Wyo. Code R. 049-0029-2
Providers of Substitute Care Services, Certification of
Chapter 2: Certification Process
Effective Date: 09/03/2021 to Current
Rule Type: Current Rules & Regulations
Reference Number: 049.0029.2.09032021
(a) All organizations with programs covered by these rules shall request regular certification and recertification in accordance with these rules. The application for certification or recertification shall be completed and signed by the Board of Directors or owner of the organization/program.
(b) Upon receipt of an organization's need assessment and application for certification, DFS has thirty (30) calendar days to complete the process for certification.
(c) Interpretation of these rules is the sole responsibility of DFS.
(d) Each organization desiring recertification from DFS shall request recertification not less than 120 days prior to the expiration date of the current certification.
(e) Upon receipt of a request for certification/recertification, DFS shall make or cause to be made a review of organization documents that demonstrate compliance with these rules and make or cause to be made one (1) or more on-site inspections of the organization.
(f) Considering the information on hand and the result of the on-site inspection, DFS shall certify/recertify the organization if the organization meets these rules for the particular area of service and the organization complies with applicable federal, state and local laws, as well as the rules of DFS.
(g) Certification under these rules is for the provision of services to children unless otherwise required by court order or statute. (See Chapter 1, Section 2 herein.) Children who entered the program as a minor and who reach the age of majority and are still receiving services from the organization must not share bedrooms with the minor population. When the organization is serving children who have reached the age of majority while in the facility, the facility shall notify the certifying authority and submit a variance request.
(h) Each certificate is issued for the premises and persons or governmental units named in the certificate and is neither transferable nor assignable.
(i) If the recertification process is not completed by fault of DFS and the organization has met its obligations for recertification, prior certification issued by DFS shall remain in effect until the recertification process is completed by DFS.
(j) The Certifying Authority means DFS or its designee operating as the governmental agency which issues certificates, makes inspections, enforces standards, and handles all administrative details relating to enforcement of child care facilities certification.
(k) The Child Care Certification Board means the board made up of not more than 15 members reflecting statewide representation which acts as the board of review for all contested case hearing requests.
(a) All organizations with approved programs shall be issued a one (1) year certificate.
(i) When a program or organization has established a history free of substantial violations (as determined by the Certifying Authority) for two (2) consecutive years, a two (2) year certificate may be issued at the discretion of the Certifying Authority.
(ii) Although a formal recertification process will not occur each year of the two (2) year period, the provider shall make available the following documents to the certifying authority on an annual basis:
(A) A current list of members of the governing body, owners and shareholders (if applicable);
(B) Financial audit or review, conducted by a licensed, registered auditor or certified public accountant that shows compliance with all federal and state fiscal requirements and shows the program or organization is financially sound;
(C) Current organizational chart and a summary that identifies and describes all units of operation with the organization and defines the lines of authority and the responsibility of each member of the staff;
(D) Copy of annual health and safety inspection(s) (if applicable); and
(E) Evidence of public liability, professional liability where needed, and vehicle liability insurance coverage, the name and address of the insurance agency providing the insurance, and a copy of the certificate of insurance.
(b) The certifying authority shall issue a provisional certificate for a period not to exceed six (6) months if an organization or facility is not in complete compliance with these rules, but is working toward complete compliance. A full certificate shall be issued to replace the provisional certificate at any time full compliance is documented and/or monitoring is complete. If full compliance is not achieved by the end date of the provisional certificate, a full certificate shall not be issued, and the facility will not have a certificate to operate.
(a) Certification and recertification fees are listed below. In the event an organization has multiple programs, the organization must pay the appropriate fee for each program being certified.
(b) When an organization operates more than one (1) program, the maximum amount that the organization shall be responsible for shall not exceed the amount for the program with the highest fee.
(c) Recertification fees are nonrefundable and due annually upon the anniversary date of the original certification date for all organizations and/or programs.
(a) Written notification from the organization is required prior to any of the following changes:
(iv) Mailing address of the facility;
(v) Telephone number of the facility;
(vi) Structural modifications/remodeling, that may require an on-site inspection and result in a change in certification, does not include cosmetic changes or minor repairs that do not affect the operation of the facility; or
(vii) Capacity.
(b) In the case of emergencies the provider may give verbal reports of changes in the facility telephone number or mailing address so long as written notification follows.
(c) Changes are considered complete when DFS has received a completed change request form and all required documentation.
(d) DFS is not required to take any action on a change until the change request process has been completed.
(e) Changes shall be effective when all required documentation has been received or the effective date of the change, whichever is later.
(a) An organization may submit a written request to DFS for a variance to a rule when the facility is unable to meet full compliance with a standard in these rules.
(b) The written request shall show:
(i) A compelling reason why the organization is unable to meet the particular rule requirement; and
(ii) What accommodations the organization will make to ensure that the safety and well-being of children served will not be compromised.
(c) All variance requests shall be reviewed and either approved or denied by DFS. Variances which are approved shall be:
(i) Reviewed not less than annually to determine if continuation of the variance is appropriate; and
(ii) Terminated at any time the safety and well-being of children is in jeopardy.
(d) Approval of a variance request cannot be interpreted as permanently waiving compliance with these rules or any provision of these rules.
(a) No provider shall discontinue service under the certification without providing the certifying authority a thirty (30) day notice of intent to discontinue service.
(b) When a provider discontinues operation, the certification shall be considered invalid and the certificate must be surrendered to the certifying authority within thirty (30) days of closure.
(a) After a program has been certified, the certifying authority shall monitor the program to assure its compliance with these rules and with all applicable federal, state and local laws, and rules of DFS.
