may be released and disposition or destruction of closed service record materials. Records shall be the property of the provider, and the provider, as custodian, shall secure records against loss, tampering or unauthorized use or access. b. The provider shall maintain the confidentiality of all children's records to include all court related documents, as well as, educational and medical records. Every 20 c. d. e. f. g. h. i. j. k. employee of the provider has the obligation to maintain the privacy of the child and his/her family and shall not disclose or knowingly permit the disclosure of any information concerning the child or his/her family, directly or indirectly, to other children in the provider or any other unauthorized person. When the child is of majority age and not interdicted, a provider shall obtain the child's written, informed permission prior to releasing any information from which the child or his/her family might be identified, except for authorized state and federal agencies. When the child is a minor or is interdicted, the provider shall obtain written, informed consent from the legal guardian(s) prior to releasing any information from which the child might be identified, except for accreditation teams and authorized state and federal agencies. The provider shall, upon written authorization from the child or his/her legal guardian(s), make available information in the record to the child, his/her counsel or the child’s legal guardian(s). If, in the professional judgment of the administration of the provider, it is felt that information contained in the record would be injurious to the health or welfare of the child, the provider may deny access to the record. In any such case, the provider shall prepare written reasons for denial to the person requesting the record and shall maintain detailed written reasons supporting the denial in the child's file. The provider may use material from the child’s’ records for teaching and research purposes, development of the governing body's understanding and knowledge of the provider's services, or similar educational purposes, provided names are deleted, other identifying information are disguised or deleted, and written authorization is obtained from the child or his/her legal guardian(s). All records shall be retained and disposed of in accordance with state and federal laws. Any person who violates the requirement of confidentiality shall be fined not more than five hundred dollars or imprisoned for not more than ninety days or both. The provider must maintain the original records in an accessible manner for a period of five years following the death or discharge of a child. In the event of a change of ownership, the child records shall remain with the provider. If the provider closes, the owner of the provider within the state of Louisiana shall store the child records for five years. The provider is responsible for training all staff at least annually in confidentiality of information and records. C. Incidents 1. Critical Incidents. The provider shall have written policies and procedures for documenting, reporting, investigating and analyzing all critical incidents. a. The provider shall report any of the following critical incidents to the Child Protection Unit located in the parish in which the provider is located. The Child Protection Unit shall be responsible for notifying the DCFS Licensing Section, when it is identified that a potential non-compliance of a licensing standard has occurred: 21 i. abuse; ii. neglect; iii. injuries of unknown origin; or iv. death. b. The provider shall report any of the following critical incidents to the DCFS Licensing Section: i. attempted suicide; ii. serious threat or injury to the child’s health, safety or well-being, i.e. elopement or unexplained absence of a child; iii. injury with substantial bodily harm while in seclusion or during use of personal restraint; or iv. unplanned hospitalizations, emergency room visits, and walk-in or other outpatient emergency care visit. c. The director or designee shall: i. immediately verbally notify the legal guardian of the incident; ii. immediately verbally notify the appropriate law enforcement authority in accordance with state law; iii. submit the mandated critical incident report form within 24 hours of the incident to the appropriate unit as identified above based on the type of critical incident; iv. submit a final written report of the incident, if indicated, to the appropriate unit identified above base on the type of critical incident as soon as possible but no later than five working days; v. submit a final written report of the incident to the legal guardian as soon as possible but no later than five working days; and vi. conduct an analysis of the incident and take appropriate corrective steps to prevent future incidents from occurring. vii. maintain copies of any written reports or notifications in the child’s record. 2. Other Incidents. The provider shall have written policies and procedures for documenting, reporting, investigating and analyzing all documenting, reporting, investigating and analyzing all other accidents, incidents and other situations or circumstances affecting the health, safety or well-being of a child or children. a. The provider shall initiate a detailed report of any other unplanned event or series of unplanned events, accidents, incidents and other situations or circumstances affecting the health, safety or well-being of a child or children excluding those identified in C.1.a. above within 24 hours of the incident. At a minimum, the incident report shall contain the following: i. date and time the incident occurred; ii. a brief description of the incident; iii. where the incident occurred; iv. any child or staff involved in the incident; v. immediate treatment provided, if any; vi. symptoms of pain and injury discussed with the physician; vii. signature of the staff completing the report; 22 viii. name and address of witnesses; ix. date and time the legal guardian was notified; x. any follow-up required; xi. preventive actions to be taken in the future; and xii. any documentation of supervisory and administrative reviews. b. A copy of all written reports shall be maintained in the child’s record. D. Abuse and Neglect 1. The provider shall have a written policy and procedure for detecting and reporting suspected abuse or neglect that: a. describes communication strategies used by the provider to maintain staff awareness of abuse prevention, current definitions of abuse and neglect, mandated reporting requirements to the child protection provider and applicable laws; b. ensures the child is protected from potential harassment during the investigation; c. addresses when an examination by a medical professional is indicated; d. ensures that any staff member who abuses or neglects a child will be disciplined; e. ensures the staff member involved in the incident does not work directly with the child involved in the allegation(s) until an internal investigation is conducted by the provider or the child protection unit makes an initial report; f. ensures the staff member that may have been involved in the incident is not involved in conducting the investigation; g. ensures that confidentiality of the incident is protected. 2. Any case of suspected child abuse or neglect shall be reported according to the guidelines outlined in the Children's Code Articles Ch.C. 609 and Ch.C. 610. E. Children's Rights 1. Provider Responsibility a. The provider shall have written policies and procedures that ensure each child’s rights are guaranteed and protected. b. None of the child’s rights shall be infringed upon or restricted in any way unless such restriction is necessary to the resident's individual service plan. When individual rights restrictions are implemented, the provider shall clearly explain and document any restrictions or limitations on those rights, the reasons that make those restrictions medically necessary in the child's individual service plan and the extent and duration of those restrictions. The documentation shall be signed by provider staff, the child and the child's legal guardian(s) or parent(s), if indicated. No service plan shall restrict the access of a child to legal counsel or restrict the access of state or local regulatory officials to a resident. c. Children with disabilities have the rights guaranteed to them under the Americans with Disabilities Act (ADA), 42 U.S.C. §12101 et seq. and regulations promulgated pursuant to the ADA, 28 C.F.R. Parts 35 and 36 and 49 C.F.R. Part 37; §504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. §794, and regulations promulgated pursuant thereto, including 45 C.F.R. Part 23 84. These include the right to receive services in the most integrated setting appropriate to the needs of the individual; to obtain reasonable modifications of practices, policies, and procedures where necessary (unless such modifications constitute a fundamental alteration of the provider’s program or pose undue administrative burdens); to receive auxiliary aids and services to enable equally effective communication; to equivalent transportation services; and to physical access to a provider’s facilities. 2. Privacy a. A child has the right to personal privacy and confidentiality. Any records and other information about the child shall be k