Wyo. Code R. 049-0029-2
Providers of Substitute Care Services, Certification of
Chapter 2: Certification
Effective Date: 05/15/2013 to 11/08/2017
Rule Type: Superceded Rules & Regulations
Reference Number: 049.0029.2.05152013
CERTIFICATION PROCESS
(a) All programs covered by these rules shall request regular certification and recertification in accordance with these rules.
(b) Interpretation of these rules is the responsibility of DFS. No other person, agency or organization shall make official interpretation of the certification rules.
(c) Each program desiring recertification from DFS shall request recertification not less than 120 days prior to the expiration date of the current certification.
(d) Upon receipt of a request for certification/recertification, DFS shall make or cause to be made a review of program documents that demonstrate compliance with these rules and make or cause to be made one (1) or more on-site inspections of the program.
(e) Considering the information on hand and the result of the on-site inspection, DFS shall certify/recertify the program if:
(i) The program meets these rules for the particular area of service; and
(ii) The program complies with applicable federal, state, and local laws, as well as the rules of DFS.
(f) 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 have reached 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, it must notify the certifying authority.
(g) Each certificate is issued for the premises and persons or governmental units named in the certificate.
(h) The certificate 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.
(a) The length of the certificate is based upon compliance history.
(b) All approved programs shall be issued a one (1) year certificate.
(i) When a new program or organization has established a compliance history free of substantial violations for two (2) consecutive years, a two (2) year certificate may be issued.
(ii) Although a formal recertification process will not occur each year of the two (2) year period, the provider must submit the following documents to the certifying authority on an annual basis:
(A) Applicable annual recertification fee;
(B) A current list of members of the governing body, owners and shareholders (if applicable);
(C) Financial audit or review as required in Chapter 3, Section 2;
(D) Current organizational chart;
(E) Copy of annual health and safety inspection(s) (if applicable); and
(F) 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.
(c) The certifying authority may issue a provisional certificate for a period less than one (1) year if a program or facility is not in complete compliance with these rules, but is working toward complete compliance. In that event, the following procedure shall be observed:
(i) The provisional certificate shall be effective for a period not to exceed six (6) months; and
(ii) A full certificate shall be issued to replace the provisional certificate at any time full compliance is documented and/or monitoring is completed.
(a) At the time of the original application, all applicants shall pay a nonrefundable application fee of Fifty Dollars ($50.00), which shall be applied toward the initial certification fee.
(b) 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.
(c) 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.
(d) 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:
(ii) The name of the executive director; (iii) Change in executive director; (iv) Physical location of the facility; (v) Mailing address of the facility; (vi) Telephone number of the facility; (vii) Structural modifications/Remodeling, does not include cosmetic changes or minor repairs that do not affect the operation of the facility; or (viii) 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. (f) Changes to physical location, structural modifications or capacity may require an on-site inspection and result in a change in certification.
(a) The 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 must 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 with 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.
(c) The monitoring process may also include, but is not limited to, the following:
(i) Examination of reports received from or about the provider including accreditation, certification, licensing;
(ii) On-site inspections;
(iii) Review of documentation of staff qualifications, background checks, and training;
(iv) Review of client files;
(v) Discussions with the board or boards of county commissioners of the county or counties where the services are provided, including a review of governing body minutes;
(vi) Discussion with other individuals, programs and agencies that partner with the organization to deliver services;
(vii) Attendance at or information presented during public meetings;
(viii) Discussion with the organization’s governing body;
(ix) Review of all financial reports and records;
(x) Review of all corporate records to include articles of incorporation, bylaws, list of corporate officers, owners, and shareholders (if applicable); and
(xi) Any other pertinent sources of information concerning the provider and its services, including clients and other service consumers, including policy and procedure manuals.
(d) DFS may consider compliance with accreditation or certification by other agencies and organizations in the DFS certification and monitoring process.
(e) The provider shall provide the certifying authority with all verification necessary to verify compliance.
(a) DFS may investigate the 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 program’s governing body president or chairperson written notice of noncompliance. The parties shall then proceed as provided in Section 8 of this chapter.
(a) Within thirty (30) days after receipt of the written notice of noncompliance, the president or chairperson 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 thirty (30) 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 prior certification of the program pursuant to Section 8 of this chapter.
(c) When DFS approves a proposed or modified CAP and completion schedule for achieving full compliance, DFS may grant certification.
(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; or
(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.
(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 of a crime against children, including a misdemeanor;
(ii) Organization knowingly continues to employ a staff member or used the services of a foster parent, part-time or contract employee, or volunteer whose name appears on central registry;
(iii) Organization knowingly allows the use of illegal drugs in the facility/foster home;
(iv) Organization knowingly allows the use of alcohol by minors in the facility/foster home;
(v) Organization knowingly allows the use of alcohol by staff in the facility;
(vi) The organization has accepted court ordered placements of children in DFS custody or placements funded by DFS and/or the State of Wyoming without entering into a contract with DFS to do so;
(vii) Organization 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
(viii) Organization fails 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) Protective services reports and/or police reports;
(iii) Arrest and/or conviction records;
(iv) Mental health, medical or treatment reports; or
(v) DFS field office files.
(d) Denial or Revocation.
(i) When certification of a facility or program is to be denied 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 notification shall include the following information:
(A) The alleged facts warranting the intended action;
(B) The intended action to be taken and the authority for the action;
(C) A statement that the action being taken shall be effective thirty (30) days from receipt of the notification unless the provider requests a hearing with the board of review by serving proper notice to the certifying authority within ten (10) days of receipt of the notification;
(D) The provider has the right to be represented by a lawyer. DFS will not be responsible for any fees charged to the provider; and
(E) The penalty for uncertified operation, as set forth in W.S. § 14-4-111.
(iii) The hearing shall be conducted in accordance with Chapter 15 of these rules and the Wyoming Administrative Procedures Act, W.S. §§ 16-3-107 through 16-3-114.
(iv) A notice of the intent to revoke a license shall be sent to parents of children currently attending the program and the child’s caseworker, if in the custody of DFS. Upon request, the provider shall provide DFS with a complete list of parents and their mailing addresses.
(v) Notice to parents shall include the following:
(A) The name of the organization;
(B) A statement of the action being taken (e.g., revocation of certification);
(C) The date the action will be effective;
(D) A statement that an administrative hearing has or has not been requested; and
(E) The administrative hearing results, if applicable.
(e) Suspension.
(i) During the course of an investigation, if it becomes apparent to the investigator that the life, health or safety, of a child is in imminent danger, then the investigator shall request an Order of Summary Suspension.
(ii) The decision to issue an Order of Summary 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 Order of Summary 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 Order of Summary Suspension shall be sent to parents of children currently attending the facility/program, the child’s caseworker, if in the custody of DFS, the DFS manager of the county where the provider is located, the Attorney General’s representative, and the certifying authority.
(v) A revocation notice shall follow the Order of Summary 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) 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.
Reapplication must include acceptable verification of how all previous compliance issues have been addressed before the new application can be accepted.