Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2001 repealed, new Section R6-5-2001 adopted effective May 17, 1976 (Supp. 76-3). Amended as an emergency effective August 3, 1976 (Supp. 76-4). Former Section R6-5-2001 repealed, new Section R6-5-2001 adopted effective November 8, 1982 (Supp. 82-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2002. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2002 repealed, new Section R6-5-2002 adopted effective May 17, 1976 (Supp. 76-3). Amended effective February 10, 1977 (Supp. 77-1). Former Section R6-5-2002 repealed, new Section R6-5-2002 adopted effective November 8, 1982 (Supp. 82-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2003. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2003 repealed, new Section R6-5-2003 adopted effective May 17, 1976 (Supp. 76-3). Amended effective February 10, 1977 (Supp. 77-1). Amended effective October 31, 1978 (Supp. 78-5). Former Section R6-5-2003 repealed, new Section R6-5-2003 adopted effective November 8, 1982 (Supp. 82-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2004. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2004 repealed, new Section R6-5-2004 adopted effective May 17, 1976 (Supp. 76-3). Amended as an emergency effective August 3, 1976 (Supp. 76-4). Amended effective February 10, 1977 (Supp. 77-1). Amended effective October 31, 1978 (Supp. 78-5). Former Section R6-5-2004 repealed, new Section R6-5-2004 adopted effective November 8, 1982 (Supp. 82-6). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2) of this rule, is adopted for the program period July 1, 1983, through June 30, 1984, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 83-3). Exhibit I, Title XX, Social Services Plan, incorporated herein by reference, amended as an emergency effective September 30, 1983, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 83-5). Emergency expired. Permanent amendment adopted effective January 3, 1984 (Supp. 84-1). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2) of this rule, is adopted for the program period July 1, 1984, through June 30, 1985, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 84-3). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2) of this rule, is adopted for the program period July 1, 1985, through June 30, 1986, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 85-3). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2) of this rule, is adopted for the program period July 2, 1986, through June 30, 1987, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 86-4). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2) of this rule, is adopted for the program period September 24, 1987, through June 30, 1988, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 87-3). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2) of this rule, is adopted for the program period September 22, 1988, through June 30, 1989, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 88-3). Exhibit I, Title XX, Social Services Plan, incorporated by reference in subsection (C), paragraph (2), of this rule, is adopted for the program period July 1, 1989, through June 30, 1990, and the former Exhibit I, Title XX, Social Services Plan is repealed accordingly (Supp. 89-3). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2005. Repealed

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Amended effective February 10, 1977 (Supp. 77-1). Amended effective October 31, 1978 (Supp. 78-5). Former Section R6-5-2005 repealed, new Section R6-5-2005 adopted effective November 8, 1982 (Supp. 82-6). A new Exhibit I, Title XX, Social Services Plan, referred to in subsection (1) of this rule, is adopted for the program period September 22, 1988 through July 30, 1989 (Supp. 88-3). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2006. Repealed

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Amended effective February 10, 1977 (Supp. 77-1). Amended effective October 31, 1978 (Supp. 78-5). Repealed effective November 8, 1982 (Supp. 82-6).

ARTICLE 21. REPEALED

Former Article 21 consisting of Sections R6-5-2101 through R6-5-2110 repealed effective November 8, 1982.

ARTICLE 22. REPEALED

Former Article 22 consisting of Sections R6-5-2202 through R6-5-2209 repealed effective November 8, 1982.

ARTICLE 23. REPEALED

R6-5-2301. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2301 repealed, new Section R6-5-2301 adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2302. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2302 repealed, new Section R6-5-2302 adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2303. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2303 repealed, new Section R6-5-2303 adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2304. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2304 repealed, new Section R6-5-2304 adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2305. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2305 repealed, new Section R6-5-2305 adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2306. Repealed

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2306 repealed, new Section R6-5-2306 adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2307. Repealed

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2308. Repealed

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2309. Repealed

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

R6-5-2310. Repealed

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Repealed by final rulemaking at 5 A.A.R. 1804, effective May 18, 1999 (Supp. 99-2).

ARTICLE 24. APPEALS AND HEARINGS

Article 24 consisting of Sections R6-5-2401 through R6-5-2405 adopted effective March 1, 1978.

Former Article 24 consisting of Sections R6-5-2401 through R6-5-2404 repealed effective March 1, 1978.

R6-5-2401. Objective

The objective is to ensure and preserve all legal rights in the acquisition of services.

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2401 repealed, new Section R6-5-2401 adopted effective May 17, 1976 (Supp. 76-3). Former Section R6-5-2401 repealed, new Section R6-5-2401 adopted effective March 1, 1978 (Supp. 78-2).

R6-5-2402. Authority

A. A.R.S. § 46-205.

B. 45 C.F.R. 205.10.

C. 45 C.F.R. 228.14.

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2402 repealed, new Section R6-5-2402 adopted effective May 17, 1976 (Supp. 76-3). Former Section R6-5-2402 repealed, new Section R6-5-2402 adopted effective March 1, 1978 (Supp. 78-2).

R6-5-2403. Definitions

A. "Department." The Department of Economic Security. This includes contract provider agencies which are acting in behalf of the Department of Economic Security to determine eligibility.

B. "Contract provider/provider." Any private agency, institution, public agency (as defined in A.R.S. § 11-951) or vendor which has executed an agreement with the Department to furnish services for monetary reimbursement.

C. "Local office." Any Department of Economic Security or contract provider site from which eligibility determinations and/or services originate.

Historical Note

Adopted as an emergency effective October 2, 1975 (Supp. 75-1). Former Section R6-5-2403 repealed, new Section R6-5-2403 adopted effective May 17, 1976 (Supp. 76-3). Former Section R6-5-2403 repealed, new Section R6-5-2403 adopted effective March 1, 1978 (Supp. 78-2).

R6-5-2404. Basis for a hearing

A. A person will be granted a hearing for any of the following reasons:

1. Right to apply for social services has been denied.

2. Application is denied in whole or in part.

3. Action on an application has not been taken by the Department within 30 days of the date of application.

4. Service is suspended, terminated or reduced when such action has occurred as a result of an eligibility determination.

B. Change in law or policy. A hearing shall not be granted when a change in federal or state law or policy requires service adjustments or discontinuance for classes of recipients.

Historical Note

Adopted effective May 17, 1976 (Supp. 76-3). Former Section R6-5-2404 repealed, new Section R6-5-2404 adopted effective March 1, 1978 (Supp. 78-2).

R6-5-2405. Hearing process

A. Filing of appeal

1. A request for a hearing shall be filed in writing with the Department or provider within 15 calendar days after the mailing date of the decision letter, except that for appeals on denying, revoking or suspending a license of a child welfare agency or foster home the request shall be filed within 20 calendar days.

2. Except as otherwise provided by statute or by Department regulation, any appeal, application, request, notice, re- port, or other information or document submitted to the Department shall be considered received by and filed with the Department:

a. If transmitted via the United States Postal Service or its successor, on the date it is mailed. The mailing date will be as follows:

i. As shown by the postmark.

ii. In the absence of a postmark the postage-meter mark of the envelope in which it is received;

iii. If not postmarked or postage-meter marked, or if the mark is illegible, the date entered on the document as the date of completion.

b. If transmitted by any means other than the United States Postal Service or its successor, on the date it is received by the Department.

c. The submission of any appeal, application, request, notice, report or other information or document not within the specified statutory or regulatory period shall be considered timely if it is established to the satisfaction of the Department that the delay in submission was due to Department error or misinformation or to delay or other action of the United States Postal Service or its successor.

d. Any notice, determination, decision or other data mailed by the Department shall be considered as having been given to the addressee to whom it is directed on the date it is mailed to the addressee's last known address. The date mailed shall be presumed to be the date of the notice, determination, decision or other data unless otherwise indicated by the facts. Computation of time shall be made in accordance with Rule 6(a) of the Rules of Civil Procedure, 16 A.R.S.

3. Benefits shall not be reduced or terminated prior to a hearing decision unless due to a subsequent change in household eligibility another notice of adverse action is received and not timely appealed.

4. The local office or provider shall advise the client of any community legal services available and, when requested, shall assist in completing the hearing request.

B. Notice of hearing

1. Hearings will be held at the local office or any other place mutually agreed upon by the hearing officer and appellant. They shall be scheduled not less than 20 nor more than 30 days from the date of filing of the request for hearing. The appellant shall be given no less than 15 days notice of hearing, except that the appellant may waiver the notice period or request a delay. For appeals on denying, revoking or suspending a license of a child welfare agency or foster home, however, the hearing shall be held within ten days of the date of filing of the request for hearing.

2. The notice of hearing shall inform the appellant of the date, time, and place of the hearing, the name of the hearing officer, the issues involved, and of his rights to: present his case in person or through a representative; examine and copy any documents in his case file and all documents and records to be used by the agency at the hearing at a reasonable time prior to the hearing as well as at the hearing; obtain assistance from the local office in preparing his case; and of his opportunity to make inquiry at the local office about the availability of community legal resources which could provide representation at the hearing.

3. Appellant, in lieu of a personal appearance, may submit a written statement, under oath or affirmation, setting forth the facts of the case provided that the statement is submitted to the Department prior to or at the time of the hearing. All parties shall be ready and present with all witnesses and documents at the time and place specified in the notice of hearing, and shall be prepared at such time to dispose of all issues and questions involved in the appeal.

4. The hearing officer may take such action for the proper disposition of an appeal as he deems necessary, and on his own motion, or at the request of any interested party upon a showing of good cause disqualify himself, or may continue the hearing to a future time or reopen a hearing before a decision is final to take additional evidence. If an interested party fails to appear at a scheduled hearing, the hearing officer may adjourn the hearing to a later date or may make his decision upon record and such evidence as may be presented at the scheduled hearing. If, within ten days of the scheduled hearing, appellant files a written application requesting reopening of the proceedings and establishes good cause for failure to appear at the scheduled hearing, the hearing shall be rescheduled. Notice of the time, place, and purpose of any continued, reopened or rescheduled hearing shall be given to all interested parties.

C. Prehearing summary

1. A prehearing summary of the facts and grounds for the action taken shall be prepared and forwarded to the hearing officer no less than four days prior to the hearing.

2. The summary shall be provided to the appellant prior to the commencement of the hearing.

D. Subpoena of witnesses. The hearing officer may subpoena any witnesses or documents requested by the Department or claimant to be present at the hearing. The request shall be in writing and shall state the name and address of the witness and the nature of his testimony. The nature of the witnesses' testimony must be relevant to the issues of the hearing, otherwise the hearing officer may deny the request. The request for the issuance of a subpoena shall be made to give sufficient time, a minimum of three working days, prior to the hearing. A subpoena requiring the production of records and documents shall specifically describe them in detail and further set forth the name and address of the custodian thereof.

E. Review of file. In the presence of a Department representative, the appellant and/or his authorized representative shall be permitted to review, obtain or copy any Department record necessary for the proper presentation of the case.

F. Conduct of the hearing

1. Hearings shall be conducted in an orderly and dignified manner.

2. Hearings are opened, conducted and closed by the hearing officer who shall rule on the admissibility of evidence and shall direct the order of proof. He shall have power to administer oaths and affirmations, take depositions, certify to official acts and issue subpoenas to compel the attendance of witnesses, the production of books, papers, correspondence, memoranda and other records he deems necessary as evidence in connection with a hearing.

3. Evidence not related to the issue shall not be allowed to become a part of the record.

4. The hearing officer may, on his own motion, or at the request of the appellant or Department representative, exclude witnesses from the hearing room.

5. The worker, supervisor or other appropriate person may be designated Department representative for the hearing.

6. The appellant and Department representative may testify, present evidence, cross-examine witnesses and present arguments.

7. The appellant may appear for himself or be represented by an attorney or any other person he designates.

8. A full and complete record shall be kept of all proceedings in connection with an appeal, and such records shall be open for inspection by the claimant or his representative at a place accessible to him. A transcript of the proceedings need not, however, be made unless it is required for further proceedings. When a transcript has been made for further proceedings, a copy shall be furnished without cost to each interested party.

G. Hearing decision

1. The hearing decision shall be rendered exclusively on the evidence and testimony produced at the hearing, appropriate state and federal law, and Department rules governing the issues in dispute.

2. The decision shall set forth the pertinent facts involved, the conclusions drawn from such facts, the sections of applicable law or rule, the decision and the reasons thereof. A copy of such decision, together with an explanation of the appeal rights, shall be delivered or mailed to each interested party and their attorneys of record not more than 60 days from the date of filing the request for appeal, unless the delay was caused by the appellant.

3. In those cases where the local office must take additional action as a result of a decision, such action must be taken immediately.

4. All decisions in favor of the appellant apply retroactively to the date of the action being appealed, or to the date the hearing officer specifically finds appropriate.

5. When a hearing decision upholds the proposed action of reducing, suspending or terminating a grant, an overpayment is the result.

6. All hearing decisions will be made accessible to the public, subject to meeting the provision for safeguarding confidential information relating to the client.

7. Decision of the hearing officer will be the final decision of the Department unless a reconsideration is requested in accordance with subsection (I).

H. Withdrawal of appeal. An appeal may be withdrawn as follows:

1. Voluntary withdrawal. This may be accomplished by completing and signing the proper Department form or by submitting a letter properly signed.

2. Abandonment or involuntary withdrawal. This occurs when an appellant fails to appear at a scheduled hearing and within ten days thereof fails to request a rescheduled hearing or fails to appear at a rescheduled hearing which he has requested. A hearing may not be considered abandoned if the claimant provides notification up to the time of the hearing that he is unable, due to good cause, to keep the appointment and that he still wishes a hearing.

I. Reconsideration

1. An appellant, within ten calendar days after the decision was mailed or otherwise delivered to him, may request the Director to review the decision. The request shall be in writing and should set forth a statement of the grounds for review, and may be filed personally or by mail.

2. After receipt of an application for leave to appeal, the Director shall:

a. Deny the application, or

b. Remand the case for rehearing, specifying the nature of any additional evidence required and/or issues to be considered, or

c. Grant the application and decide the appeal on the record.

3. The Director shall promptly adopt his decision which shall be the final decision of the Department. A copy of the decision, together with a statement specifying the rights for judicial review, shall be distributed to each interested party.

Historical Note

Adopted effective March 1, 1978 (Supp. 78-2).

ARTICLE 25. REPEALED

R6-5-2501. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Former Section R6-5-2501 repealed, new Section R6-5-2501 adopted effective February 26, 1979 (Supp. 79-1). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2502. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Former Section R6-5-2502 repealed, new Section R6-5-2502 adopted effective February 26, 1979 (Supp. 79-1). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2503. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

ARTICLE 26. REPEALED

R6-5-2601. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2602. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2603. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2604. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2605. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2606. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2607. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

ARTICLE 27. REPEALED

R6-5-2701. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2702. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2703. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2704. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2705. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2706. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

R6-5-2707. Repealed

Historical Note

Adopted effective September 16, 1976 (Supp. 76-4). Repealed effective June 5, 1997 (Supp. 97-2).

ARTICLE 28. REPEALED

Former Article 28 consisting of Sections R6-5-2801 through R6-5-2804 repealed effective November 8, 1982.

ARTICLE 29. REPEALED

R6-5-2901. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2902. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2903. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2904. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2905. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2906. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2907. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2908. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2909. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2910. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2911. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-2912. Repealed

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Repealed effective December 17, 1993 (Supp. 93-4).

ARTICLE 30. REPEALED

Former Article 30, consisting of Sections R6-5-3001 through R6-5-3007, repealed effective August 29, 1984.

ARTICLE 31. REPEALED

Former Article 31, consisting of Sections R6-5-3101 through R6-5-3110, repealed effective November 8, 1982.

ARTICLE 32. REPEALED

R6-5-3201. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3202. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3203. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3204. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3205. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3206. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3207. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3208. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3209. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3210. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

R6-5-3211. Repealed

Historical Note

Adopted effective November 22, 1978 (Supp. 78-6). Repealed effective December 17, 1993 (Supp. 93-4).

ARTICLE 33. RESERVED

ARTICLE 34. RESERVED

ARTICLE 35. RESERVED

ARTICLE 36. RESERVED

ARTICLE 37. RESERVED

ARTICLE 38. RESERVED

ARTICLE 39. RESERVED

ARTICLE 40. RESERVED

ARTICLE 41. RESERVED

ARTICLE 42. RESERVED

ARTICLE 43. RESERVED

ARTICLE 44. RESERVED

ARTICLE 45. RESERVED

ARTICLE 46. RESERVED

ARTICLE 47. RESERVED

ARTICLE 48. RESERVED

ARTICLE 49. CHILD CARE ASSISTANCE

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4901. Definitions

The following definitions apply to this Article:

l. "Adequate notice" means written notification that explains the action the Department intends to take, the reason for the action, the specific authority for the action, the client's appeal rights, and right to benefits pending appeal, and that is mailed before the effective date of the action.

2. "Appellant" means an applicant or recipient of assistance who is appealing a negative action by the Department.

3. "Availability" means the portion of time that a parent or caretaker can provide care to their own child, as determined by the Department, because the parent or caretaker is not participating in an eligible activity.

4. "Applicant" means a person who has filed an application for Child Care Assistance.

5. "Authorized" means the specific amount of Child Care Assistance approved by the Department for an eligible family for a specific period of time.

6. "CCA" means the DES Child Care Administration.

7. "Caretaker relative" means a relative who exercises the responsibility for the day-to-day physical care, guidance, and support of a child who physically resides with the relative.

8. "Cash Assistance" means the program administered by the Family Assistance Administration that provides temporary Cash Assistance to needy families.

9. "Cash Assistance participant" means a recipient of Cash Assistance.

10. "Child care" means the compensated service the Department provides to a child who is unaccompanied by a parent or guardian during a portion of a 24-hour day.

11. "Child Care Assistance" means money payments for child care services paid by the Department for the benefit of an eligible family.

12. "Child Care Provider" means a child care facility licensed under A.R.S. Title 36, Chapter 7.1, Article 4, child care home providers, in-home providers, noncertified relative providers, and regulated child care on military installations or federally recognized Indian Tribes.

13. "Client" means a person who has requested, has been referred for, or who is currently receiving Child Care Assistance.

14. "Countable income" means the gross income of individuals included in family size that the Department considers to determine eligibility and calculate an assistance amount.

15. "CPS or Child Protective Services" means the child welfare services administration within the Department's Division of Children, Youth, and Family Services.

16. "Day" means a calendar day unless otherwise specified.

17. "DDD" means the Division of Developmental Disabilities.

18. "Denial" means a formal decision of ineligibility on an application, referral, or request for Child Care Assistance.

19. "Department" means the Arizona Department of Economic Security.

20. "Dependent" child means a person less than age 18, who resides with the applicant and whom the applicant has the legal financial obligation to support.

21. "DES-certified child care provider" means a provider who is certified by the Department of Economic Security under A.R.S. § 46-807 and who provides care in either the child's or the provider's own home.

22. "DHS-certified group home" means a provider who is certified by the Department of Health Services under A.R.S. § 36-897.01.

23. "DHS-licensed child care center" means a provider who is licensed by the Department of Health Services as prescribed in A.R.S. § 36-881.

24. "EITC" means Earned Income Tax Credit and is a federal income tax credit for low-income working individuals and families.

25. "Eligibility criteria" means the requirements an individual or family must meet to receive Child Care Assistance.

26. "Eligible activity" means a specific type of activity that causes an applicant or recipient and any other parent or responsible person in the eligible family to be unavailable to provide care to their children for a portion of a 24-hour day, and that partially determines the amount of Child Care Assistance an eligible family shall receive.

27. "Eligible child" means a child less than 13 years of age.

28. "Eligible family" means a group of persons whose needs, income, and other circumstances are considered as a whole for the purpose of determining eligibility and amount of Child Care Assistance.

29. "Eligible need" means a specific type of need that causes an applicant or recipient, or any other parent or responsible person in the eligible family, to be unavailable or incapable to provide child care to their children for a portion of a 24-hour day, and that partially determines the amount of Child Care Assistance an eligible family shall receive.