(b) As an element of the monitoring process, the certifying authority shall make on-site inspections and evaluations based on these rules. The certifying authority may make unannounced on-site inspections and evaluations.
(c) The certifying authority may utilize any sources of information during the monitoring process. The organization will cooperate fully with the monitoring process.
(d) DFS may consider compliance with accreditation or certification by other agencies and organizations in the DFS certification and monitoring process.
(a) DFS may investigate an organization with a certified program on its own initiative or upon receipt of a complaint against a provider.
(b) If the certifying authority determines that the program is not in substantial compliance with the applicable federal, state or local laws, DFS rules, including these rules, or the contract with DFS, it shall provide the organization's governing body president, chairperson, or owner written notice of noncompliance. The parties shall then proceed as provided in Section 9 of this chapter.
(a) Within fifteen (15) days after receipt of the written notice of noncompliance, the president, chairperson, or owner shall submit to DFS a corrective action plan (CAP) which shall provide, but not be limited to, the following information:
(i) Who is responsible for the correction;
(ii) What was done or will be done to correct the problem;
(iii) Who will monitor to ensure that the situation does not develop again; and
(iv) An appropriate date, not to exceed sixty (60) days from the date of the notice, for the correction of all issues of non-compliance.
(b) DFS shall review, within fifteen (15) days after receipt, the program's CAP and schedule. At that time, DFS shall:
(i) Approve the proposed CAP and completion schedule; or
(ii) Approve a DFS modified CAP and completion schedule; or
(iii) Disapprove the CAP and completion schedule and revoke or suspend the certification of the organization pursuant to Section 10 of this chapter.
(c) Submission of a CAP does not preclude the DFS Certifying Authority from considering a suspension or revocation of certification.
(d) DFS may impose additional requirements or restrictions as interim steps between a CAP and revocation or suspension on a license for continued and repeated non-compliance with these rules and applicable statutes. Additional requirements or restrictions may include, but are not limited to, reduced staff:child ratios, limits on the number of children in care, additional monitoring, a DFS directed CAP, or a one (1) year license.
(a) Reasons for the denial, revocation or suspension of certification may include, but are not limited to:
(i) Organization fails to comply with these rules within the specified timeframes agreed upon in the corrective action plan;
(ii) Organization deliberately furnishes or makes a misleading or false statement or report to a DFS employee;
(iii) Organization fails to provide, maintain, equip and keep in safe and sanitary condition the premises established or used for child's care, pursuant to these certification standards and Wyoming Statute;
(iv) Organization is in violation of one (1) or more of these rules such that the children’s health, welfare and/or safety is in jeopardy at the facility; or
(v) Organization has been substantiated on in a child abuse and/or neglect Child Protective Services investigation and has been placed on the Wyoming Central Registry.
(b) The following incidents shall result in notice of denial, revocation or suspension of a certificate whenever they are documented:
(i) Organization knowingly continues to employ a staff member or used the services of a foster parent, part-time or contract employee, or volunteer who has been convicted any disqualifying crime as set out in these rules (Chapter 3, Section 10) or whose name appears on the Central Registry;
(ii) Organization knowingly allows the use of illegal drugs or alcohol in the facility;
(iii) Organization fails or refuses to submit to DFS any reports or refuses to make available any records required by DFS during the course of an investigation, monitoring, or recertification of the facility; or
(iv) Organization fails, hinders, or refuses to submit to an investigation or inspection, or to admit authorized representatives of DFS at any time the facility is open for operation for the purpose of investigation, inspection or monitoring.
(c) Documentation that is necessary for the denial, revocation or suspension of certification must include at least one of the following:
(i) Inspection and/or investigation reports;
(ii) Police reports;
(iii) Arrest and/or conviction records;
(iv) Mental health, medical or treatment reports; or
(v) DFS field office child care files.
(d) Denial, Suspension or Revocation.
(i) When certification of an organization’s program is to be denied, suspended or revoked, the governing body must be notified in writing of the action being taken. The certifying authority shall send the notification to the provider’s governing body with a copy to the DFS manager in the county where the provider is located, and the Attorney General’s representative.
(ii) The decision to issue an Immediate Suspension shall be made by the Director of DFS following the review of the investigative information, including the recommendation of the investigator, DFS caseworker, and the certifying authority.
(iii) The provider shall be served with the Immediate Suspension. The support of law enforcement agencies shall be sought in the closure if there is a threat to the safety of involved parties.
(iv) A copy of the Immediate Suspension shall be sent to parents of children currently attending the facility/program, the childrens caseworkers, if in the custody of DFS, the DFS manager of the county where the provider is located, and the Attorney General's representative.
(v) A revocation notice may follow the Immediate Suspension as soon as possible after the closure to ensure the certification is legally revoked and the provider's legal rights are not violated.
(f) Board of Review. The provider may request a review of the Child Care Certification Board of any denial, revocation, immediate suspension or suspension by the DFS Certifying Authority.
(g) Appeal. The provider may appeal to the district court for review of any adverse decision of the board of review as provided by the Wyoming Administrative Procedure Act.
(a) Reapplication must include acceptable verification of how all previous compliance issues have been addressed before the new application can be accepted.
(b) An application by the same provider and/or director shall not be accepted for three (3) years following revocation of a substitute care license.
(c) Application by the same provider and/or director cannot be made following a second revocation.
(a) If the organization fails to comply with these rules (Chapter 10, Section 2(d)), the DFS Certifying Authority may suspension or revoke the QRTP Endorsement.