30. "E.S.O.L." means English for Speakers of Other Languages.

31. "Existing client" means an individual who is currently receiving Child Care Assistance or who has an open Child Care Assistance case with the Department.

32. "Family size" means the number of individuals considered when determining income eligibility, and includes the applicant, other parent or responsible person, and their dependent children who reside in the same household, subject to R6-5-4914 (D).

33. "Federal poverty level" (FPL) means the poverty guidelines issued by the United States Department of Health and Human Services under Section 673(2) of the Omnibus Reconciliation Act of 1981; and reported annually in the Federal Register; which are converted into monthly amounts by the Department; which shall become effective for use in determining eligibility for Child Care Assistance on the first day of the state fiscal year immediately following the publication of the annual amount in the Federal Register.

34. "Foster care" means that the Department or an Arizona Tribe placed a child in the custody of a licensed foster parent.

35. "Foster parent" means any person licensed by the Department or an Arizona Tribe to provide for the out of home care, custody, and control of a child.

36. "Gap in employment" means a period of 30 consecutive days of Child Care Assistance that begins the first day after the last day worked and ends the 30th day after the last day worked for an existing client who has lost employment.

37. "G.E.D." means General Equivalency Diploma.

38. "Homebound" means a person who is confined to their home because of physical or mental incapacity.

39. "Homeless shelter" means a public or private nonprofit program that is targeted to assist homeless families and is designed to provide temporary or transitional living accommodations and services to assist such families toward self-sufficiency.

40. "Income" means earned and unearned income combined.

41. "Jobs" means the Department program that assists Cash Assistance participants to prepare for, obtain, and retain employment. "Jobs" Program also includes the Tribal Jobs Program and any other entities that contract with the state to perform this function.

42. "Jobs participant" means a Cash Assistance participant who is participating in the Jobs program as a condition of receiving Cash Assistance.

43. "Local office" means a CCA location that is designated as the location in which Child Care Assistance applications and other documents are filed with the Department and in which eligibility and assistance amounts are determined for a particular geographic area of the state.

44. "Lump sum income" means a single payment of earned or unearned income, such as a retroactive monthly benefit, non-recurring pay adjustment or bonus, inheritance, or personal injury and workers' compensation award.

45. "Mailing date" when used in reference to a document sent first-class, postage prepaid, through the United States mail, means the date:

a. Shown on the postmark;

b. Shown on the postage meter mark of the envelope, if there is no postmark; or

c. Entered on the document as the date of its completion, if there is no legible postmark or postage meter mark.

46. "Minor parent" means a parent less than the age of 18 years.

47. "Negative action" means one of the Department actions described in R6-5-4918, including action to terminate assistance or increase the fee level and copayment for Child Care Assistance.

48. "Noncertified relative provider" means a person who is at least 18 years of age, who is by blood, marriage, or adoption the grandparent, great grandparent, sibling not residing in the same household, aunt, great aunt, uncle or great uncle of the eligible child, who provides child care services to an eligible child, and meets the Department's requirements to be a noncertified relative provider.

49. "Notice date" means the date that appears as the official date of issuance on a document or official written notice the Department sends or gives to an applicant or recipient.

50. "OSI" or "Office of Special Investigations" means the Department office to which CCA refers cases for investigation of certain eligibility information, investigation and preparation of fraud charges, coordination and cooperation with law enforcement agencies and other similar functions.

51. "Other related child" means a child who is related to the applicant or recipient by blood, marriage, or adoption, and who is not the applicant's or recipient's natural, step, or adoptive child.

52. "Overpayment" means a Child Care Assistance payment received by a child care provider or for an eligible family that exceeds the amount to which the provider or family was lawfully entitled.

53. "Parent" means the biological mother or father whose name appears on the birth certificate, the person legally acknowledged as a mother or father, a father who has had an adjudication of paternity, or the adoptive mother or father of the child.

54. "Positive action" means the approval, increase, or resumption of service such as increasing the amount of assistance or decreasing the fee level and copayment.

55. "Recipient" means a person who is a member of an eligible family receiving Child Care Assistance.

56. "Relative" means a person who is by blood, adoption, or marriage a parent, grandparent, great-grandparent, sibling of the whole or half blood, stepbrother, stepsister, aunt, uncle, great-aunt, great-uncle, or first cousin.

57. "Request for Hearing" means a clear written expression by an applicant or recipient, or such person's representative, indicating a desire to appeal a Department decision to a higher authority.

58. "Responsible person" means one or more persons, residing in the same household, who have the legal responsibility to financially support:

a. One or more of the children for whom Child Care Assistance is being requested, or

b. The applicant or recipient of Child Care Assistance.

59. "Review" means the Department's review of all factors affecting an eligible family's eligibility and assistance amount.

60. "Self-Sufficiency Declaration" means a written statement signed and dated by the child care recipient that lists the specific actions the recipient has taken during the most recent six or 12-month period to maintain or increase self-sufficiency.

61. "Tax Claimant" means a relative more than age 17 who resides with a parent who has applied for or is receiving Child Care Assistance, and who states their intention to claim any member of the eligible family as a tax dependent on a federal or state income tax return for the current calendar year, to be filed in the following calendar year.

62. "Tax Dependent" means a member of an eligible family applying for or receiving Child Care Assistance who is included in family size, and who the tax claimant states an intention to claim as a dependent on a federal or state income tax return for the current calendar year, to be filed in the following calendar year.

63. "Time Limit" means that each child in the eligible family may receive no more than 60 cumulative months of Child Care Assistance in a lifetime, unless the parent, caretaker relative, or legal guardian of the child needing care can prove they are making efforts to improve skills and move toward self-sufficiency, under A.R.S. § 46-803(K)(1).

64. "Unit" means a part or full day measurement of Child Care Assistance authorized by the Department to meet the needs of an eligible family based on the participation of parents, caretaker relatives, or legal guardians of the children needing care in an eligible activity.

65. "Waiting List" means the prioritization of applicants by the Department to manage resources within available funding by placing applicants determined eligible for Child Care Assistance on a list, until the Department determines that sufficient funds are available to fund Child Care Assistance for families on the list.

66. "Work" means the performance of duties on a regular basis for wages or salary.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted and repealed under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4902. Repealed

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Section automatically repealed July 31, 1998 (Supp. 98-3).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4903. Repealed

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Section repealed by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4904. Access to Child Care Assistance

A. Application for Child Care Assistance.

1. Any person may apply for Child Care Assistance by filing, either in person or by mail, a Department-approved application form with any CCA office.

2. The application file date is the date any CCA office receives an identifiable application. An identifiable application contains, at a minimum, the following information:

a. The legible name and address of the person requesting assistance; and

b. The signature, under penalty of perjury, of the applicant or, if the applicant is incompetent or incapacitated, someone legally authorized to act on behalf of the applicant.

3. In addition to the identifiable information described in subsection (A)(2), a completed application shall contain:

a. The names of all persons living with the applicant and the relationship of those persons to the applicant, and

b. All other eligibility information requested on the application form.

B. Request for Child Care Assistance.

1. Cash Assistance participants who need Child Care Assistance for employment activities are not required to complete an application.

2. Child Care Assistance for Cash Assistance participants may begin effective the start date of the eligible activity but not earlier than the date that the participant requests Child Care Assistance from a local CCA office after the Department has verified eligibility criteria.

C. Referral for Child Care Assistance.

1. Jobs Participants. Cash Assistance participants in Jobs-approved work participation activities who request child care shall be referred by the Jobs Program for Child Care Assistance.

2. Child Protective Services Families (CPS). CPS shall refer families that CPS deems eligible for Child Care Assistance on a case-by-case basis.

3. CPS and DDD Foster Families - CPS or DDD shall determine eligibility for and refer children in the care, custody, and control of DES who need child care services as documented in a foster care case plan.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4905. Initial Eligibility Interview

A. Upon receipt of an identifiable application, the Department shall schedule an initial eligibility interview for the applicant. Upon request, the Department shall conduct the interview at the residence of a person who is homebound.

B. The applicant shall attend the interview. A person of the applicant's choosing may also attend the interview.

C. The Department may conduct a telephone interview if the applicant has previously verified citizenship or legal residency status as prescribed in R6-5-4911(E).

D. During the interview, a Department representative shall:

1. Assist the applicant in completing the application form;

2. Witness the signature of the applicant;

3. Discuss information pertinent to the applicant's child care needs;

4. Provide the applicant with written information explaining:

a. The terms, conditions, and obligations of the Child Care Assistance program;

b. Any additional verification information as prescribed in R6-5-4906 which the applicant must provide for the Department to conclude the eligibility evaluation;

c. The Department practice of exchanging eligibility and income information among Department programs;

d. The coverage and scope of the Child Care Assistance program;

e. The applicant's rights, including the right to appeal a negative action; and

f. The requirement to report all changes within two work days from the date the change becomes known;

5. Review the penalties for perjury and fraud, as printed on the application;

6. Explain to the applicant who is included in family size for the purpose of determining income eligibility, and whose availability is considered in determining the amount of Child Care Assistance authorized for each child needing care as prescribed in R6-5-4914(D);

7. If the applicant is the parent of the children needing care, explain the tax claimant provision under R6-5-4914(D)(3);

8. Provide the applicant with the tax claimant declaration form if there is a potential tax claimant in the household;

9. Provide the following information to assist the family in continuing to move toward self-sufficiency:

a. Availability of the Earned Income Tax Credit (EITC). Provide the applicant with the current U.S. Department of Internal Revenue Service (IRS) EITC information if the applicant comes into the office for the initial interview;

b. Availability of child support services through the Division of Child Support Enforcement (DCSE) to assist with paternity establishment, establishment of a child support order, or enforcement of an existing child support order. Provide the applicant with written information regarding child support services if the applicant comes into the office for the initial interview; and

c. Availability of Department-sponsored or contracted employment services that may assist the applicant and spouse or other parent in finding a job, or pursuing a better job or career. Provide the applicant with written information regarding employment services if the applicant comes into the office for the initial interview;

10. Explain to the applicant the 60-month per child time limit for Child Care Assistance:

a. Describe the child care programs to which the 60-month time limit applies;

b. Describe how child care utilization is measured per child to calculate the 60-month limit; and

c. Explain the criteria for extensions of the time limit based on continued efforts to improve job skills and move toward self-sufficiency;

11. Discuss the six-child limit for Child Care Assistance:

a. Explain that no more than six children in a family may receive Child Care Assistance at any point in time; and

b. Explain the child care programs to which the six-child limit applies;

12. Discuss the waiting list for Child Care Assistance:

a. Describe the programs to which it applies;

b. Explain prioritization for assistance based upon income for families on the waiting list;

c. Indicate whether the waiting list is currently in effect; and

d. Explain that, based on funding availability, the Department may implement a waiting list at any point in time;

13. Review any verification information already provided;

14. Explain the applicant's duties to:

a. Notify the Department regarding initial provider selection or changes in provider in advance of using services or changing providers;

b. Pay DES required copayments to the child care provider as assigned by the Department; and

c. Pay any additional charges to the provider for the cost of care in excess of the amount paid by the Department; and

15. Review all ongoing reporting requirements, and explain that the applicant may incur overpayments for failure to make timely reports.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4906. Verification of Eligibility Information

A. The Department shall obtain independent verification or corroboration of information provided by the client when required by law, or when it is necessary to determine eligibility, fee level and copayment assignment, or service authorization amount.

B. The Department may verify or corroborate information by any reasonable means including:

1. Contacting third parties such as employers and educational institutions,

2. Asking the client to provide written documentation such as pay stubs or school schedules, and

3. Conducting a computer data match through other Department programs' computer systems.

C. The client is responsible for providing all required verification. The Department shall offer to assist a client who has difficulty in obtaining the verification and requests help.

D. A client shall provide the Department with all requested verification within 10 calendar days from the notice date of a written request for such information. When a client does not timely comply with a request for information, the Department shall deny the application as provided in R6-5-4908(B).

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4907. Withdrawal of an Application

A. An applicant may withdraw an application at any time prior to its disposition by providing the Department with a written request for withdrawal signed by the applicant.

B. If an applicant makes an oral request to withdraw an application:

1. The Department shall accept the oral request, provide the applicant with a written withdrawal form, and request that the applicant complete the form and return it to the Department. The Department shall inform the applicant of the consequences of not returning the withdrawal form within 10 days of the notice date.

2. If the applicant fails to return the completed withdrawal form, the Department shall deny the application for failure to provide information unless the applicant rescinds the oral withdrawal request within 10 days of the date the Department provides the applicant a withdrawal form.

C. A withdrawal is effective as of the application file date unless the applicant specifies a different date on the withdrawal form.

D. An application that has been withdrawn shall not be reinstated; an applicant who has withdrawn an application shall reapply anew.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4908. Child Care Assistance Approvals and Denials

A. The Department shall complete the eligibility determination within 30 calendar days of the application file date or referral receipt date, unless:

1. The application or referral is withdrawn,

2. The application or referral is rendered moot because the applicant has died or cannot be located, or

3. There is a delay resulting from a Department request for additional verification information as provided in R6-5-4906(D).

B. The Department shall deny Child Care Assistance when the applicant fails to:

1. Complete the application and an eligibility interview, as described in R6-5-4905;

2. Submit all required verification information within 10 days of the notice date of a written request for verification, or within 30 days of the application file date whichever is later; or

3. Cooperate during the eligibility determination process as required by R6-5-4911(A).

C. When an applicant satisfies all eligibility criteria, the Department shall determine the service authorization amount, the fee level and copayment amount (if applicable), approve Child Care Assistance, and send the applicant an approval notice. The approval notice shall include the amount of assistance, fee level and copayment information, and an explanation of the applicant's appeal rights.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4909. 12-month Review

A. The Department shall complete a review of all eligibility factors for each client at least once every 12 months, beginning with the 12th month following the first month of Child Care Assistance eligibility.

B. The Department may elect to review eligibility factors more frequently than every 12 months.

C. At least 30 days prior to the 12-month review date, the Department shall mail the client a notice advising of the need for a review, and the requirement to submit a completed review application and verification of income and other eligibility factors for the most recent calendar month.

D. In response to such notice, the client shall mail or deliver to the Department a completed review application and verification by the date on the notice.

E. The Department shall verify the client's income and any eligibility factors that have changed or are subject to change.

F. The Department shall terminate Child Care Assistance effective the review date and deny the review application if the client:

1. Fails to submit the review application by the review date, or

2. Fails to submit requested verification by the review date as required by the Department for a redetermination of eligibility.

G. If the client submits the review application and required verification within 30 days after the review date, the Department shall not require the client to appear for an intake interview and shall approve Child Care Assistance effective the date that the application and verification were received if other eligibility criteria are met.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4910. Reinstatement of Assistance

A. If the Department has terminated Child Care Assistance, the Department shall not reinstate assistance unless the client files a new application.

B. Notwithstanding subsection (A), the Department shall reinstate assistance within 10 calendar days when:

1. Termination was due to Department error; the Department shall reinstate assistance effective the date following the date of termination;

2. The Department receives a court order or administrative hearing decision mandating reinstatement; the Department shall reinstate assistance effective the date prescribed by the court order or hearing decision; or

3. The recipient files a request for a fair hearing within 10 days of the notice date of the termination notice and requests that assistance be continued pending the outcome of an appeal; the Department shall reinstate assistance effective the date following the date of termination.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4911. General Eligibility Criteria

A. Applicant and Recipient Responsibility.

1. An applicant for or recipient of Child Care Assistance shall cooperate with the Department as a condition of initial and continuing eligibility. The client shall:

a. Give the Department complete and truthful information;

b. Within two business days from the date the change becomes known, inform the Department of all changes in:

i. Income;

ii. Eligible activities as described in R6-5-4912;

iii. Work or school schedules;

iv. Persons moving in or out of the household;

v. Tax claimants moving in or out of the household;

vi. Other circumstances affecting eligibility or the amount of assistance authorized; and

c. Comply with all the Department's procedural requirements.

2. The Department may deny an application for or reduce or terminate assistance, if the client fails or refuses to cooperate with the Department to determine eligibility.

B. Eligible Applicants.

1. In order to be considered an eligible applicant for Child Care Assistance, a client shall reside with the child needing care and shall be:

a. The parent of the child for whom assistance is being requested; or

b. The caretaker relative related by blood, adoption, or marriage to the child for whom assistance is requested, including a brother, sister, aunt, uncle, first cousin, grandmother, grandfather, and persons of preceding generations as denoted by "grand," "great," or "great-great."

c. A court-appointed legal guardian for the child for whom assistance is requested, or a person who can provide documentation from the court that the process of legal guardianship has been initiated.

2. When more than one applicant resides in the home, or the child resides with two different caretakers intermittently, the Department shall determine the eligible applicant for Child Care Assistance as follows:

a. If both the parent and a caretaker relative are in the home, the parent is the eligible applicant;

b. If both a legal guardian and the parent are in the home, the legal guardian is the eligible applicant;

c. If a caretaker relative whose legal guardianship has been terminated and the parent are both in the home, the parent is the eligible applicant;

d. When the child resides with a caretaker relative or legal guardian who is acting as caretaker at least 51 percent of the time, and the parent either maintains a separate residence and visits the child intermittently, or resides outside of the child's home for an indefinite period of time, the caretaker relative or legal guardian of the child is the eligible applicant for the child.

i. An eligible applicant cannot be the noncertified relative provider or certified provider of the child for whom he or she is applying for assistance.

ii. The Department shall not consider the tax claimant status of the caretaker relative or legal guardian under R6-5-4914(D) with respect to any member of the eligible family.

e. When the child resides with two or more caretaker relatives, the caretaker relative who will be claiming the child as a dependent for income tax purposes is the eligible applicant for Child Care Assistance.

3. Acceptable verification of guardianship shall include the following court documents:

a. Petition for Temporary Appointment of Guardian (date stamped as received by the court);

b. Petition for Permanent Appointment of Guardian (date stamped as received by the court);

c. Order of Appointment of a Temporary Guardian;

d. Order of Appointment of a Permanent Guardian;

e. Letters and Acceptance of Permanent Guardianship.

4. If the client has not been appointed as a guardian when the Department authorizes Child Care Assistance, the client shall to continue the legal process for appointment in order to retain eligibility for Child Care Assistance.

5. The client shall verify relationship or guardianship status as requested by the Department.

C. Arizona Residency. The client and the child for whom assistance is requested shall be Arizona residents and shall be physically present within Arizona.

D. Age of the Child. An eligible child is birth through 12 years of age only; a child aged 13 or older is ineligible for Child Care Assistance.

E. Citizenship and Legal Residency Requirements.

1. The client shall be a United States citizen or shall be a legal resident of the United States.

2. The client shall verify citizenship or legal residency status as requested by the Department by providing a birth certificate, naturalization documentation, or alien or immigration registration documentation from the U.S. Immigration and Naturalization Service (INS).

F. Eligible Activity or Need.

1. The client, and any other parent or responsible person in the household shall be engaged in an eligible activity, or have an eligible need for Child Care Assistance as prescribed in R6-5-4912 that causes each client, parent, or responsible person to be unavailable to provide care to the child for whom assistance is requested.

2. The Department does not require a tax claimant to be engaged in an eligible activity, unless the tax claimant is the other parent of a child receiving Child Care Assistance.

G. Availability of the Client, Parent, and Responsible Person.

1. The Department shall consider the availability of the client, and any other parent or responsible person in the household in determining eligibility and the amount of Child Care Assistance authorized for each individual child needing care.

2. The client, parent, and any other responsible person in the household shall be unavailable to provide care to the child for whom assistance is being requested for a portion of a 24-hour day due to an eligible activity or need.

3. In a family with more than one parent or responsible person, the Department shall authorize Child Care Assistance for the period of time that neither the parent nor the responsible person is available due to an eligible activity or need.

4. The Department shall not consider the availability of a tax claimant in determining eligibility or amount of Child Care Assistance authorized for the client's children, unless the tax claimant is the other parent of a child receiving Child Care Assistance.

H. Provider Selection and Arrangements.

1. The Department shall not authorize Child Care Assistance until the applicant has selected a child care provider. An allowable child care provider for DES Child Care Assistance:

a. Shall be one of the following:

i. A DHS-licensed child care center;

ii. A DHS-certified group home;

iii. A DES-certified family child care home;

iv. A DES-certified in home care provider;

v. A DES-noncertified relative provider;

vi. A regulated provider meeting requirements established by military installations or federally recognized Indian Tribes.

b. Shall have a registration agreement with the Department.

2. The Department shall not authorize Child Care Assistance with a noncertified relative provider when Child Care Assistance is requested for a CPS referred family, or a CPS or DDD foster family;

3. The Department shall not authorize Child Care Assistance with a noncertified relative or certified provider when:

a. The relative or certified provider is the natural, step, or adoptive parent of the child for whom assistance is requested;

b. Child Care Assistance is requested by a Cash Assistance participant and the relative or certified provider is included in the same Cash Assistance grant as the child care applicant; or

c. The relative or certified provider is included in family size as prescribed in R6-5-4914(D), is the applicant for Child Care Assistance, or is the applicant's spouse.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4912. Eligible Activity or Need

A. Eligible activities and needs for Child Care Assistance are described in this subsection:

1. Employment. Full or part-time employment for monetary compensation;

2. Self Employment. Full or part time self employment for monetary compensation.

3. Education and Training Activities with Minimum Work Requirement. A client who is employed shall be eligible to receive Child Care Assistance for education and training activities as prescribed in subsections (A)(3)(a), (b), and (c).

a. Post-secondary education in a college or trade school.

i. The client is employed an average of at least 20 hours per week, per calendar month.

ii. A self-employed client meets the 20-hour work requirement if the client's monthly net profit, divided by the current minimum wage standard, equates to the average 20-hour weekly work requirement.

iii. The education or training activity is related to the client's employment goal.

iv. The client's educational level is freshman or sophomore as defined by the educational institution, or the educational activities are in pursuit of an Associate Degree, or the client is in training at a vocational or trade school.

v. The client shall maintain satisfactory progress in the educational activity and remain in good standing, as defined by the educational institution.

vi. The client has not received more than the lifetime limit of 24 months of Child Care Assistance for education and training activities. Child Care Assistance authorized for educational activities before August 1, 1997, does not count toward the 24-month limit.

vii. Countable months toward the 24-month limit are those calendar months in which the Department authorized additional child care services for education and training needs; the Department shall not calculate the 24-month limit based on monthly usage.

viii. The client assumes full responsibility for employment goals and educational choices made; the Department is under no obligation to provide Child Care Assistance until educational or employment goals are attained.

ix. The Department shall authorize Child Care Assistance for actual class time, time between classes as determined by the Department, and travel time to and from school only.

x. Correspondence courses, home study courses, and study time are not eligible educational activities for Child Care Assistance.

b. High School, G.E.D., E.S.O.L., and Remedial Educational Activities for Adults age 20 and Older.

i. The client is employed an average of at least 20 hours per week, per month.

ii. A self-employed client meets the 20-hour work requirement if the person's monthly net profit, divided by the current minimum wage standard, equates to the average 20-hour weekly work requirement.

iii. The educational or training activity is related to the client's employment goal.

iv. The client shall maintain satisfactory progress in the educational activity and remain in good standing, as defined by the educational institution.

v. The client has not received more than the lifetime limit of 12 months of Child Care Assistance for education and training activities described in this Section. Child Care Assistance authorized for educational activities before August 1, 1997, does not count toward the 12-month limit.

vi. Countable months toward the 12-month limit are those calendar months in which the Department authorized additional child care services for education and training needs. The Department shall not calculate the 12-month limit based on monthly usage.

vii. The client assumes full responsibility for employment goals and educational choices made; the Department is under no obligation to provide Child Care Assistance until educational and employment goals are attained.

viii. Allowable educational activities are: attendance at high school, G.E.D. or E.S.O.L. classes, or remedial educational activities as determined allowable by the Department.

ix. The Department shall authorize Child Care Assistance for actual class time, time between classes as determined by the Department, and travel time to and from school only.

x. Correspondence courses, home study courses, and study time are not allowable educational activities for DES Child Care Assistance.

c. Cash Assistance participants who are sanctioned due to Jobs noncompliance are ineligible for Child Care Assistance for education and training activities in any month when a Jobs sanction is applied to the Cash Assistance case, unless the education and training activities are Jobs approved.

4. Teen Parents in Education and Training Activities. Teen parents are eligible for Child Care Assistance for education and training activities according to the following criteria:

a. The teen parent is under age 20.

b. The teen parent is attending high school, G.E.D., or E.S.O.L. classes, or remedial educational activities in pursuit of a high school diploma.

c. Child Care Assistance for teen parents for the educational activities described in this Section is not time-limited. The teen parent shall continue to receive assistance for the educational activity if eligibility criteria are met and until the teen parent:

i. Receives a diploma or certificate; or

ii. Attains the age of 20 years, whichever occurs first.

d. If the teen parent attends post-secondary educational activities, the eligibility criteria outlined under "Post- Secondary Education" in subsection (A)(3)(a) shall apply.

e. The Department shall authorize Child Care Assistance for actual class time, time between classes as determined by the Department, and travel time to and from school only.

f. Correspondence courses, home study courses, and study time are not allowable educational activities for Child Care Assistance.

g. Cash Assistance participants who have been sanctioned due to Jobs noncompliance are ineligible for Child Care Assistance for education and training activities in any month that a Jobs noncompliance sanction is applied to the Cash Assistance case, unless the education and training activities are Jobs approved.

5. Participation in Jobs Approved Activities. Individuals participating in the Jobs Program and who receive Cash Assistance shall be eligible for Child Care Assistance if the following criteria are met.

a. The individual is referred by a Jobs Program Specialist to CCA for Child Care Assistance.

b. The individual is required to contact a local DES Child Care Office to notify CCA of the selection of a provider, and to cooperate with CCA to arrange child care services.

c. The Child Care service authorization shall be based on the days and hours of the approved Jobs activity as specified by the Jobs Program Specialist in the Jobs referral.

d. Jobs participants shall receive Child Care Assistance for Jobs approved educational and training activities only. Educational and training activities that are not Jobs approved are not eligible activities for Child Care Assistance for Jobs participants.

6. Unable or Unavailable to Provide Care. Clients who are unable or unavailable to care for their own children for a portion of a 24-hour day are eligible for Child Care Assistance according to the following criteria.

a. Clients who are unable to care for their own children due to a physical, mental, or emotional disability are eligible for Child Care Assistance when the diagnosis, inability to care for the children, and anticipated recovery date (or the date of the next medical evaluation) have been verified by a licensed physician, certified psychologist, or certified behavioral health specialist.

b. The Department shall authorize Child Care Assistance to cover:

i. The amount of time the client is unable to care for the child; and

ii. The amount of time needed for ongoing treatment for the specified condition as verified by the physician, certified psychologist, or certified behavioral health specialist.

c. Child Care Assistance shall not cover intermittent and routine appointments that are not part of an ongoing treatment plan.

d. Clients participating in a drug rehabilitation program are eligible for Child Care Assistance to participate in activities as specified by the drug rehabilitation program.

e. Clients participating in a court-ordered community service program are eligible for Child Care Assistance to support required community service participation as specified by the court.

f. Clients who are residents of a homeless or domestic violence shelter are eligible for Child Care Assistance based on shelter residency, and on verification provided by an authorized representative at the shelter. Child Care Assistance shall cover:

i. The days and hours that the client is unavailable to provide care to their own child due to participation in shelter-directed activities as verified by an authorized representative of the shelter; and

ii. The days and hours that the client is unable to provide care to the client's own child due to a physical, mental, or emotional disability as verified by a licensed physician, certified psychologist, or a certified behavioral health specialist.

B. Gaps In Employment. Clients receiving Child Care Assistance are eligible for continued assistance during gaps in employment.

1. The Department shall continue Child Care Assistance for each parent, legal guardian, or relative caretaker in the eligible family during no more than two gaps in employment of 30 days in each 12-month period.

2. The Department shall authorize Child Care Assistance during a 30-day gap in employment beginning the day after the last day worked, after the client provides verification of his or her job termination date.

3. Gaps in employment may be consecutive (if requested).

a. The Department shall continue Child Care Assistance for an additional 30 days upon request of the client, if the client has not already used Child Care Assistance during two gaps in employment in the most recent 12-month period immediately preceding the job termination date.

b. The second gap in employment shall begin the day after the last day of the first gap in employment.

4. The Department shall continue to authorize the same number of units of Child Care Assistance as previously authorized for the employment activity.

5. The Department shall decrease the client's fee level and copayment under Appendix A, based on the loss of earned income effective the date that terminated employment has been verified, or the day after the last day worked, whichever is the later date.

6. The Department shall end Child Care Assistance during a gap in employment on the 30th day after the client's last day worked, or on the 60th day after the client's last day worked if two consecutive gaps were authorized, unless the client can verify participation in a new eligible activity.

7. When a client fails to report job loss timely as described under R6-5-4911(A)(1), and continues to use Child Care Assistance, the Department shall automatically reduce the overpayment period by subtracting any unused gaps in employment in lieu of the corresponding months of overpayment.

8. Child care utilized during a gap in employment shall count toward the 60 month per child time limit for Child Care Assistance under R6-5-4919.

9. CPS Referred Families and CPS and DDD Foster Families.

a. Child Care Assistance shall be provided to families requiring assistance as documented in a CPS case plan, or to children who are in the care, custody, and control of the Department, and who need Child Care Assistance as documented in a foster care case plan.

b. Eligibility for Child Care Assistance under this provision shall be determined by CPS and DDD on a case by case basis.

C. Verification of Eligible Activity or Need. The client shall verify eligible activities and needs as requested by the Department. Acceptable verification shall include:

1. Pay stubs for the most recent 30-day period;

2. Employer's statement verifying start date, hourly rate of pay, work schedule, and frequency of pay including;

a. The date of receipt of the first full paycheck if the client is newly employed; and

b. The last day worked, if the client's employment has terminated.

3. Quarterly or annual tax statement for the most recent calendar quarter or year to verify self-employment activities;

4. Self-employment log to document self-employment activities and income accompanied by receipts for gross sales and business expenses for the most recent calendar month or quarter;

5. Written verification from an educational institution to verify days and hours of attendance, start and end dates of the activity, educational level, and satisfactory progress;

6. Written verification from a licensed physician, certified psychologist, or certified behavioral health specialist indicating the diagnosis, inability to care for the child, days and hours that child care is needed, and the anticipated recovery date;

7. Written verification from a homeless or domestic violence shelter indicating the days, hours, and duration that child care is needed as prescribed in subsection (A)(6)(f).

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4913. Applicants and Recipients as Child Care Providers

A. The client for Child Care Assistance may also be the child care provider for any child for whom assistance is requested when:

1. The client works for but is not the DES contracted party for the provision of Child Care Assistance;

2. The client receives monetary compensation for work performed as a child care provider;

3. The client cares for other unrelated children, for whom client does not receive Child Care Assistance, as well as for the child for whom the client has applied for Child Care Assistance; and

4. The client is unavailable to provide care to the child for whom assistance is requested. When the client is also the child care provider, this is defined as:

a. There is no "not for compensation" slot available for the child; and

b. Caring for the child as well as for the other children for whom the child care provider receives compensation, would exceed the ratio per state certification or licensing standards pursuant to A.R.S. § 36-897.01 and 6 A.A.C. 5, Article 52.

B. If there is no "not for compensation" slot available for the child, and other eligibility criteria described in this Article are met, the client for Child Care Assistance may also be the child care provider for the child for whom assistance is requested.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4914. Income Eligibility Criteria

A. Child Care Assistance Without Regard to Income. The Department shall not determine income eligibility for Child Care Assistance for the following:

1. Jobs participants who need Child Care Assistance to participate in the Jobs Program, and who are referred to CCA as prescribed in R6-5-4904(B).

2. Cash Assistance participants who need Child Care Assistance to maintain employment.

3. CPS referred families, and CPS or DDD foster families who need Child Care Assistance as documented in a CPS or foster care case plan, and who are referred to CCA as prescribed in R6-5-4904(B).

B. Child Care Assistance With Regard to Income. The Department shall determine income eligibility for Child Care Assistance for the following:

1. Former Cash Assistance participants who need Child Care Assistance to maintain employment as prescribed in R6-5-4916(A).

2. Clients who are not Cash Assistance participants but who need Child Care Assistance to maintain employment.

3. Teen parents who need Child Care Assistance for educational activities as prescribed in R6-5-4912(A)(4).

4. Clients who need Child Care Assistance because they are unable or unavailable to care for their own children due to physical, mental or emotional disability, participation in a drug treatment or court-ordered community service program, or residency in a homeless or domestic violence shelter as prescribed in R6-5-4912(A)(6).

C. Income Maximum for Child Care Assistance. The Department shall determine income eligibility by calculating the gross monthly income of all family members included in family size unless otherwise excluded as prescribed in subsections (D), (E), (F), and (H).

1. If the gross monthly income for the family is equal to or less than 165% FPL, the family meets the income eligibility requirements for Child Care Assistance.

2. If the gross monthly income for the family exceeds 165% FPL, the family does not meet the income eligibility requirements for Child Care Assistance.

D. Family Size Determination. The Department shall include the countable income of every person included in family size for the purpose of determining income eligibility as prescribed in this subsection.

1. Family size shall consist of:

a. The applicant for Child Care Assistance;

b. The applicant's natural, adoptive, and step children;

c. Any other parent or responsible person living in the household who is legally and financially responsible for either the applicant, or for the children needing care;

d. The children of the other parent or responsible person residing in the same household; and

e. The tax claimant under subsection R6-5-4914(D)(3).

2. When a parent applies for Child Care Assistance for a natural, adoptive, or step child, the Department shall:

a. If the applicant and other adult in the household are married, or have children in common who need child care, make one family size determination for the family.

b. Count the income of both parents.

3. When a tax claimant resides in the household with a parent who is applying for or receiving Child Care Assistance, the Department shall include the tax claimant in family size if:

a. The tax claimant states an intention to claim any of the following members of the eligible family residing in the same household as a dependent on the tax claimant's federal or state income tax return for the current calendar year:

i. The parent who is the applicant;

ii. The parent's natural, adoptive, or step children less than 18 years of age;

iii. The parent's spouse;

iv. The other parent of the children for whom assistance is requested, or who are receiving Child Care Assistance; or

v. The dependent children of the other parent residing in the household, and who are included in family size.

b. The tax claimant signs a declaration stating the intention to claim specific members of the eligible family as tax dependents for the current calendar year.

4. The Department shall include the tax claimant's dependent children under age 18 and spouse residing in the same household in family size.

5. When the applicant and his or her spouse are legally married and do not reside in the same household, but have the intention of remaining a family, the Department shall include the spouse in family size if the absent spouse is engaged in an eligible activity under R6-5-4912.

6. When a caretaker relative applies for Child Care Assistance for another related child only:

a. Family size shall consist of the other related child or children only; and

b. The Department shall exclude both the caretaker relative and his or her spouse from the family size determination.

7. When the applicant applies for Child Care Assistance for natural, adoptive, or step children, and also for another related child, the Department shall make one family size determination for the family:

a. Family size shall consist of the applicant, the applicant's child, any other related eligible children who need care, and any other parent or responsible person in the household.

b. Any income received by or for an "other related" child less than 13 years of age shall be counted.

c. If there is another relative in the household who states an intention to claim an other related child as a dependent for income tax purposes, this tax claimant must be the applicant for the child. The Department shall determine family size separately for this child under R6-5-4914(D)(6).

8. When an unwed minor parent applies for Child Care Assistance for his or her own child, and resides with his or her parents:

a. The Department shall include the following in family size, unless the minor parent or the minor parent's children are tax dependents as described under subsection (d) below:

i. The minor parent; and

ii. The minor parent's child.

b. The Department shall not include the parents and siblings of the unwed minor parent in family size.

c. The Department shall deem a portion of the monthly gross countable income received by the parent of the minor parent to be available to meet the needs of the unwed minor parent and his or her children as described in this subsection, unless the parent of the minor parent is a tax claimant, under subsection (d) below.

i. The Department shall calculate the monthly gross countable income of the parents of the unwed minor parent;

ii. The Department shall subtract the amount of monthly gross countable income that equates to 165% FPL as specified in Appendix A, for the number of parents and siblings of the unwed minor parent residing in the same household only; and

iii. The Department shall count the remaining monthly gross countable income received by the parents of the unwed minor parent as available to meet the needs of the unwed minor parent and his or her children in the income eligibility determination.

d. If a parent of the minor parent is a tax claimant who intends to claim the minor parent or the minor parent's child as a tax dependent, the Department shall determine family size as follows:

i. The Department shall include the tax claimant, the tax claimant's spouse, and the tax claimant's dependent children residing in the same household in family size with the minor parent, and his or her child; and

ii. The Department shall count all countable income received by the tax claimant and the tax claimant's spouse in the income eligibility determination.

9. When a married, separated, widowed, or divorced minor parent applies for Child Care Assistance for his or her own children:

a. The Department shall include the minor parent and his or her own dependent children in family size;

b. The Department shall include monthly gross countable income received by the minor parent and the other parent or responsible person residing in the home in the income eligibility determination;

c. The Department shall not consider income received by the parent of the minor parent in the income eligibility determination, unless the parent of the minor parent is a tax claimant, under subsection (8)(d); and

d. The Department shall not include parents and siblings of the minor parent in family size, unless the parent of the minor parent is a tax claimant, under subsection (8)(d).

10. If a tax claimant included in family size is also a parent who needs Child Care Assistance for his or her own child, the tax claimant shall submit a separate application.

a. The Department shall make a separate eligibility and family size determination for the tax claimant's dependent children less than age 18.

b. The Department shall include the parent, spouse or other parent or responsible person, and their dependent children in family size.

11. When a guardian applies for Child Care Assistance for a child in guardianship only, the Department shall:

a. Make one family-size determination for the child in guardianship.

b. Include all children in guardianship in family size.

c. Exclude the guardian and the guardian's spouse from family size.

d. Count the income received by or for the children in guardianship.

e. If the parent of the child needing care is also in the household, the Department shall not include the parent in family size; and shall not count his or her income.

12. When the applicant applies for Child Care Assistance for natural, step, or adoptive children in addition to the children in guardianship, the Department shall:

a. Make one family-size determination.

b. Include in family size the applicant, the applicant's children, the children in guardianship less than 13 years of age who need care, and any other parent or responsible person in the household.

c. Count the applicant's and other parent's or responsible person's income.

d. Count the income received by or for the children in guardianship less than 13 years of age.

13. When a foster parent applies for Child Care Assistance for his or her own children:

a. The Department shall include the applicant, other parent or responsible person, and their children in family size; and

b. The Department shall not include the foster child in family size unless the foster child is a relative.

E. Verification of Tax Claimant Status

1. The Department shall verify tax claimant status as described in R6-5-4914(D) by requiring:

a. The client to submit a signed and dated declaration stating that no relative 18 years of age or older residing in the same household intends to claim any member of the eligible family as a tax dependent for the current calendar year; or,

b. The client and the relative 18 years of age or older residing in the same household who intends to claim a member of the eligible family as a tax dependent for the current calendar year to:

i. Submit a signed and dated declaration stating that fact; and,

ii. State the name of the family member whom the relative intends to claim as a tax dependent.

2. The Department shall include the tax claimant, his or her spouse, and dependent children in family size upon receipt of the signed declaration.

3. If the tax claimant no longer intends to claim a member of the eligible family as a tax dependent, the client must sign and date a new declaration.

a. The new declaration shall specify that the tax claimant no longer intends to claim a member of the eligible family as a tax dependent.

b. The Department shall remove the tax claimant, tax claimant's spouse, and his or her dependent children from family size after receipt of the signed declaration.

F. Countable Income. The Department shall count the gross monthly income of a family as prescribed in subsection (D); countable income shall include:

1. Gross earnings received for work including wages, salary, armed forces pay (with the exception of specifically designated allotments for food and shelter costs), commissions, tips, overtime, piece-rate payments, and cash bonuses earned, before any deductions.

2. Net income from non-farm self employment including gross receipts minus business expenses. Gross receipts include the value of all goods sold and services rendered. Business expenses include costs of goods and services purchased or produced, rent, heat, light, power, depreciation charges, wages, and salaries paid, business taxes, and other expenses incurred in operating the business. The value of salable merchandise consumed by the proprietors of retail stores is not included as part of net income. Payments on loans or mortgages obtained to increase capital investments in property or equipment are not allowed as deductible expenses.

3. Net income from farm self employment which includes gross receipts minus operating expenses. Gross receipts include the value of all products sold, government crop loans, money received from the rental of farm equipment to others, and incidental receipts from the sale of wood, sand, gravel, and similar items. Operating expenses include costs of feed, fertilizer, seed, and other farming supplies, wages paid to farmhands, depreciation charges, cash rent, interest on farm mortgages, farm building repairs, farm taxes, and other expenses incurred in operation of the farm. The value of fuel, food, or other farm products used for family living is not included as part of net income. Payments on loans or mortgages obtained to increase capital investments in property or equipment are not allowed as deductible expenses.

4. Social Security payments prior to deductions for medical insurance including Social Security benefits and "survivors" benefits, and permanent disability insurance payments made by the Social Security Administration.

5. Railroad retirement insurance income.

6. Dividends including interest on savings, stocks and bonds, income and receipts from estates or trusts, net rental income or royalties, receipts from boarders or lodgers (net income received from furnishing room and board shall be 1/3 of the total amount charged). Interest on Series H. United States Government Savings bonds.

7. Mortgage payments received shall be prorated on a monthly basis.

8. Public assistance payments including payments from the following programs: Cash Assistance, Supplemental Security Income (SSI), State Supplementary Payments (SSP), General Assistance (GA), Bureau of Indian Affairs General Assistance (BIAGA), and Tuberculosis Control (TC).

9. Pensions and annuities including pensions or retirement benefits paid to a retired person or their survivors by a former employer or by a union, or distributions or withdrawals from an individual retirement account.

10. Unemployment Insurance payments including compensation received from government unemployment insurance agencies or private companies during periods of unemployment, and any strike benefits received from union funds.

11. Workers' compensation payments.

12. Money received from the Domestic Volunteer Act when the adjusted hourly payment is equal to or greater than minimum wage; Action Volunteer Programs include VISTA, Foster Grandparent Program (FGP), Retired Senior Volunteer Program (RSVP), and Senior Companion Program (SCP).

13. Alimony or spousal maintenance which shall be counted the month received.

14. Child support which shall be counted the month received.

15. Veterans' pensions including benefits and disability payments paid periodically by the Veterans Administration to members of the Armed Forces or to a survivor of deceased veterans.

16. Cash gifts received on a monthly basis from relatives, other individuals, and private organizations, as a direct payment in the form of money.

17. Money received through the lottery, sweepstakes, contests, or through gambling ventures whether received on an annuity or lump sum basis.

18. Any other source of income not specifically excluded in subsection (F).

G. Excluded Income. The Department shall exclude the items listed in this subsection when determining a family's gross monthly income.

1. Per capita payments to or funds held in trust for any individual in satisfaction of a judgment of the Indian Claims Commission or the Court of Claims;

2. Payments made pursuant to the Alaska Native Claims Settlement Act to the extent such payments are exempt from taxation under Section 21(a) of the Act;

3. Money or capital gains received as a lump sum, from the sale of personal or real property, such as stocks, bonds, or a car (unless the person was engaged in the business of selling such property, in which case the net proceeds would be counted as income from self employment);

4. Withdrawals of bank deposits;

5. Loans; money borrowed;

6. Tax refunds;

7. Any monies received through the federal Earned Income Credit (EIC);

8. One time lump sum awards or benefits, including:

a. Inherited funds;

b. Insurance awards;

c. Damages recovered in a civil suit;

d. Monies contributed by a client to a retirement fund that are later withdrawn prior to actual retirement; and

e. Retroactive public assistance payments;

9. The value of U.S. Department of Agriculture (USDA) Food Stamps;

10. The value of USDA-donated food;

11. The value of any supplemental food assistance received under the Child Nutrition Act of 1966 and special food service program for children under the National School Lunch Act, the Women, Infant, and Children Program (WIC), Child and Adult Care Food Program (C.A.C.F.P.), and the School Lunch Program;

12. Any payment received under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (for example, Navajo/Hopi Relocation Act);

13. Earnings of a child who is under the age of 18 and attending high school or other training program, and who is not a minor parent who needs Child Care Assistance for his or her own child;

14. Home produce used for household consumption;

15. Government-sponsored training program expenses (TRE payments) such as: training-related expenses paid to JOBS participants and Job Training Partnership Act (JTPA) training expenses paid directly to the client;

16. The value of goods or services received in exchange for work;

17. Interest on Series E, United States Government Savings bonds;

18. Foster care maintenance payments received for care of foster children;

19. Adoption subsidy payments received for the care of adopted children;

20. Educational loans, grants, awards, and scholarships regardless of their source, including Pell Grants, Supplemental Educational Opportunity Grants (SEOG), Bureau of Indian Affairs (BIA) Student Assistance Grants, college work-study income, Carl D. Perkins Vocational and Applied Technology Education Act income, and any other state or local, public, or private educational loans, grants, awards, and scholarships;

21. Money received from the Domestic Volunteer Act when the adjusted hourly payment is less than minimum wage; Action Volunteer Programs include VISTA, Foster Grandparent Program (FGP), Retired Senior Volunteer Program (RSVP), and Senior Companion Program (SCP);

22. Housing and Urban Development (HUD) benefits, cash allowances and credits against rent;

23. Vendor payments including payments made directly to a third party by friends, relatives, charities, or agencies to pay bills for the client;

24. Vocational Rehabilitation training-related expenses (TRE) which are reimbursements for expenses paid. Subsistence and maintenance allowances, and incentive payments not designated as wages;

25. Disaster relief funds and emergency assistance provided under the Federal Disaster Relief Act, and comparable assistance provided by a state or local government, or disaster assistance organization;

26. Energy assistance including all state or federal benefits designated as "energy assistance" or assistance from a municipal utility or non-profit agency;

27. Agent Orange payments;

28. Any other income specifically excluded by applicable state or federal law.

H. Income Deduction. Child support that is paid for dependents who do not reside in the same household with the eligible family shall be deducted from the monthly gross countable income prior to income calculation and fee level and copayment assignment as prescribed in subsection (I) and R6-5-4915.

I. Income Calculation. The Department shall calculate monthly income as prescribed in this subsection.

1. The Department shall include all income of all family members included in the family-size determination, other than income excluded as prescribed in R6-5-4914(F) in the determination of income eligibility.

2. The Department shall calculate a monthly figure for each source of income separately with the appropriate method used for calculation.

3. After calculating monthly income for each source of income, the Department shall add the monthly amounts from each source to obtain the total monthly income.

4. The Department shall convert income received less often than monthly to a monthly figure as provided in this subsection.

a. The Department shall prorate the total income over the number of months that the income is intended to cover.

b. If the income is received on or after the date of application, a monthly share of income shall be considered beginning with its earliest possible effective date and for a number of months equal to the number of months which the income covers.

c. If the family receives the income prior to the date of application, the number of months that the income is intended to cover shall be equal to the number of months of coverage remaining.

5. The Department shall anticipate income for a current or future month based on the averaged income received in the most recent 30-day period, unless the Department receives new information that indicates that the income has changed, as verified under subsection (J).

a. If the income received by the household has increased due to receipt of a new source of income, an increased work schedule, or a raise in salary or wages, the Department shall calculate the gross monthly countable income for the household based on the amount of income anticipated to be received on a monthly basis. The Department shall begin counting the new or increased income as described under subsection (6).

b. If the income received by the household has decreased due to loss of a source of income, a decreased work schedule, or a reduction in salary or wages, the Department shall cease counting the income effective the date that the client provides verification of the loss or reduction in income.

6. When a family receives a new or increased income source that will be received monthly, weekly, bi-weekly, or semi-monthly:

a. The income shall not be considered available to the family until the date that the first full payment is received.

b. The Department shall not assess a new fee level or ineligibility to the client until the monies are available.

c. Once the client has already received the payment that includes the new or increased income source, and a higher fee level or ineligibility results:

i. The Department shall increase the fee level or terminate assistance no earlier than 10 days after the first full paycheck has been received; and

ii. The Department shall send a 10-day negative action notice prior to increasing the fee level or terminating assistance.

7. The Department shall convert income received more often than monthly, for a period covering less than a month, to a monthly amount by one of the methods listed below.

a. If the income amount does not vary and is received monthly, weekly, bi-weekly, or semi-monthly, the conversion to a monthly amount will be obtained by multiplying the pay period amount by:

i. 1, if monthly;

ii. 4.3, if weekly;

iii. 2.15, if bi-weekly; or

iv. 2, if semi-monthly.

b. This amount shall be applied as income on an ongoing monthly basis until there is a change in the income.

c. If the monthly income received varies in amount and frequency, and exact monthly figures are unavailable, the Department shall use an average monthly figure.

8. When the Department calculates the gross monthly income for the family, the whole dollar amount only shall be used to determine income eligibility, and fee level and copayment assignment; any amount that is a fraction of a whole dollar shall be rounded down to the next whole dollar.

J. Verification of Income. The client shall verify income by providing written documentation of income as requested by the Department such as:

1. Pay stubs for the most recent calendar month, or for any month of potential overpayment;

2. Employer's statement verifying work schedule, hourly rate of pay, and frequency of pay;

3. Benefit award statements for the most recent benefit period;

4. Statements of account to verify interest income;

5. Quarterly or annual tax returns for the most recent quarter or year for self-employment income;

6. Self-employment log accompanied by gross sales receipts and business expense receipts for the most recent calendar month or quarter; and

7. Other written documentation from the source of the income indicating the amount of income received, source of income, frequency received, and naming the payee.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4915. Fee Level and Copayment Assignment

A. The Department shall assign a fee level to the family based on family size and monthly gross countable income, as specified in Appendix A.

B. The Department shall assign individual minimum required copayment amounts for each child in the family based on the fee level assignment, and the number of children needing care, as specified in Appendix A.

C. The Department shall not assign a fee level or minimum required copayment to Jobs participants, Cash Assistance participants who need Child Care Assistance for employment, or families determined eligible and referred by CPS or DDD.

D. When a client fails to pay the DES-required copayment, or fails to make satisfactory arrangements for payment of the DES-required copayment with a child care provider, the client is ineligible for Child Care Assistance.

E. When the Department has determined that an client is ineligible for Child Care Assistance due to nonpayment of the copayment, the client is ineligible for any Child Care Assistance program that requires a copayment until past-due copayments have been paid, or until satisfactory arrangement have been made with the provider for payment.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4916. Special Eligibility Criteria

A. Transitional Child Care

1. Former Cash Assistance participants who are attempting to achieve independence from the Cash Assistance program, who need Child Care Assistance for employment, and who are otherwise eligible shall receive up to 24 months of Transitional Child Care Assistance.

2. The former Cash Assistance participant shall have received Cash Assistance in Arizona in at least one month and shall apply for Child Care Assistance within six months after the Cash Assistance case closure date.

3. The former Cash Assistance participant and any other parent or responsible person in the household shall need Child Care Assistance to maintain employment.

4. The most recent Cash Assistance case closure shall not have been due to a sanction for Jobs or Child Support noncompliance, and the Cash Assistance participant shall not have been sanctioned due to intentional program violation (IPV) at the time of the most recent Cash Assistance case closure.

B. Cash Assistance Diversion Participants.

1. Applicants for Cash Assistance who are diverted from long-term Cash Assistance through the Cash Assistance Diversion program shall be treated as Cash Assistance participants during the three-month period that the Cash Assistance Diversion payment covers.

2. Cash Assistance Diversion participants shall be eligible for Child Care Assistance for employment activities without regard to income as prescribed in R6-5-4914(A) during the three-month Diversion period.

3. Cash Assistance Diversion participants shall be eligible for Child Care Assistance for job search activities during the three-month Diversion period.

4. Cash Assistance Diversion participants shall be eligible for Transitional Child Care after the three-month Diversion period if the income eligibility requirements in R6-5-4914(B) and the TCC requirements in subsection (A) of this provision are met.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4917. Waiting List for Child Care Assistance

A. Implementation of a Waiting List for Child Care Assistance.

1. The Department may implement a waiting list for Child Care Assistance whenever it determines that sufficient funding is not available to sustain benefits for all of the applicants requesting assistance.

a. The Department may implement a waiting list for all applicants under subsection (B); or,

b. The Department may implement a partial waiting list and prioritize access to Child Care Assistance for applicants based on income under subsection (D).

2. When the waiting list is in effect, the Department shall place applicants determined to be eligible for Child Care Assistance on the waiting list under this subsection, and shall not authorize Child Care Assistance until the Department determines that sufficient funding is available.

B. Applicants Who Are Subject To the Waiting List. When the waiting list is in effect, the Department shall place applicants determined to be eligible for Child Care Assistance on the waiting list, including individuals who are reapplying for Child Care Assistance following case closure. The Department shall place the following applicants on the waiting list:

1. Applicants who are not Cash Assistance participants but who need Child Care Assistance to maintain employment under R6-5-4912(A).

2. Teen parents who need Child Care Assistance for educational activities under R6-5-4912(D).

3. Applicants who need Child Care Assistance because they are unable or unavailable to care for their own children due to physical, mental, or emotional disability, participation in a drug treatment or court-ordered community service program, or residency in a homeless or domestic violence shelter under R6-5-4912(F).

C. Applicants Who Are Not Subject To the Waiting List. When the waiting list is in effect, the Department shall not place the following applicants determined eligible for Child Care Assistance on the waiting list, and shall proceed to authorize Child Care Assistance under R6-5-4918.

1. Jobs participants who need Child Care Assistance to participate in the Jobs Program, and who are referred to CCA under R6-5-4904(B).

2. Cash Assistance participants who need Child Care Assistance to maintain employment under R6-5-4904(B).

3. CPS referred families, and CPS or DDD foster families who need Child Care Assistance as documented in a CPS or foster care case plan, and who are referred to CCA under R6-5-4904(B).

4. Former Cash Assistance participants who need Child Care Assistance to maintain employment under R6-5-4916(A).

D. Prioritization of Applicants for Child Care Assistance When the Waiting List Is In Effect. The Department shall prioritize applicants for authorization of Child Care Assistance when the waiting list is in effect under this subsection.

1. Prioritization Based On Income.

a. Families with gross monthly incomes at or below 100% of the Federal Poverty Level (FPL) receive the highest priority for assistance;

b. The Department shall prioritize the remainder of families applying for Child Care Assistance when the waiting list is in effect in the following order:

i. Families with gross monthly incomes between 101% FPL and 110% FPL;

ii. Families with gross monthly incomes between 111% FPL and 120% FPL;

iii. Families with gross monthly incomes between 121% FPL and 130% FPL;

iv. Families with gross monthly incomes between 131% FPL and 140% FPL;

v. Families with gross monthly incomes between 141% FPL and 150% FPL;

vi. Families with gross monthly incomes between 151% FPL and 160% FPL;

vii. Families with gross monthly incomes between 161% FPL and 165% FPL;

2. Prioritization Based On Application Date. The Department shall place clients determined eligible for Child Care Assistance on the waiting list effective the date that the Department receives an identifiable application, under R6-5-4904(A)(2).

E. Cooperation Requirement for Clients on the Waiting List.

1. Clients shall cooperate with the Department to maintain eligibility while on the waiting list, under R6-5-4911(A).

2. If the family's household income changes, the client shall notify the Department of the change in income within 2 workdays.

3. If someone moves in or out of the household, the client is required to notify the Department within 2 workdays.

4. The Department shall recalculate gross household income and notify the client of any changes in priority status described under subsection (D) based on the change in income or family size.

F. Loss of Employment While On the Waiting List.

1. If the parent or caretaker of the child loses employment while on the waiting list, the family may remain on the waiting list without an eligible activity.

2. When the Department selects the family for release from the waiting list under subsection (H), the Department shall require the parent or caretaker of the child to verify participation in an eligible activity under R6-5-4912 before the Department authorizes the family to receive Child Care Assistance.

G. Determination of Ineligibility While On the Waiting List.

1. If the family becomes ineligible for Child Care Assistance while on the waiting list, or during release from the waiting list under subsection (J), the Department shall remove the client from the waiting list and close the case.

2. The client shall submit a new application and verify eligibility for Child Care Assistance in order to be added back onto the list effective the new application date.

H. Selection from the Waiting List.

1. The Department shall select clients for release from the waiting list within each level of income priority as described under subsection (D), and in application date order.

2. When the Department notifies the client that he or she is being released from the waiting list, the Department may require the client to verify income, employment, other household circumstances or provider selection prior to being authorized for Child Care Assistance.

I. Clients Determined Eligible Upon Selection for Release from the Waiting List.

1. The Department shall authorize Child Care Assistance effective a date specified by the Department based on the availability of funding, after the client has submitted any requested verification and the Department has determined that the family remains eligible for Child Care Assistance.

2. If the client is eligible for Child Care Assistance, the Department shall authorize Child Care Assistance, and shall notify the client in writing regarding:

a. The start date of Child Care Assistance;

b. The amount of assistance authorized for each child under R6-5-4918; and

c. The assigned fee level and copayment for each child.

J. Clients Determined Ineligible Upon Selection for Release from the Waiting List.

1. If the client is not eligible for Child Care Assistance as described in R6-5-4920, the Department shall notify the client regarding ineligibility under R6-5-4921.

2. The Department shall require the client to submit a new application and verify eligibility for Child Care Assistance in order to be added back onto the list effective the new application date, if a waiting list remains in effect.

K. Clients Selected for Release from the Waiting List in Error.

1. If the Department determines that a client was not eligible for selection from the waiting list, and the waiting list remains in effect, the Department shall proceed as described under this subsection.

2. If the Department determines that the client is currently at a lower level of priority for assistance under subsection (D)(1) due to a previously unreported change in income or family size, the Department shall not authorize Child Care Assistance.

3. The Department shall reinstate the client on the waiting list effective the existing application date; and,

4. Notify the family in writing of reinstatement to the waiting list and the newly assigned level of priority.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Former R6-5-4917 renumbered to R6-5-4918; new R6-5-4917 made by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4918. Authorization of Child Care Assistance

A. Authorization Based on Eligible Activity or Need. The Department shall authorize Child Care Assistance for a portion of each 24-hour day based on the verified eligible activity or need of the parent and responsible person for the child needing care.

B. Authorization Based on Unavailability. The amount of Child Care Assistance authorized by the Department shall be based on the amount of time that the client and any other parent or responsible person in the household are unavailable or incapable to provide care to their own children due to an eligible activity or need as prescribed in R6-5-4911(F) and R6-5-4912. When there are two or more parents or responsible persons in the household, Child Care Assistance shall be authorized for the amount of time that neither parent or responsible person is available due to an eligible activity or need.

C. Authorization for Self-employment Activities.

1. The Department shall authorize Child Care Assistance for self-employment activities based on monthly net income divided by the current hourly minimum wage standard.

2. Authorization of Child Care Assistance for self-employment activities shall not exceed the lesser of:

a. The maximum number of Child Care Assistance units that can be authorized as prescribed in subsections (B) and (D), or

b. The number of hours calculated by dividing monthly net income from self-employment by the amount of the hourly minimum wage standard, or

c. The number of hours of Child Care Assistance needed by the client to perform self employment activities.

D. Six-child Authorization Limit.

1. The Department shall authorize no more than six children in the eligible family at any given point in time.

a. The six-child authorization limit applies to clients under this subsection.

i. Clients who are not Cash Assistance participants but who need Child Care Assistance to maintain employment;

ii. Teen parents who need Child Care Assistance for educational activities under R6-5-4912(D); and

iii. Clients who need Child Care Assistance because they are unable or unavailable to care for their own children due to physical, mental, or emotional disability, participation in a drug treatment or court-ordered community service program, or residency in a homeless or domestic violence shelter under R6-5-4912(F).

b. The six-child authorization limit shall not apply to the following clients:

i. Jobs participants who need Child Care Assistance to participate in the Jobs Program, and who are referred to CCA under R6-5-4904(B);

ii. Cash Assistance participants who need Child Care Assistance to maintain employment;

iii. CPS referred families, and CPS or DDD foster families who need Child Care Assistance as documented in a CPS or foster care case plan, and who are referred to CCA under R6-5-4904(B); and

iv. Former Cash Assistance participants who need Child Care Assistance to maintain employment under R6-5-4916(A).

c. For eligible families who are not subject to the six-child limit, there is no limit to the number of eligible children whom the Department can authorize to receive Child Care Assistance in the eligible family.

2. If the eligible family requests Child Care Assistance for more than six children, the family shall select the six children to be authorized to receive Child Care Assistance.

3. If the family fails to designate six children to receive Child Care Assistance as requested, the Department shall authorize the six youngest children.

4. If the client is already receiving Child Care Assistance for six children and requests assistance for a new child, the Department shall not authorize assistance for the new child until the client notifies the Department which child will no longer receive Child Care Assistance.

E. Units of Child Care Assistance.

1. The Department shall authorize Child Care Assistance in full- and part-day units;

2. The Department shall not authorize more than 3l units for each child, per child care provider in a calendar month;

3. A part-day unit of Child Care Assistance is less than six hours;

4. A full-day unit of Child Care Assistance is six hours or more;

5. Each child care provider determines the upper limit of what constitutes a full day of care for that provider.

F. Date of Eligibility. The Department shall approve eligibility for Child Care Assistance effective the application file date or referral receipt date as described in R6-5-4904 if the client satisfies all applicable conditions of eligibility as prescribed in this Article.

G. Date of Authorization.

1. The Department shall authorize Child Care Assistance to begin effective the start date of the eligible activity or need, but not earlier than application file date, request date, or referral receipt date as described in R6-5-4904.

2. The Department may authorize Child Care Assistance with an effective date that precedes the referral receipt date when the referral is received untimely due to administrative delay and the eligible start date of the activity or need precedes the referral receipt date for clients who are referred for Child Care Assistance as described in R6-5-4904 (B).

H. Exclusion from Authorization. The Department shall not authorize Child Care for educational services for children enrolled in grades 1 through 12 when such services are provided during the regular school day.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Former R6-5-4918 renumbered to R6-5-4920; new R6-5-4918 renumbered from R6-5-4917 and amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4919. Time Limit for Child Care Assistance

Under A.R.S. § 46-803(K), each child shall receive time-limited Child Care Assistance, unless the child's parents or caretakers qualify for an extension under this Section.

A. Clients Who Are Subject To the Time Limit.

1. Clients who are not Cash Assistance participants but who need Child Care Assistance to maintain employment;

2. Teen parents who need Child Care Assistance for educational activities under R6-5-4912(D); and

3. Clients who need Child Care Assistance because they are unable or unavailable to care for their own children due to physical, mental, or emotional disability, participation in a drug treatment or court-ordered community service program, or residency in a homeless or domestic violence shelter under R6-5-4912(F).

B. Clients Who Are Not Subject To the Time Limit.

1. Jobs participants who need Child Care Assistance to participate in the Jobs Program, and who are referred to CCA under R6-5-4904(B);

2. Cash Assistance participants who need Child Care Assistance to maintain employment;

3. CPS referred families, and CPS or DDD foster families who need Child Care Assistance as documented in a CPS or foster care case plan, and who are referred to CCA under R6-5-4904(B); and

4. Former Cash Assistance participants who need Child Care Assistance to maintain employment under R6-5-4916(A).

C. Effective Date of the Time Limit. The 60-month time limit shall begin:

1. For applicants of Child Care Assistance eligible under any of the categories listed in subsection (A) who file an application on or after January 1, 2007, on the date the application is received by the Department.

2. For clients receiving Child Care Assistance on January 1, 2007 under subsection (A), January 1, 2007.

3. For clients receiving Child Care Assistance on January 1, 2007 under subsection (B), the first date that the Department determines that the existing client is eligible for Child Care Assistance under one of the categories described in subsection (A).

D. Calculation of the Time Limit.

1. Each child receiving Child Care Assistance under subsection (A) shall receive time-limited assistance for:

a. Any combination of 1380 paid full or part day child care units; or

b. Child Care Assistance that spans 60 calendar months, whichever is later. A calendar month is one in which the Department pays for at least one full- or part-day unit.

2. Any unit of assistance used by the child, and later identified as a provider or agency caused overpayment shall not count toward the child's time limit.

3. Any unit of assistance used by the child, and later identified as a client-caused overpayment shall not count toward the child's time limit, if the family repays the overpayment.

4. The Department shall apply the time limit individually to each child in the family, and not to the parent or caretaker of the child.

a. If a different caretaker applies for the child at a later point in time, each child will be entitled to the remaining portion of time-limited Child Care Assistance that has not yet been utilized.

b. Any Child Care Assistance utilized by the child as part of an eligible family that was exempt from the time limit under subsection (B) shall not count toward the child's time limit.

E. Expiration of the Time Limit.

1. When a child exhausts time-limited of Child Care Assistance under this subsection, the Department shall stop assistance for the child unless the parents or caretakers of the child qualify for an extension under Section (F).

2. When all of the children in a family have exhausted the time limits of Child Care Assistance, the Department shall terminate assistance for the family unless the parents or caretakers:

a. Qualify for an extension under subsection (F); or,

b. Are no longer subject to the time limit as described in subsection (B).

F. Extension of the Time Limit for Child Care Assistance.

1. The Department shall grant a 6-month extension to the time limit if the parents or caretakers show efforts toward self-sufficiency during the most recent 6-month period. The Department may elect to grant extensions on a 12-month basis. In order to qualify for an extension, the parents or caretakers in the family shall:

a. Currently be engaged in an activity that promotes self-sufficiency, which means the parents or caretakers continue to:

i. Be employed a monthly average of 20 or more hours per week;

ii Be employed less than 20 hours per week and earning at least minimum wage;

iii Be employed a monthly average of at least 20 hours per week while attending school or training;

iv. Remain self-employed with a net profit equating to a monthly average of 20 hours per week times minimum wage;

v. Attend high school, G.E.D. classes, or remedial education for the attainment of a high school diploma for a teen parent under 20 years of age;

vi. Follow the treatment plan prescribed by a physician, psychiatrist, psychologist for the treatment of a specified mental, physical, or emotional condition, which precludes the parent or caretaker for caring for his or her own child for a portion of a 24-hour day;

vii. Participate in a drug/alcohol rehabilitation plan or court-ordered community service plan; or

viii. Participate in a homeless or domestic violence case plan while residing in a shelter; and,

b. Sign and date the "Self-Sufficiency Statement" and declare that the parents or caretakers have taken at least one of the following actions during the most recent six or 12-month period to promote self-sufficiency:

i. Received a job promotion, or an increase in wages, hours, or benefits;

ii. Remained consistently employed;

iii. Remained self-employed and consistently demonstrated a net profit;

iv. Applied for a better job;

v. Left one job for a better job (higher pay, more hours, better schedule, or better benefits);

vi. Registered with DES Employment Services (e.g., One Stop Career Center or DES Job Service) or another public or private employment agency, or job searched independently;

vii. Not requested Cash Assistance;

viii. Engaged in activities to pursue or maintain child support payments from an absent parent through DES Child Support Enforcement, the county attorney's office, or a private attorney;

ix. Attended work-related school or training, or pursued a degree or certificate that will lead to enhanced career opportunities;

x. Attended high school, remedial education for the attainment of a high school diploma or G.E.D. classes;

xi. Attended English for Speakers of Other Languages (E.S.O.L.) classes;

xii. Attended a trade or vocational school, college or university and made satisfactory progress in the activity;

xiii. Continued with a course of treatment under the direction of a physician, psychiatrist, or psychologist;

xiv. Followed a shelter case plan while residing in a domestic violence/homeless shelter;

xv. Participated in or completed a drug/alcohol rehabilitation or court-ordered community service program;

xvi. Participated in other employment-related activities or career-related training activities; or

xvii. Any other similar action acceptable to the Department that demonstrates that the parents or caretakers are moving toward self sufficiency.

2. If the parents or caretakers do not meet the conditions specified at subsections (1)(a) and (b), the family does not qualify for an extension of the time limit.

3. If the parents or caretakers meet the conditions specified at subsections (1)(a) and (b), and all other eligibility criteria are met, the family shall qualify for additional six or 12-calendar month extension periods if the parents or caretakers continue to meet the criteria at the end of each extension period.

G. Extension of the Time Limit after Case Closure. When a parent or caretaker applies for Child Care Assistance after the time limit for the child in care has been exhausted, the parent or caretaker of the child may qualify for an extension as follows:

1. The parent or caretaker shall be an eligible applicant under R6-5-4911(B), and shall meet the criteria for Child Care Assistance eligibility;

2. All parents or caretakers shall meet the self-sufficiency criteria prescribed at R6-5-4919(F); and

3. The parent or caretaker may qualify for successive extensions of the time limit under subsection (F).

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Former R6-5-4919 renumbered to R6-5-4921; new R6-5-4919 made by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4920. Denial or Termination of Child Care Assistance

The Department shall deny or terminate Child Care Assistance and provide written notification as prescribed in R6-5-4921 when the client:

1. Is not an eligible applicant as prescribed in R6-5-4911(B);

2. Is not a U.S. citizen or legal resident of the U.S.;

3. Is not a resident of the state of Arizona;

4. Has no children under the age of 13;

5. Has income that exceeds the maximum allowable as prescribed in R6-5-4914(C);

6. Does not have an eligible need, and is not engaged in an eligible activity as prescribed in R6-5-4912;

7. Is available to care for the children for whom assistance is requested (or there is another parent or responsible person in the household who is not engaged in an eligible activity and is available to provide care);

8. Has not provided the information or documentation required for a determination or redetermination of eligibility;

9. Has failed to cooperate in the arrangement of child care services;

10. Has not selected a child care provider who is registered with the Department;

11. Has requested that the application be withdrawn or that assistance be terminated;

12. Is a member of a family that already has an active case or pending application on file for Child Care Assistance;

13. Cannot be located by phone or mail and mail addressed to last known address has been returned;

14. Is deceased, incarcerated, or confined to an institution; or

15. Does not satisfy one or more eligibility criteria listed in R6-5-4904 through R6-5-4916;

16. Has exhausted the 60-month lifetime limit for all children in the eligible family under R6-5-4919(D) and does not qualify for an extension.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Former R6-5-4920 renumbered to R6-5-4923; new R6-5-4920 renumbered from R6-5-4918 and amended by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4921. Notification Requirements

A. The Department shall mail or deliver written notice to the client as follows:

1. On a decision about an application, within 30 calendar days of the date that the Department receives the completed application.

2. On a positive action, the Department shall mail adequate notice on or before the date the action will become effective.

3. On a change in the amount of authorized units based on a change in need, the Department shall mail adequate notice on or before the date the action will become effective.

4. On a negative action, the Department shall mail the notice at least 10 calendar days in advance of the date the action will become effective.

5. On changes in law or policy which affect entire classes or groups and concern issues not related to individual questions of fact, the Department shall issue notice of such action at least 10 calendar days in advance of the effective date of the action.

B. The Department shall not provide notice on a negative action when:

1. Child Care Assistance authorized for a specified period of time is terminated and the individual was informed in writing of the termination date when the Child Care Assistance was initiated;

2. The applicant, client, or child is deceased; and

3. There is a loss of contact with the client and mail addressed to the last known address has been returned.

C. Written notice shall include a statement of the action to be taken, the reasons for the intended action, citation to the specific rule supporting the action, and an explanation of the client's rights regarding a request for a fair hearing.

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Former R6-5-4921 renumbered to R6-5-4924; new R6-5-4921 renumbered from R6-5-4919 by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to Laws 1997, Ch. 300, § 74(A). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4922. Repealed

Historical Note

Adopted effective July 31, 1997, under an exemption from the provisions of A.R.S. Title 41, Chapter 6 (Supp. 97-3). Section repealed by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to A.R.S. § 41-1005(A)(27). Exemption from A.R.S. Title 41, Chapter 6 means the Department did not submit these rules to the Governor's Regulatory Review Council for review and approval; and the Department was not required to hold public hearings on this Section.

R6-5-4923. Overpayments

A. Overpayments; Date of Discovery.

1. The Department shall pursue collection of all client- and provider-caused overpayments.

2. The Department discovers an overpayment on the date the Department determines that an overpayment exists.

3. The Department shall write an overpayment report within 90 days of the discovery date.

4. If the CCA office suspects that an overpayment was caused by fraudulent activity, it shall refer the overpayment report to the Department's Office of Special Investigations for potential prosecution.

5. The Department shall not attempt to recover an overpayment from a person who is not a current recipient when the overpayment was not the result of fraud, and the Department has exhausted reasonable efforts to collect the overpayment and has determined that it is no longer cost effective to pursue the claim.

B. Overpayments: Persons Liable. The Department shall pursue collection of an overpayment from:

1. The client if the overpayment was caused by the client;

2. Any individual member of the family who was included in family size as prescribed in R6-5-4914 (D) during the overpayment period if the overpayment was caused by the client; or

3. The child care provider if the overpayment was caused by the provider.

Historical Note

Adopted effective July 1, 1998, under an exemption from the provisions of A.R.S. Title 41, Chapter 6; filed in the Secretary of State's Office June 30, 1998 (Supp. 98-2). Former R6-5-4923 renumbered to R6-5-4925; new R6-5-4923 renumbered from R6-5-4920 by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006
(Supp. 06-4).

R6-5-4924. Appeals

A. Entitlement to a Hearing.

1. An applicant for or recipient of Child Care Assistance is entitled to a hearing to contest the following Department actions:

a. Denial of the right to apply for assistance;

b. Complete or partial denial of an application for assistance;

c. Failure to make an eligibility determination on an application within 30 days of the application file date;

d. Suspension, termination, reduction, or withholding of assistance except as provided in subsection (B);

e. Increase in the fee level and DES-required copayment amount; or

f. The existence or amount of an overpayment attributed to the family or the terms of a plan to repay the overpayment.

2. Applicants and recipients are not entitled to a hearing to challenge benefit adjustments made automatically as a result of changes in federal or state law, unless the Department has incorrectly applied such law to the individual seeking the hearing.

B. Request for Hearing; Time Limits.

1. A person who wishes to appeal a negative action shall file a written request for a fair hearing with a local CCA office, within 10 days of the negative action notice date.

2. A request for a hearing is deemed filed;

a. On the date it is mailed, if transmitted via the United States Postal Service or its successor. The mailing date is as follows:

i. As shown by the postmark;

ii. As shown by the postage meter mark of the envelope in which it is received, if there is no postmark; or

iii. The date entered on the document as the date of its completion, if there is no postmark or no postage meter mark, or if the mark is illegible.

b. On the date actually received by the Department, if not sent through the mail as provided in subsection (B)(2)(a).

3. The submission of any document is considered timely if the appellant proves that delay in submission was due to Department error or misinformation, or to delay caused by the U.S. Postal Service or its successor.

4. Any document mailed by the Department is considered as having been given to the addressee on date it is mailed to the addressee's last known address. The date mailed shall be presumed to be the date shown on the document, unless otherwise indicated by the facts.

5. The Office of Appeals shall deny any request that is not timely filed. A party may appeal a decision on the timeliness of an appeal.

C. Hearing Requests; Preparation and Processing.

1. Within two work days of receiving a request for appeal, the local CCA office shall notify the Office of Appeals of the hearing request.

2. Within 10 days of receiving a request for appeal, the local CCA office shall prepare and forward to the Office of Appeals a prehearing summary which shall include:

a. The appellant's name (and case name, if different);

b. The appellant's SSN (or case number, if different);

c. The local office responsible for the appellant's case;

d. A brief summary of the facts surrounding, and the grounds supporting, the negative action;

e. Citations to the specific provisions of this Article or the Department's CCA manual which support the Department's action; and

f. The decision notice and any other documents relating to the appeal.

3. The local office shall mail the appellant a copy of the summary. Upon receipt of a hearing request, the Office of Appeals shall schedule the hearings.

D. Continuation of Assistance Pending Appeal; Exceptions.

1. If an appellant files a request for appeal within 10 calendar days of the negative action notice date, the Department shall continue assistance at the current level unless:

a. The appellant waives continuation of current assistance,

b. The appeal results from a change in federal or state law which mandates an automatic adjustment for all classes of recipients and does not involve a misapplication of the law, or

c. The appellant is requesting continuation of TCC benefits for longer than the 24-month eligibility period.

2. The negative action shall be stayed until receipt of an official written decision in favor of the Department, except in the following circumstances:

a. At the hearing and on the record, the hearing officer finds that the sole issue involves application of law, and the Department properly applied the law and computed the assistance due the appellant;

b. A change in eligibility or assistance amount occurs for reasons other than those being appealed, and the eligible family receives and fails to timely appeal a notice of negative action concerning such change;

c. Federal or state law mandates an automatic adjustment for classes of recipients;

d. The appellant withdraws the request for hearing; or

e. The appellant fails to appear for a scheduled hearing without prior notice to the Office of Appeals, and the hearing officer does not rule in favor of the appellant based upon the record.

3. Upon receipt of a decision in favor of the Department, the Department shall write an overpayment for the amount of any assistance the family received in excess of the correct amount, while the stay was in effect.

Historical Note

Section R6-5-4924 renumbered from R6-5-4921 by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

R6-5-4925. Maximum Reimbursement Rates For Child Care

The Department shall pay the maximum reimbursement rates for child care as set forth in Appendix B.

Historical Note

Section R6-5-4925 renumbered from R6-5-4923 by exempt rulemaking at 13 A.A.R. 92, effective December 31, 2006 (Supp. 06-4).

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5002. Provider Participation Requirements

A. To be considered for inclusion in the CCR&R database, a provider shall submit the following information to the Contractor for the provider's SDA:

1. Provider's name;

2. Address;

3. Phone number;

4. Days and times the facility is open;

5. Ages of children accepted;

6. Capacity;

7. Regulatory affiliation, if any;

8. Meals provided to children in care;

9. Training and experience;

10. Accreditation;

11. Fees;

12. School transportation;

13. DES Provider ID, if applicable;

14. The provider's choice of listing status; and

15. DHS Child Development Center (CDC) or Small Group Home (SGH) number.

B. Regulated Providers: Before adding a regulated provider to the CCR&R database, the Contractor shall confirm the provider's regulatory affiliation with the appropriate regulatory agency. For the purpose of this subsection, confirmation of the regulatory affiliation is based solely on the accuracy of the information obtained from the regulatory agency.

C. Registered Providers: The provisions in this subsection govern provider participation requirements for registered family child care providers.

1. In addition to the information listed in subsection (A), a registered family child care provider shall complete and submit to the Contractor, on Department-approved forms, a notarized sworn statement and a notarized certification statement attesting that the provider is not subject to exclusion or removal from the CCR&R database under any of the grounds specified in A.R.S. § 41-1967(E).

2. Before adding a registered family child care provider to the CCR&R registry and database, a Contractor shall review the provider's sworn statement and certification statement described in subsection (C)(1) and include on the registry only those providers who affirm that they are not subject to exclusion or removal under A.R.S. § 41-1967(E).

3. Before adding a registered family child care provider to the CCR&R registry and database, a Contractor shall receive clearance from the Department that neither a provider nor anyone providing care in the provider's home has had a child abuse or neglect investigation that has been substantiated by Child Protective Services (CPS) in this state.

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5003. Notification of Changes

A. A provider listed on the CCR&R database shall notify the Contractor of any changes to the information or statement given under R6-5-5002(A) or (C)(1).

B. A provider may modify self-initiated changes in listing status at any time by notifying the Contractor.

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5004. Referrals Not Guaranteed

A. A Contractor shall make referrals to participating providers on a random basis based on a family's self-reported needs.

B. A Contractor shall not:

1. Guarantee the number or frequency of referrals to a participating provider; or

2. Guarantee that listing on the CCR&R will result in economic benefit or gain to a participating provider.

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5005. Referral Process

A. To obtain a referral, a customer shall give the contractor the following information, if available, about the customer's child care needs:

1. Customer name;

2. Address;

3. Phone number;

4. Days and times child care is needed;

5. Preferred type of child care provider;

6. Location where care is needed or preferred, and

7. Age of child.

B. A Contractor shall give a customer a referral that is consistent with the customer's stated preferences.

1. The Contractor shall not make a referral unless the Contractor can give the customer the names of at least three potential providers within the customer's search parameters.

2. If the Contractor cannot name at least three potential providers meeting the customer's stated preferences, the Contractor shall ask the customer to expand the search parameters until the Contractor can name at least three potential providers.

C. The Contractor shall provide the customer with provider profile information on each referred provider, including the following:

1. Provider's name;

2. Address or major cross streets;

3. Phone number;

4. Days and hours of operation;

5. Ages of children accepted;

6. Ratio and capacity;

7. Regulatory affiliation, if any;

8. Meal information;

9. Training and experience;

10. Accreditation;

11. Fees and available subsidies;

12. School transportation.

D. As part of a referral, a Contractor shall give each customer written information that includes the following:

1. That the Contractor selects providers based on the customer's stated preferences;

2. That the Contractor provides referrals and does not recommend, endorse, or guarantee any particular child care provider;

3. That the Contractor does not regulate, monitor, or verify information supplied by a provider;

4. That a child's parent or guardian is solely responsible for choosing an appropriate child care provider to meet a family's needs; and

5. That a provider's listing status may change after their initial placement on the registry or database and that customers are encouraged to call back periodically for updated information.

E. As part of a referral, a Contractor shall provide the customer with the following Department-approved educational information:

1. A list of criteria to consider when selecting quality child care;

2. A description of the types of child care providers in Arizona;

3. A description of CCR&R services and a list of office locations and phone numbers statewide; and

4. An explanation of the process for filing a child care related complaint.

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5006. Monitoring; Complaint Recording and Reporting Requirements

A. Monitoring and Investigation: Neither the Department nor its Contractors monitor or investigate the activities of a provider, or investigate any complaint about a provider, except as otherwise prescribed by law for a family child care provider.

B. Regulated Providers: Upon receipt of a complaint about a regulated provider, a Contractor shall refer the complainant to the appropriate regulatory agency, law enforcement agency, or Child Protective Services.

C. Registered Providers: The provisions in this subsection govern complaints about a registered provider.

1. Any person may complain about a registered family child care provider on the registry by notifying a Contractor. Upon receipt of a complaint on a registered family child care provider, a Contractor shall:

a. Refer the complainant to the appropriate investigative agency (law enforcement or child protective services), if the issue raised in the complaint is suspected child abuse or neglect. The contractor shall forward a complaint involving law enforcement or child protective services to the DES Child Care Administration for resolution;

b. Refer the complainant to DHS and forward an over-ratio referral form to DHS if the complaint alleges that the provider is caring for more children than the law allows; or

c. Take a complaint made in reference to a CACFP home provider not regulated by any other agency and forward the complaint to ADE for resolution by its sponsoring agencies.

d. Take the complaint if it raises an issue other than those described in subsections (C)(1)(a), (b) or (c).

2. If the Contractor takes the complaint as under subsection (C)(1)(c) or (d), the Contractor shall obtain and record, on a Department approved form, the following information, if available:

a. Provider name and address;

b. Summary of the complaint, including date and time of incident;

c. Name, address, and phone number of the person making the complaint, unless the complainant indicates that the complainant or someone else may come to substantial harm. The Contractor shall document a complainant's claim that substantial harm may result as a result of disclosure of the complainant's name, as prescribed in A.R.S. § 41-1010; and

d. If applicable, witness information, such as name, address, and phone number.

3. The person recording the information shall sign and date the form.

4. After redacting personally identifiable information, the Contractor shall send the complaint form to the provider for response within three work days.

5. The provider shall respond to the complaint by completing the provider response portion of the complaint form within 30 days of the complaint mailing date;

6. The Contractor shall allow the public to inspect the complaint, and the provider's response, if given, with all personally identifiable information redacted. After the 30-day provider response period has expired, the Contractor shall make a complaint available for public inspection at the Contractor's office or the Contractor may mail a copy of the complaint.

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5007. Provider Listing Status

A. Regulated Providers:

1. When the Department learns that a regulatory agency has suspended a regulated provider's license, certificate, or alternate approval, the Department shall direct a Contractor to change the provider's listing status from referral listing to information only listing, using the process in R6-5-5009.

2. If a Contractor has changed a provider to information only listing status under subsection (A)(1), the Department shall direct the Contractor to return the provider to referral listing status if the regulatory agency removes the provider's suspension status.

3. The Department shall notify the provider in writing when the Department returns the provider to referral status. The Department shall send the notice within 10 work days of the change in status, and shall include the effective date of the change.

B. Registered Providers:

1. When the Department receives a complaint or is notified that a registered provider may have failed or may be unable to meet the needs of a family due to one of the following circumstances, the Department shall direct a Contractor to change a registered provider's listing status from referral listing to information listing using the process in R6-5-5009:

a. A child has allegedly been abused, neglected, exploited, or abandoned while in the registered provider's care;

b. A registered provider has allegedly been involved in activities or circumstances that may threaten the health, safety, or emotional well-being of a child, including, acts of physical violence, domestic disputes, or incidents involving deadly weapons or dangerous or narcotic drugs; or

c. As determined by DHS, a registered provider has allegedly violated state law by providing care to more than four children at any one time for compensation.

2. If a Contractor has changed a registered provider to information only listing status, as prescribed in subsection (B)(1), the Department shall direct the Contractor to return the registered provider to referral listing status if one of the following occurs:

a. Child Protective Services or a law enforcement agency determines that the allegation cannot be substantiated;

b. Child Protective Services or a law enforcement agency determines that the threat to a child has been eliminated; or

c. DHS determines that the registered provider may continue child care activities without obtaining a certificate or license.

3. As used in subsection (B)(2), substantiation by a law enforcement agency means that law enforcement has referred a case to a prosecutorial agency with a recommendation to file charges.

4. The Department shall notify the registered provider in writing when the provider is returned to referral status. The Department shall send the notice within 10 work days of the change in status, and shall include the effective date of the change.

Historical Note

Adopted effective August 11, 1976 (Supp. 76-4). Section repealed effective November 8, 1982 (Supp. 82-6). New Section adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5008. Provider Exclusion or Removal

A. The Department may direct a Contractor to exclude or remove a provider from the database according to the process in R6-5-5009, for the following reasons:

1. The provider fails or refuses to provide information as requested by the Department or a Contractor;

2. A regulatory agency or sponsoring organization verifies that the provider's license, certificate, or alternate approval has been denied, revoked, terminated, or dropped for cause;

3. The Department learns that information in the written, sworn, and notarized statements submitted by the provider under R6-5-5002(C) is false;

4. The provider is subject to removal or exclusion for any reason listed in A.R.S. § 41-1967(E); or,

5. The provider fails to comply with these rules.

B. A Contractor may summarily and without notice remove a provider from the CCR&R database for the following reasons:

1. The Contractor is unable to contact the provider because:

a. The provider's phone is disconnected;

b. The provider is no longer at the last known address and has given no forwarding address; or

c. The provider has died; or

2. The provider requests removal.

C. A provider removed under subsection (B) may request reinstatement by calling the Contractor for the provider's SDA and providing current information.

D. Upon receipt of a request for reinstatement, the Contractor shall update the information listed in R6-5-5002 and, if applicable, confirm that the provider has submitted information requested by the Department or Contractor.

E. The Contractor shall reinstate the provider unless there are grounds for removal under subsections (A)(1) through (5).

Historical Note

Adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5009. Administrative Review Process

A. When the Department receives information indicating that the Department may need to change a provider's listing status or remove or exclude a provider, the Department Program Administrator or designee shall review the information and decide whether grounds exist as listed in R6-5-5007 or R6-5-5008(A).

B. If the Department decides to change a provider's listing status or to remove or exclude a provider, the Department shall:

1. Notify the Contractor to change the listing status or to remove or exclude the provider; and

2. Within 10 work days of the effective date of the change of listing status, removal or exclusion, send the provider written notice via certified mail of the action taken.

C. The notice shall include the following information:

1. The effective date of the change in listing status or the removal or exclusion;

2. The reason for the change in listing status or the removal or exclusion;

3. The statutory provision requiring the provider's change in listing status or the removal or exclusion;

4. An explanation of the provider's right to an administrative review; and,

5. A statement explaining where the provider may file a written request for an administrative review and the time period for doing so.

D. The Department shall mail the notice to the provider's last known address. The mailing date is presumed to be the date appearing on the notice.

E. A provider may request an administrative review by filing a written request for review with the Department, within 15 work days after the mailing date of the Department's notice.

F. The provider shall mail the written request for administrative review to:

Department of Economic Security

Child Care Administration

Program Administrator

P.O. Box 6123 S.C. 801A

Phoenix, Arizona 85005

G. In the written request, the provider shall include the reason for requesting an administrative review and any documentation supporting the reinstatement request.

H. A request for an administrative review is timely if:

1. The Department receives it within the 15-day appeal period in subsection (E); or

2. The envelope in which the request was mailed is postmarked or postage-meter marked within the period in subsection (E).

I. The Program Administrator or designee shall review the Department's decision and all documentation submitted by the provider.

J. The Program Administrator or designee shall notify the provider and the Contractor of the results of the administrative review within 15 work days from the date the Department receives the request for review.

1. The decision shall be in writing and mailed to the provider's last known address. The date on the decision is presumed to be the mailing date.

2. The decision shall include information about the provider's right to further appeal.

K. The provider may appeal the Department's decision under R6-5-5010.

Historical Note

Adopted effective November 19, 1996 (Supp. 96-4). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

R6-5-5010. Administrative Appeal Process

A. A provider may appeal the Department's administrative review decision under 6 A.A.C. 5, Article 75 by filing a request for an appeal with the Department within 15 work days after the mailing date of the Department's administrative review decision described in R6-5-5009(J).

B. A provider shall mail the written request for an appeal to:

Department of Economic Security

Child Care Administration

Program Administrator

P.O. Box 6123 S.C. 801A

Phoenix, Arizona 85005

C. In the written request, the provider shall include the reason for requesting an appeal and any documentation supporting the request.

D. The Department's actions in reference to removal or exclusion from the database or changes in listing status are not appealable under this Article if the action is based on:

1. Failure to clear a fingerprint or criminal background check; or

2. Failure to clear a Child Protective Services background check

E. A request for an appeal is timely if:

1. The Department receives it within the 15-day appeal period in subsection (A); or

2. The envelope in which the request is mailed is postmarked or postage-meter marked within the 15-day period prescribed in subsection (A).

Historical Note

Adopted effective November 19, 1996 (Supp. 96-4). Amended effective June 4, 1998 (Supp. 98-2). Amended by exempt rulemaking at 8 A.A.R. 2956, effective July 1, 2002 (Supp. 02-2).

ARTICLE 51. EXPIRED

R6-5-5101. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5101 repealed, new Section R6-5-5101 adopted effective September 30, 1977 (Supp. 77-5). Former Section R6-5-5101 repealed, new Section R6-5-5101 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

R6-5-5102. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5102 repealed, new Section R6-5-5102 adopted effective September 30, 1977 (Supp. 77-5). Amended effective March 17, 1981 (Supp. 81-2). Former Section R6-5-5102 repealed, new Section R6-5-5102 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

R6-5-5103. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5103 repealed, new Section R6-5-5103 adopted effective September 30, 1977 (Supp. 77-5). Former Section R6-5-5103 repealed, new Section R6-5-5103 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

R6-5-5104. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5104 repealed, new Section R6-5-5104 adopted effective September 30, 1977 (Supp. 77-5). Amended effective April 25, 1978 (Supp. 78-2). Amended effective March 26, 1979 (Supp. 79-2). Amended effective March 17, 1981 (Supp. 81-2). Former Section R6-5-5104 repealed, new Section R6-5-5104 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

R6-5-5105. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5105 repealed, new Section R6-5-5105 adopted effective September 30, 1977 (Supp. 77-5). Amended effective April 25, 1978 (Supp. 78-2). Amended paragraph (3) effective March 17, 1981 (Supp. 81-2). Former Section R6-5-5105 repealed, new Section R6-5-5105 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

R6-5-5106. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5106 repealed, new Section R6-5-5106 adopted effective September 30, 1977 (Supp. 77-5). Former Section R6-5-5106 repealed, new Section R6-5-5106 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

R6-5-5107. Expired

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Former Section R6-5-5107 repealed, new Section R6-5-5107 adopted effective September 30, 1977 (Supp. 77-5). Amended effective March 17, 1981 (Supp. 81-2). Former Section R6-5-5107 repealed, new Section R6-5-5107 adopted effective June 17, 1985 (Supp. 85-3). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 5257, effective October 31, 2001 (Supp. 01-4).

ARTICLE 52. CERTIFICATION AND SUPERVISION OF FAMILY CHILD CARE HOME PROVIDERS

R6-5-5201. Definitions

The following definitions apply in this Article:

1. "Abandonment" has the meaning ascribed to "abandoned" in A.R.S. § 8-201 (1).

2. "Abuse" has the meaning ascribed in A.R.S. § 8-201 (2).

3. "Age" means years of a person's lifetime when used in reference to a number, unless the term "months" is used.

4. "Adult" means a person age 18 or older.

5. "Applicant" means a person who submits a written application to the Department to become certified as a child care provider.

6. "Backup provider" means an adult who, or an entity that, provides child care when a provider is not available.

7. "CACFP" means the Child and Adult Care Food Program.

8. "Certificate" means a document the Department issues to a provider as evidence that the provider has met the child care standards of this Article.

9. "Child" means a person younger than age 18.

10. "Child care" means the compensated care, supervision, recreation, socialization, guidance, and protection of a child who is unaccompanied by a parent.

11. "Child care personnel" means all adults residing in a home facility, an in-home provider, and any backup provider.

12. "Child care registration agreement" means a written contract between a provider and the Department; that establishes the rights and duties of the provider and the Department for provision of child care.

13. "Child care specialist" means a Department child care eligibility and/or certification staff person.

14. "CHILDS" means the Children's Information Library and Data Source, which is a comprehensive, automated system to support child welfare policies and procedures, and includes information on investigations, ongoing case management, and payments.

15. "CHILDS Central Registry" means the Child Protective Services Central Registry, a confidential, computerized database within CHILDS, which the Department maintains according to A.R.S. § 8-804.

16. "Child with special needs" means a child who needs increased supervision, modified equipment, modified activities, or a modified facility, due to any physical, mental, sensory, or emotional delay, or medical condition, and includes a child who has a physical or mental impairment that substantially limits one or more major life activities; has a record of having a physical or mental impairment that substantially limits one or more of the child's major life activities; or who is regarded as having an impairment, regardless of whether the child has the impairment.

17. "Client" means a person who applies for and meets the eligibility criteria for a child care service program administered by the Department.

18. "Compensation" means something given or received, such as money, goods, or services, as payment for child care services.

19. "Corporal punishment" means any act that is administered as a form of discipline and that either is intended to cause bodily pain, or may result in physical damage or injury.

20. "CPS" means Child Protective Services, a Department administration that operates a program to investigate allegations of child maltreatment and provide protective services.

21. "Department" means the Arizona Department of Economic Security.

22. "Developmentally appropriate" means an action that takes into account:

a. A child's age and family background;

b. The predictable changes that occur in a child's physical, emotional, social, cultural, and cognitive development; and

c. The individual child's pattern and timing of growth, personality, and learning style.

23. "DHS" means the Arizona Department of Health Services.

24. "Direct supervision" means within sight and sound.

25. "Exploitation" means an act of taking advantage of, or making use of a child selfishly, unethically, or unjustly for one's own advantage or profit, in a manner contrary to the best interests of the child, such as having a child panhandle, steal, or perform other illegal activities.

26. "Evening care" means child care provided at any time between 6:30 p.m. and midnight.

27. "Heating device" means an instrument designed to produce heat for a room or inside area and includes a non-electric stove, fireplace, freestanding stove, or space heater.

28. "Home facility" means a provider's residence that the Department has certified as a location where child care services may be provided.

29. "Household member" means a person who does not provide child care services and who resides in the home facility of a provider for 21 consecutive days or longer or who resides periodically throughout the year for a total of at least 21 days.

30. "Infant" means:

a. A child who is younger than 12 months old; and

b. A child who is younger than 18 months old and not walking.

31. "In-home provider" means a provider who cares for a child in the child's home.

32. "Maltreatment" means abuse, neglect, exploitation, or abandonment of a child.

33. "Medication" means any prescribed or over-the-counter drug or medicine.

34. "Mechanical restraint" means a device to restrict a child's movement.

35. "Neglect" has the same meaning ascribed in A.R.S. § 8-201(21).

36. "Night-time care" means child care provided at any time between midnight and 6:00 a.m.

37. "Non-parent relative" means a caretaker relative who exercises responsibility for the day-to day physical care, guidance, and support of a child who physically resides with the relative and who is by affinity, consanguinity, or court decree, a grandparent, great grandparent, sibling of the whole or half-blood, stepbrother, stepsister, aunt, uncle, great aunt, great uncle, or first cousin of the child.

38. "Parent" means the biological or adoptive parent of a child, a court-appointed guardian, or a non-parent relative.

39. "Provider" means an adult who is not the parent or guardian of a child needing care, and to whom the Department has issued a certificate, and includes a backup provider who performs the provider's duties when the provider is unavailable.

40. "Physical restraint" means the use of bodily force to restrict a child's freedom of movement.

41. "Safeguard" means to use reasonable efforts and developmentally appropriate measures to eliminate the risk of harm to a child in care and ensure that a child in care will not be harmed by a particular object, substance, or activity. Safeguarding may include:

a. Locking up a particular substance or item;

b. Putting a substance or item beyond the reach of a child who is not mobile;

c. Erecting a barrier that prevents a child from reaching a particular place, item, or substance;

d. Mandating the use of a protective safety device; or

e. Providing direct supervision.

42. "Sanitize" means treatment by a heating or chemical process that reduces the bacterial count, including pathogens, to a safe level.

43. "Time out" means removing a child from a situation by directing the child to remain in a specific chair or place identified as the time out place, for no more than one minute for each year of a child's age, but no more than 10 minutes.

44. "Undue hardship" means significant difficulty or substantial expense concerning the operation of a provider's program. In this subsection, "significant" and "substantial" are measured relative to the level of net income the provider earns from child care services.

45. "Unusual incident" means any accident, injury, behavior problem, or other extraordinary situation involving a provider or a child in care, including suspected child maltreatment.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5202. Initial Application for Certification

A. To become a certified child care provider, an applicant shall comply with all requirements of this Article and other applicable requirements of federal, state, or local law.

B. An applicant shall be at least age 18.

C. An applicant shall submit a complete, signed application form to the Department.

D. An applicant shall designate one or more backup providers from the following list:

1. An individual who is age 18 or older and who satisfies the requirements for backup providers outlined in this Article;

2. A DHS-licensed child care center;

3. A DHS-certified child care group home; or

4. A DES-certified family child care home.

E. An applicant shall participate in any orientation and training and shall cooperate in conducting any pre-certification interviews and inspections the Department may require.

F. An applicant shall give the Department the names of three references who:

1. Have known the applicant at least one year,

2. Are unrelated by blood or marriage to the applicant, and

3. Can furnish information regarding the applicant's character and ability to care for a child.

G. An applicant and any designated individual backup provider shall furnish a self-statement of physical and mental health on a form provided by the Department.

H. An applicant and each designated individual backup provider shall have the physical, mental, and emotional health necessary to perform the duties and meet the responsibilities established by this Article. If the Department has questions about the applicant's health that the applicant cannot satisfactorily answer or explain, the applicant, upon request by the Department, shall submit to a physical or psychological examination by a licensed physician, psychologist, or psychiatrist, and shall provide the Department with a professional opinion addressing the Department's questions. The applicant shall bear the cost of any professional examinations that the Department needs to determine whether the individual is qualified.

I. The Department may require an applicant to furnish at least the following information about the applicant, the applicant's spouse, members of the applicant's household, children residing outside of the applicant's home, and the individual backup provider:

1. Name;

2. Current address;

3. Telephone number;

4. Date of birth;

5. Social security number;

6. Maiden name, aliases, and nicknames;

7. Relationship to the applicant or backup provider;

8. Marital status and marital history;

9. Educational background;

10. Ethnicity;

11. Gender;

12. Birthplace;

13. Physical characteristics; and

14. Citizenship status.

J. Child care personnel shall submit the notarized criminal history certification form required by A.R.S. § 41-1964, and disclose whether they have committed any acts of child maltreatment or have been the subject of a Child Protective Service investigation.

K. On a Department form, an applicant, all adult household members, and all individual backup providers shall provide employment histories for the five-year period immediately preceding the application date, beginning with the individual's present or most recent job.

L. An applicant shall furnish proof that the applicant, the individual backup provider, and members of the applicant's household who are age 13 or younger are immune from measles, rubella, diphtheria, tetanus, pertusis, polio, and any other diseases for which routine immunizations are readily and safely available.

1. The Department may waive the requirements of this subsection for a household member if the applicant will be certified as an in-home provider only and submits an affidavit attesting that household members will not be present when child care services are provided.

2. The Department shall waive the requirements of this subsection if the applicant:

a. Submits an affidavit stating that household members are being raised in a religion whose teachings oppose immunization; and

b. Affirms, in writing, that families will be notified of the religious exemption before child care services are provided.

M. An applicant shall submit evidence of current freedom from pulmonary tuberculosis for the applicant, all household members, and all individual backup providers. If the application is approved, this evidence shall be submitted each succeeding calendar year.

1. Evidence required under this subsection is limited to:

a. A report of a negative Mantoux skin test performed within three months of the date or anniversary date of initial certification.

b. A physician's written statement based on an examination performed within three months of the date or anniversary date of initial certification.

2. The Department shall waive the requirements of this subsection for household members if the applicant will be certified as an in-home provider only and submits an affidavit that household members will not be present when child care services are provided.

N. An applicant shall provide a statement of services on a Department form. The statement shall describe:

1. The home at which services will be provided, location, and hours of operation;

2. The applicant's daily rates and fees;

3. The ages of children the applicant will accept;

4. The equipment, materials, daily activities, and play areas available to children in care;

5. Any special child care skills, knowledge, or training the applicant has; and

6. The behavior, guidance, and discipline methods the applicant uses.

O. During an interview with the child care specialist, an applicant shall complete a Department questionnaire describing:

1. The applicant's child rearing philosophy;

2. The home environment, including intra-family relationships and attitudes toward child care;

3. The parenting and discipline methods employed by the applicant and the applicant's parents; and

4. The applicant's child care training and experience.

P. Upon Department request, an applicant, all members of the applicant's household, and all individual backup providers shall comply with any additional requirements and requests for interviews, inspections, or information necessary to determine the applicant's fitness to serve as a certified child care provider.

Q. A complete application package consists of an applicant's completed application form and evidence that the applicant, all members of the applicant's household, and all individual backup providers have met all requirements and submitted all information and documentation listed in this Section.

R. The Department shall send an applicant a notice of administrative completeness or deficiency, as described in A.R.S. § 41-1074, indicating the additional information, if any, that the applicant must provide for a complete application package. The Department shall send the notice after receiving the application and before expiration of the administrative review time-frame described in R6-5-5204. If the applicant does not supply the missing information listed in the notice, the Department may close the file.

S. An applicant whose file is closed may reapply for certification.

T. After an applicant submits a complete application for initial certification, the Department shall inspect the applicant's home to determine whether the home meets the regulations of this Article.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5203. Initial Certification: The Home Facility

A provider's home facility shall meet the requirements of this Section.

1. A provider shall maintain the indoor and outdoor premises of the home facility in a safe and sanitary condition, free from hazards and vermin, and in good repair. A mobile home shall have skirting to ensure that a child in care cannot go beneath the mobile home.

2. Any area to be occupied by a child in care shall have heat, light, ventilation, and screening. The provider shall maintain the home facility between 68° and 85° F.

3. A provider shall vent and safeguard all heating devices to protect each child from burns and harmful fumes.

4. A provider shall safeguard all potentially dangerous objects from children, including:

a. Household and automotive tools;

b. Sharp objects, such as knives, glass objects, and pieces of metal;

c. Fireplace tools, butane lighters and igniters, and matches;

d. Machinery;

e. Electrical boxes;

f. Electrical outlets;

g. Electrical wires; and

h. Chemicals, cleaners, and toxic substances.

5. A provider shall store firearms and ammunition separately from one another, under lock and key or combination lock.

6. A home facility shall have adequate space and equipment to accommodate each child in care, and other household members who are in the home facility at the same time as children in care. In this subsection, "adequate" means sufficient space and equipment to:

a. Permit all persons in the dwelling to have safe freedom of movement;

b. Permit children in care to be seated together for meals and snacks; and

c. Permit all children in care to be engaged in developmentally appropriate activities at the same time and in a room where the provider can keep all children within sight.

7. A provider shall keep outside play areas clean and safe and shall fence the play area if there are conditions that may pose a danger to any child playing outside. The fence shall be at least 4 feet high and free of hazards, including splinters and protruding nails or wires. The fence shall have only self-closing, self-latching, lockable gates.

8. A home facility shall have the following equipment:

a. A charged, readily accessible, operable, multi-purpose (ABC class) fire extinguisher that the applicant knows how to operate;

b. At least one UL-approved, working smoke detector, properly mounted on each level of the dwelling;

c. At least two usable outdoor exits;

d. A posted written plan or diagram for emergency evacuation;

e. A working telephone or other two-way communication device acceptable to the Department; and

f. An easily accessible life-saving device if the home facility has a pool or other body of water more than 12 inches deep. A "life-saving device" means a ring buoy with at least 25 feet of 1/2-inch rope attached or a shepherd's crook.

9. If a home facility has a swimming pool or other body of water more than 12 inches deep, the pool or body of water shall be enclosed by a permanent fence that separates it from all other outdoor areas and from doors and windows into the home facility. The fence shall be at least 5 feet high and shall have only self-closing, self-latching, lockable gates. Open spaces between upright or parallel posts and poles on fences and gates shall be no more than 4 inches apart. When the pool or body of water is not in use, the provider shall lock the gates.

10. A provider shall enclose spas and hot tubs with fencing as described in subsection (9), or with a hard, locked cover that prevents access and can support at least 100 pounds.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Amended effective March 5, 1979 (Supp. 79-2). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5204. Initial Certification: Department Responsibilities

A. Before issuing a certificate, the Department shall:

1. Conduct at least one face-to-face interview with an applicant;

2. Contact any other person necessary to determine an applicant's fitness to be a certified provider;

3. Ensure that an applicant and all individual backup providers have complied with and satisfy the requirements of R6-5-5202;

4. Inspect the home where an applicant will provide child care, unless it is the child's own home, and ensure that it meets the requirements of R6-5-5203;

5. Conduct a CHILDS Central Registry check for:

a. An applicant;

b. The applicant's household members;

c. The applicant's emancipated children who live outside the applicant's home, if any; and

d. Any individual backup provider.

6. Find that an applicant has the intent and ability to provide child care that is safe, developmentally appropriate, and in compliance with the requirements of this Article.

B. The Department shall objectively determine whether to certify an applicant based on the applicant's entire application package, and the information the Department has acquired during the course of the application process.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5205. Certification Time-frames

For the purpose of A.R.S. § 41-1073, the Department established the following certification time-frames:

1. Administrative completeness review time-frame: 60 days,

2. Substantive review time-frame: 30 days, and

3. Overall time-frame: 90 days.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5205 renumbered to R6-5-5206 and new Section adopted by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5206. Certificates: Issuance; Non-transferability

A. A certificate is valid for three years from the date of issuance. The Department may revoke a certificate before expiration as provided in this Article and by law.

B. A certificate is not transferable and is valid only for the provider and location identified on the certificate.

C. A provider shall post the certificate in a conspicuous location in the home facility.

D. A certificate is the property of the state of Arizona. Upon revocation or voluntary closure, a provider shall surrender the certificate issued to the provider to the Department within seven days.

E. The Department shall designate on the certificate issued to the provider the total number of children to be allowed in child care at any one time. The total shall not exceed the limits set in R6-5-5220.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Amended effective February 24, 1977 (Supp. 77-1). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5206 renumbered to R6-5-5207; new Section R6-5-5206 renumbered from R6-5-5205 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5207. Maintenance of Certification: General Requirements; Training

A. Child care personnel and all individual backup providers shall be fingerprinted and pay all required fingerprint fees within the time prescribed in A.R.S. § 41-1964.

B. A provider and all individual backup providers shall maintain the physical, mental, and emotional health necessary to fulfill all legal requirements for child care providers.

C. No later than 60 days after the date of provider certification, a provider and individual backup providers shall furnish the Department with proof of acceptable first aid training and certification in infant/child cardiopulmonary resuscitation ("CPR"). As used in this Section, "acceptable training" means a course approved by the American Red Cross or the American Heart Association. The Department may extend the time for completing this requirement and children may remain in care during an extension, if:

1. The class was not available within the 60-day time period; or

2. The provider, individual backup provider, or a dependent was ill, and the provider or backup provider was unable to attend a scheduled class due to the illness.

D. A provider and individual backup providers shall maintain current training and certification in first aid and infant/child CPR through acceptable training courses.

E. A certified provider shall attend at least six hours of training each calendar year in any of the following subjects:

1. The Department's child care program, policies, and procedures;

2. Child health and safety, including recognition, control, and prevention of illness and disease;

3. Child growth and development;

4. Child abuse prevention, detection, and reporting;

5. Positive guidance and discipline;

6. Child nutrition;

7. Communication with families; family involvement;

8. Developmentally appropriate practices; and

9. Other similar subjects designed to improve the provider's ability to provide child care.

F. A provider shall maintain a record of all training, and annually furnish the Department with proof of attendance.

G. A provider shall maintain a safe and clean home facility, including furnishings, equipment, supplies, materials, utensils, toys, and grounds, that meets the standards in this Article.

H. At all times, a provider shall allow the Department access to all parts of the home facility. The Department shall make at least two onsite visits each year to each home facility and in-home provider. At least one visit shall be unannounced.

I. A provider shall allow a parent or a designated representative access to the home facility at all times when the parent's child is present, and shall give parents and designated representatives written notice explaining this right.

J. A provider shall directly supervise a visitor to the home facility while the visitor is in an area with a child in care.

K. A provider shall not expose a child in care to tobacco products or smoke.

L. A provider shall not care for a child while under the influence of alcoholic beverages, medication, or any other substance, that may or does impair the provider's ability to care for a child.

M. A provider shall not consume alcoholic beverages while caring for a child.

N. A provider shall not refuse to provide care to any child on the basis of color, sex, religion, disability, or national origin.

O. If a provider is notified that a child or household member has a communicable disease, the provider shall ensure that a child who lacks written evidence of immunity to the communicable disease is not permitted to be present in the home facility until:

1. A parent provides written evidence of the child's immunity to the disease; or

2. A local health department notifies the provider that the child may return to the home facility

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5207 renumbered to R6-5-5208; new Section R6-5-5207 renumbered from R6-5-5206 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5208. Recertification Requirements

A. Before recertifying a provider, the Department shall interview the provider at the location where child care will be provided. The Department Representative may interview an in-home provider at the in-home provider's residence. The interview shall include a discussion and review of the provider's experiences in the provision of child care services during the current certification period.

B. A provider shall demonstrate the continued physical, mental, and emotional health necessary to perform the duties and fulfill the responsibilities in this Article.

C. Before recertification, a provider and designated individual backup provider shall furnish a self statement of physical and mental health and freedom from communicable diseases on a form furnished by the Department.

D. The Department shall renew a certificate only after a provider demonstrates the intent and ability to provide child care that is safe, developmentally appropriate, and in compliance with the requirements of this Article.

E. Unless the Department, in its sole discretion,. accepts a provider's written assurance of future compliance with the requirements of this subsection, the Department shall deny recertification or take other enforcement action when the provider does not accept Department-referred children on three separate occasions unless the refusal is for:

1. Illness, accident, or incapacity of the provider;

2. Illness, accident, or incapacity of any household member, if the existing condition will pose a risk to children in care, or limit the provider's ability to provide child care in accordance with the law;

3. The provider is not equipped or trained to provide care to the referred child, and the provider cannot acquire the equipment or training without undue hardship;

4. The provider has no available slots;

5. The situations listed in R6-5-5222 and a backup provider is unavailable;

6. A child has not been immunized, and the parent or guardian is unwilling to obtain appropriate immunization, in accordance with R6-5-5219(F); or

7. The home facility is in temporary disrepair or under construction.

F. The Department may obtain any supplemental information needed to determine continuing fitness to serve as a certified child care provider.

G. A provider, all household members, and an individual backup provider shall cooperate with the Department in providing all information required for recertification.

H. The Department shall determine whether to recertify a provider based on the provider's original application package, all previous monitoring reports, and all additional information the Department receives during the recertification process.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5208 renumbered to R6-5-5209; new Section R6-5-5208 renumbered from R6-5-5207 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5209. Program and Equipment

A. A provider shall offer a program that is developmentally appropriate for, and meets the needs of each child in care. The daily program and activity schedule shall include a balance of the following:

1. Indoor and outdoor activities;

2. Activities that encourage movement and quiet time;

3. Activities that encourage a child's creativity;

4. Individual and group activities;

5. Small and large muscle development activities; and

6. Activities that include social interaction, problem solving, and negotiating skills.

B. A provider shall incorporate into the program each child's daily routine activities, such as diapering, toileting, eating, dressing, resting, and sleeping, in accordance with the developmental needs of each child.

C. A provider shall develop a flexible, developmentally appropriate program that the provider can adjust to accommodate unanticipated events such as the illness of a child or changes in the weather.

D. A provider shall have play equipment and materials sufficient to meet the program requirements described in subsections (A) through (C), and to ensure that all children in care can be occupied in developmentally appropriate play at the same time.

E. A provider who cares for a child who is younger than age 2 shall have a variety of developmentally appropriate play equipment and supplies available for the child, such as:

1. Touch boards;

2. Soft puppets;

3. Soft or plastic blocks;

4. Simple musical instruments;

5. Push-pull toys for beginning walkers;

6. Picture and texture books;

7. Developmentally appropriate art materials, including crayons, paints, finger paints, watercolors, and paper;

8. Simple, 2-3 piece puzzles and peg boards; and

9. Large beads to string or snap.

F. A provider who cares for a child age 2 or older shall have a variety of developmentally appropriate play equipment and supplies available for the child, such as:

1. Art supplies;

2. Blocks and block accessories;

3. Books and posters;

4. Dramatic play areas with toys and dress-up clothes;

5. Large muscle equipment;

6. Manipulative toys;

7. Science materials; and

8. Musical instruments.

G. A provider shall have a bed, cot, mat, crib, or playpen for each child in care who requires a daily nap or rest period. Each infant in care shall have a safe crib, port-a crib, bassinet, or playpen.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5209 renumbered to R6-5-5210; new Section R6-5-5209 renumbered from R6-5-5208 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5210. Safety; Supervision

A. When a provider is unavailable to care for a child for a reason described in R6-5-5222(B), the provider may use only the backup provider designated under R6-5-5202 or R6-5-5222(E).

B. A provider shall give parents and guardians written notice of the provider's backup care plan.

C. A provider shall not engage in activities that interfere with the ability to supervise and care for children, including other employment, and volunteer or recreational activities. An in-home provider shall not perform housekeeping duties unrelated to the care of the child.

D. A provider shall directly supervise each child who is awake.

E. A provider shall have unobstructed access to and shall be able to hear each child who is sleeping.

F. A provider shall not permit a child in care to use a spa or hot tub.

G. A provider shall have written permission from a parent or guardian before allowing a child to engage in water play. In this subsection, "water play" means any activity in which water is likely to get into a child's ears.

H. A provider shall directly supervise any child who is in a pool area.

I. A provider shall accompany a child who is using a public or semi-public swimming place.

J. A provider shall have written permission from a child's parent or designated representative to bathe or shower the child, or to allow the child to bathe or shower independently.

K. A provider shall not permit a child younger than age 6 to bathe or shower unsupervised.

L. A provider shall report suspected child abuse or neglect to CPS or the local law enforcement department as required by A.R.S. § 13-3620.

M. A provider shall use developmentally appropriate precautions to separate a child in care from hazardous areas, including locked doors and safe portable folding gates.

N. A provider shall release a child only to the child's parent or to an adult who has been designated in writing by the parent.

O. A provider shall not allow a person addicted to or under the influence of illegal drugs or alcohol in the home facility while children in care are present.

P. A provider shall not permit a person who is abusive to children, or who uses unacceptable disciplinary methods as described in R6-5-5212, into the home facility when children in care are present.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Amended effective March 5, 1979 (Supp. 79-2). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5210 renumbered to R6-5-5211; new Section R6-5-5210 renumbered from R6-5-5209 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5211. Sanitation

A. A provider and each child in care shall wash their hands with soap and running water after playing with animals or using the toilet, and before and after handling, serving, or eating food. If a child cannot reach a sink with running water, due to the child's age or some limiting condition, the provider shall clean that child's hands with an individual, clean, washcloth.

B. A provider shall wash, in hot soapy water, and sanitize, all utensils used for eating, drinking, and food preparation.

C. A provider shall have a garbage can with a close-fitting lid.

D. A provider shall dispose of garbage in the home facility at least once a day.

E. A provider shall empty and sanitize wading pools measuring 12 inches deep or less, after each use.

F. A provider shall maintain, in a sanitary condition, a swimming pool or other area or container, which is more than 12 inches deep and used for water play.

G. A provider shall frequently check the diaper of each child in care and shall immediately change a soiled diaper.

H. A provider shall have sanitary arrangements for diaper changing and disposal of soiled diapers, including the following:

1. The diaper changing area shall not be in an area where food is prepared or consumed;

2. The diapering surface shall be cleaned, sanitized, and dried after each diaper change;

3. Following bulk stool disposal into a toilet, soiled cloth diapers shall not be rinsed, but shall be bagged in plastic, individually labeled with child's name, stored in a covered container out of reach of children, and returned to the child's parent each day; and

4. Soiled disposable diapers shall be discarded in a tightly covered, lined container out of reach of children.

I. Before and after each diaper change, a provider shall wash hands with soap and running water in a sink not used for food preparation.

J. A provider shall sanitize a bathtub before bathing each child in care.

Historical Note

Adopted effective July 6, 1976 (Supp. 76-4). Section repealed, new Section adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5211 renumbered to R6-5-5212; new Section R6-5-5211 renumbered from R6-5-5210 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5212. Discipline

A. A certified provider and all individual backup providers shall sign a written agreement to abide by the Department's policy on developmentally appropriate discipline.

B. Only a provider may discipline a child in care;

C. A provider may physically restrain a child whose behavior is uncontrolled, only when the physical restraint:

1. Is necessary to prevent harm to the child or others;

2. Occurs simultaneously with the uncontrolled behavior;

3. Does not impair the child's breathing; and

4. Cannot harm the child.

A provider shall use the minimum amount of restraint necessary to bring the child's behavior under control.

D. A provider shall not use the following disciplinary measures:

1. Corporal punishment, including shaking, biting, hitting, or putting anything in a child's mouth;

2. Placing a child in isolation or in a closet, laundry room, garage, shed, basement, or attic;

3. Locking a child out of the home facility;

4. Placing a child in any area where the provider cannot directly supervise the child;

5. Methods detrimental to the health or emotional needs of a child;

6. Administering medications;

7. Mechanical restraints of any kind;

8. Techniques intended to humiliate or frighten a child;

9. Discipline associated with eating, sleeping, or toileting; or

10. Abusive or profane language.

E. As a disciplinary measure, a provider may place a child in time out. During the time out period, the provider shall keep the child in full view. Time out shall not be used for children less than age 3.

F. A provider shall maintain consistent, reasonable rules that define acceptable behavior for a child in care.

G. A provider shall use discipline only to teach acceptable behavior and to promote self-discipline, not for punishment or retribution.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5212 renumbered to R6-5-5213; new Section R6-5-5212 renumbered from R6-5-5211 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5213. Evening And Nighttime Care

A. A provider who offers evening or nighttime care shall remain awake until each child in care is asleep.

B. A provider who offers nighttime care shall have a safe and sturdy crib for each infant, and a safe and sturdy bed or cot with mattress for each child. Crib bars or slats shall be no more than 2 3/8 inches apart, and the crib mattress shall fit snugly into the crib frame so that no space remains between the mattress and frame.

C. A provider may allow siblings to share a bed only if the provider has received written parental permission.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5213 renumbered to R6-5-5214; new Section R6-5-5213 renumbered from R6-5-5212 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5214. Children Younger than Age 2

A provider who cares for a child younger than age 2 shall comply with the following requirements:

1. A provider shall frequently hold a child and give each infant and toddler physical contact and attention throughout the day.

2. A provider shall respond promptly to a child's distress signals and need for comfort.

3. A provider shall get written permission from a parent or guardian to give a child a bedtime or nap-time bottle. If the provider receives permission, the provider shall use only water in the bottles, unless otherwise directed by the child's physician.

4. A provider shall not confine a child in a crib, high chair, swing, or playpen, for more than one consecutive waking hour.

5. A provider shall not feed cereal by bottle, except with the written instruction of a physician.

6. A provider shall hold an infant younger than age 1 for any bottle feeding, and shall not prop bottles with a child in care.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5214 renumbered to R6-5-5215; new Section R6-5-5214 renumbered from R6-5-5213 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5215. Children with Special Needs

A. When enrolling a child with special needs, a provider shall comply with the requirements of this Section:

1. A provider shall consult with parents to establish a mutually agreed upon plan regarding services for a child with special needs;

2. A provider shall have the physical ability and appropriate training to provide the care required by a child with special needs;

3. A provider shall use best efforts to integrate a child with special needs into the daily activities of the home facility in a manner that is the least restrictive, and that meets the child's individual needs;

4. If a provider regularly cares for a child with special needs older than age 3 who requires diapering, the home facility shall have a diaper changing area that permits the child to have privacy. Proper sanitation shall be maintained as described in R6-5-5211.

B. A provider shall make reasonable accommodations in the home facility, equipment, and materials for a child with special needs.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5215 renumbered to R6-5-5216; new Section R6-5-5215 renumbered from R6-5-5214 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5216. Transportation

A. A provider shall obtain prior written permission from a child's parent before transporting a child in a privately owned vehicle or on public transportation.

B. A provider shall ensure that a child in care is transported in a private vehicle by a person who has:

1. A valid Arizona driver's license;

2. Automobile insurance that meets the financial responsibility requirement of Arizona law; and

3. No convictions for driving while intoxicated within three years before the date of transportation.

C. A provider shall transport a child only in a mechanically safe vehicle. "Mechanically safe" means a vehicle with:

1. Functioning brakes, signal lights, and headlights;

2. Tires with tread; and

3. Structural integrity.

D. A provider shall not transport a child on a motorcycle or in a vehicle that is not constructed for the purpose of transporting people, such as a truck bed, camper, or any trailered attachment to a motor vehicle.

E. A provider shall transport a child in a separate car seat, seat belt, or child-restraint device in compliance with A.R.S. § 28-907.

F. A provider shall never leave a child unattended in a vehicle.

G. A provider shall maintain first-aid supplies in a privately owned vehicle used to transport children in care.

H. A provider shall carry a child's emergency-information card when transporting a child in care.

I. A provider shall sign a form that states that the provider will abide by R6-5-5216.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5216 renumbered to R6-5-5217; new Section R6-5-5216 renumbered from R6-5-5215 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5217. Meals and Nutrition

A. A provider shall serve a child in care wholesome and nutritious foods and beverages. In this Section, "wholesome and nutritious" means foods and beverages consistent with the requirements of 7 CFR 226.20 (January 1, 1998), which is incorporated by reference and available for inspection at the Department's Authority Library, 1789 West Jefferson, Phoenix, Arizona 85007 and in the office of the Secretary of State at 1700 West Washington, Phoenix, Arizona. The incorporated material contains no later amendments or editions.

B. A provider shall supplement meals and snacks supplied by a parent when the supplied food does not provide a child with a wholesome and nutritious diet.

C. A provider shall make available to a child in care meals and snacks that satisfy the child's appetite and dietary needs.

D. A provider shall consult with a parent to identify, in writing, any special dietary needs or instructions for a child in care.

E. A provider shall give a child any necessary assistance in feeding and shall teach self-feeding skills, but shall not force a child to eat.

F. A provider shall monitor all perishable foods, including infant formulas and sack lunches. The provider shall ensure that food is individually labeled with a child's name, dated, covered, and properly stored to prevent spoilage. at temperatures of 45ºF or less.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5217 renumbered to R6-5-5218; new Section R6-5-5217 renumbered from R6-5-5216 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5218. Health Care; Medications

A. When a provider enrolls a child for care, the provider shall make written arrangements with the child's parent for emergency medical care of the child.

B. If a child becomes ill while in care, a provider shall:

1. Make the child comfortable and keep the child in full view; and

2. Notify the parent or other designated person that the child is ill and must be immediately removed from care.

C. A provider shall notify the parent of other children in care when a child in care contracts an infectious illness.

D. A provider shall not provide care while knowingly infected with or presenting symptoms of an infectious disease.

E. If a child exhibits symptoms of an infectious disease, the child may return to care when fever free and symptom free, or with written permission from the child's medical practitioner that returning will not endanger the health of the child or other children in care.

F. A provider shall not admit a child in need of professional medical attention to the home facility and shall direct the parent to obtain medical attention for the child.

G. Only a provider shall administer medication with signed written instructions for administering the medication from the child's parent.

H. A provider shall not administer:

1. Medication that is date expired or in something other than its original container; or

2. Prescription medication that does not bear the date of issue, the child's name, the amount and frequency of dosage, and the doctor's name.

I. A provider shall maintain a written log of all medications administered. The log shall include:

1. The name of the child receiving the medication;

2. The name of the medication;

3. The date and time of administration; and

4. The dosage administered.

A provider shall use a sanitary medication measure for accurate dosage.

J. A provider shall keep all medication in a locked storage container, and refrigerate if necessary.

K. A provider shall have first-aid supplies available at the home facility, which shall be administered only by the provider.

L. A provider is responsible for obtaining only emergency medical treatment for a child in care.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5218 renumbered to R6-5-5219; new Section R6-5-5218 renumbered from R6-5-5217 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5219. Recordkeeping; Unusual incidents; Immunizations

A. A provider shall maintain a daily attendance log on a Department-approved form and shall require that each child be signed in and out on the log by the parent or other individual designated in writing by the parent.

B. On a form approved by the Department, a provider shall promptly log all accidents, injuries, behavior problems, or other unusual incidents at the home facility, including any suspected child abuse or neglect.

C. A provider shall immediately report all unusual incidents to a parent or guardian of the child involved and shall report the incidents to the Department within 24 hours of the time of occurrence.

D. A provider shall maintain records in accordance with the requirements of the provider's child care registration agreement. The provider shall make the following records readily available for inspection by the Department and shall keep them separate from household and other personal records:

1. Information listed in subsection (E):

2. Immunization records identified in subsection (F) and R6-5-5202 (L);

3. Documentary evidence of freedom from communicable tuberculosis as required by R6-5-5202 (M);

4. The provider's certification, re-certification, and monitoring records;

5. Health records of child care personnel;

6. The provider's training records;

7. Unusual incident reports; and

8. Daily logs of attendance, accidents, injuries, medications administered, behavior problems, or other unusual incidents.

E. A provider shall maintain at least the following information for each child in care:

1. The child's name, home address, telephone number, gender, and date of birth;

2. The name, home and business addresses, and telephone numbers of the child's parent;

3. The name, address and telephone number of the child's physician or health care provider and hospital;

4. Authorization and instructions for emergency medical care when the parent cannot be located; and

5. Written authorization to release a child to any individual other than the parent and the name, home and work addresses, and telephone numbers of that individual.

F. A provider shall maintain an immunization record or exemption affidavit for each child in care.

1. Documentation required under this subsection is limited to:

a. An immunization record prepared by the child's health care provider stating that child has received current, age-appropriate immunizations specified in R9-6-701, including Immunizations for Diphtheria, homophiles influenza type b, Hepatitis B, Measles, Mumps, Pertusis, Poliomyelitis, Rubella, and Tetanus;

b. An affidavit signed by the child's health care provider stating that the child has a medical condition that causes the required immunizations to endanger the child's health; or

c. An affidavit signed by the child's parent stating that the child is being raised in a religion whose teachings oppose immunization.

2. If a child has received all current immunizations but requires further inoculations to be fully immunized, the provider shall require the parent to verify that the parent will have the child complete all immunizations in accordance with the DHS recommended schedule identified in R9-6-701. The provider shall:

a. Require the parent to produce documented records from the child's health care provider of the immunizations as they are completed; and

b. Maintain the records as required by subsection (F)(1).

3. The provider shall not permit a child in care to remain enrolled for more than 15 days if the parent does not provide proof of current, age-appropriate immunizations, a statement of timely completion of further inoculations, or exemption from immunization.

G. Children exempted from immunizations for religious or medical reasons shall be excluded from the home facility if there is an outbreak of an immunizable disease at the home facility.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5219 renumbered to R6-5-52020; new Section R6-5-5219 renumbered from R6-5-5218 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5220. Provider/Child Ratios

A. The Department may certify a provider in a home facility to care for a maximum of four children at a time, from birth through age 12, for compensation. A provider in a home facility may care for a maximum of six children at a time, from birth through age 12, or a child age 13 or older who is a child with special needs, when all of the following conditions are met:

1. No more than four children in care are for compensation; and

2. No more than two of the children in care are younger than age 1, unless a sibling group.

B. The Department may certify an in-home provider to provide the following care:

1. An in-home provider may care for a sibling group of no more than six children.

2. An in-home provider shall care only for the children who live in that home.

3. An in-home provider may bring the in-home provider's own children to the in-home location with the written permission of the client, and so long as the total number of children at the in-home location does not exceed six children.

C. The Department may further limit the ratios allowed in subsections (A) and (B) to protect the well-being of children in care. The Department may impose additional restrictions when:

1. There are more than two children residing in the home facility who are counted in the ratio;

2. The Department determines that the home facility and the furnishings are inadequate to accommodate four children at a time for compensation, as provided in Section R6-5-5203(6);

3. The Department has determined that a provider is physically unable to care for four children at a time; for compensation or

4. A provider requests certification for fewer than four children at a time for compensation.

D. For the sole purpose of establishing and monitoring ratios, the Department shall not count any child who is age 13 or older, except as provided in subsection (A) for a child with special needs.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5220 renumbered to R6-5-5221; new Section R6-5-5220 renumbered from R6-5-5219 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5221. Change Reporting Requirements

At least 15 days before the effective date of any scheduled change, or within 24 hours after an unscheduled change, which significantly affects the provision of child care services, a provider shall furnish the Department with written notice of the change. Significant changes include, but are not limited to:

1. Home remodeling;

2. Home repair;

3. Pool installation;

4. Relocating to a new residence;

5. Change in household composition;

6. Telephone number change;

7. Change of backup provider;

8. Voluntarily relinquishing the certificate; and

9. Any other change in the home facility or the provider's personal circumstances that affect the provider's ability to provide stable child care services.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5221 renumbered to R6-5-5222; new Section R6-5-5221 renumbered from R6-5-5220 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5222. Use of A Backup Provider

A. A provider shall maintain a backup provider, and shall keep clients and the Department apprised of the backup provider's identity and location.

B. A provider may use a backup provider only in the following circumstances:

1. When the provider is ill;

2. When the provider is attending to an emergency related to the provision of child care;

3. When the provider has an emergency involving the provider or the provider's dependent family members;

4. When the provider needs to attend a non-emergency appointment for the provider or the provider's dependent family members, and the provider cannot schedule the appointment outside of normal child care hours;

5. When the provider is attending classes to meet training requirements listed in this Article; or

6. When the provider is taking a vacation.

C. At the time of enrollment of a child in care, a provider shall advise the parent of the possible use of a backup provider.

D. A provider shall notify the Department within 24 hours of the onset of the use of a backup provider.

E. When a provider designates a new backup provider, the provider shall ensure that the backup provider meets the requirements for backup providers in R6-5-5202.

F. A provider shall execute a backup provider agreement form furnished by the Department, which identifies the backup provider and contains assurances that the backup provider will be used in accordance with the requirement of this Section.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5222 renumbered to R6-5-5223; new Section R6-5-5222 renumbered from R6-5-5221 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5223. Claims For Payment

A. A provider shall submit claims for payment in the manner prescribed in the child care registration agreement with the Department.

B. A provider shall make all financial arrangements with a backup provider. The Department shall not make direct payments to the backup provider.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5223 renumbered to R6-5-5224; new Section R6-5-5223 renumbered from R6-5-5222 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5224. Complaints; Investigations

A. Any person may register, with the Department, a written or verbal complaint about a provider or the operation of a home facility. Upon receipt of a complaint, or in response to the observations of Department staff, the Department shall investigate the allegations made and any matters related to certification and compliance with the child care registration agreement.

B. A provider who is the subject of a complaint shall cooperate with the Department in conducting an investigation. The provider shall allow a Department representative to inspect the home facility and all records, and to interview any child care personnel, or household member.

C. The Department shall maintain a file on all complaints against a provider and shall make information on valid complaints available to parents and to the general public upon request and as permitted by law.

D. Following an investigation, the Department shall take appropriate administrative action as described in this Article.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5224 renumbered to R6-5-5225; new Section R6-5-5224 renumbered from R6-5-5223 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5225. Probation

A. The Department may place a provider on probation when a Department representative observes a problem or the Department receives and validates a complaint in an area of noncompliance that does not endanger a child in care.

B. The Department shall set a term of probation that does not exceed 30 days.

C. The Department may suspend a provider's child care certificate if the same infraction that resulted in probation is repeated during a provider's current certification period and the Department determines that the provider has not demonstrated either the intent or ability to comply with the requirements of this Article.

D. The Department shall not authorize any new child for payment to a provider who is on probation. Children already in that provider's care may remain authorized.

E. Probationary status is not appealable.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5225 renumbered to R6-5-5226; new Section R6-5-5225 renumbered from R6-5-5224 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5226. Certification, Denial, Suspension, and Revocation

A. The Department may deny, suspend, or revoke certification when:

1. An applicant or provider violates or fails to comply with any statute or rule applicable to the provision of Child Care Services.

2. An applicant or provider has a certificate or license to operate a child care home or facility denied, revoked, or suspended in any state or jurisdiction.

3. An applicant or provider fails to disclose requested information or provides false or misleading information to the Department.

4. A provider's contract with the Department to furnish child care services expires or is terminated.

5. Child care personnel fail or refuse to comply with or meet the requirements of A.R.S. § 41-1964.

6. A provider fails or refuses to correct or repeats a violation that resulted in probation or suspension.

7. The Department, through its CPS hotline, receives a report of alleged child maltreatment by an applicant, provider, or household member who is under investigation by CPS or a law enforcement agency or is being reviewed in a civil, criminal, or administrative hearing.

8. An applicant or provider fails or refuses to cooperate with the Department in providing information required by these rules or any information necessary to determine compliance with these rules.

9. An applicant, provider, or household member engages in any activity or circumstance that may threaten or adversely affect the health, safety, or welfare of children, including inadequate supervision or failure to protect from actual or potential harm.

10. An applicant or provider is unable or unwilling to meet the physical, emotional, social, educational, or psychological needs of children.

11. The Department, through its CPS hotline, receives a report of alleged child maltreatment in a home facility that is under investigation by CPS or a law enforcement agency or is being reviewed in a civil, criminal, or administrative proceeding.

12. An applicant, provider, or household member is the subject of a substantiated or undetermined report of child maltreatment in any state or jurisdiction. Substantiated child maltreatment includes, but is not limited to, a probable cause finding by CPS or a law enforcement agency.

13. CPS or a law enforcement agency substantiates a report of child maltreatment in a home facility.

B. In determining whether to take disciplinary action against a provider, or to grant or renew a certificate, the Department may evaluate the provider's history from other certification periods, both in Arizona and in other jurisdictions, and shall consider multiple violations of statutes or rules applicable to the provision of child care services as evidence that the applicant or provider is unable or unwilling to meet the needs of children.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Former Section R6-5-5226 repealed; new Section renumbered from R6-5-5225 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5227. Adverse Action; Notice Effective Date

A. When the Department denies, suspends, or revokes certification, it shall mail a written, dated notice of the adverse action to the applicant or the provider at the applicant's or provider's last known address.

B. A notice of adverse action shall specify:

1. The adverse action taken and date the action will be effective;

2. The reasons supporting the adverse action; and

3. The procedures by which the applicant or provider may contest the action taken and the time period in which to do so.

C. Except as provided in subsection (D), a revocation, suspension, or denial of recertification is effective 20 calendar days from the date on the notice or letter advising the provider of the adverse action.

D. A suspension, revocation, or denial of recertification is effective on the date of the notice or letter advising the person of the adverse action if:

1. The adverse action is based on the failure of child care personnel to comply with or meet the requirements of A.R.S. § 41-1964; or

2. The Department bases the adverse action on a determination that the health, safety, or welfare of a child in care is in jeopardy.

E. The Department shall stop payment authorization for all subsidized children in care on the effective date of a suspension, revocation, or denial of recertification.

F. The Department shall not authorize the referral of additional children to a provider after mailing a notice of adverse action to the provider's last known address.

Historical Note

Adopted effective May 11, 1994 (Supp. 94-2). Amended effective June 4, 1998 (Supp. 98-2). Former Section R6-5-5227 renumbered to R6-5-5228 and new Section adopted by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

R6-5-5228. Appeals

A. An applicant or provider may appeal the following Department decisions:

1. Denial of certification or re-certification;

2. Suspension of a certificate; and

3. Revocation of a certificate.

B. A person who wishes to appeal an adverse action shall file a written request for a hearing with the Department within 15 calendar days of the date on the notice or letter advising the provider of the adverse action.

C. The Department shall conduct a hearing as prescribed in 6 A.A.C. 5, Article 75. Decisions based on failure to clear a fingerprint check or criminal history check are not appealable under this Article.

D. Matters relating to contractual agreements with the Department, including payment rates and amounts, are not appealable under this Article.

E. When an adverse action based on R6-5-5226(A)(7) is appealed under this Article, allegations of child maltreatment are not at issue and shall not be adjudicated in an administrative proceeding conducted under subsection (C).

Historical Note

New Section R6-5-5228 renumbered from R6-5-5227 and amended by final rulemaking at 5 A.A.R. 1983, effective May 20, 1999 (Supp. 99-2).

ARTICLE 53. REPEALED

Former Article 53 consisting of Sections R6-5-5301 through R6-5-5305 repealed effective April 9, 1981.

ARTICLE 54. REPEALED

Former Article 54 consisting of Sections R6-5-5401 through R6-5-5411 repealed effective November 8, 1982.

ARTICLE 55. CHILD PROTECTIVE SERVICES

R6-5-5501. Definitions

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

1. "Abandonment" has the same meaning ascribed to "abandoned" in A.R.S. § 8-201(1).

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

3. "Aggravating factor" means a specific circumstance that increases the risk of harm to a child and may result in a shorter investigation response time.

4. "Alleged abuser" means a child's parent, guardian, or custodian accused of child maltreatment.

5. "Alternative investigation" means, under R6-5-5507, a method to determine that a report of child maltreatment is unsubstantiated without a field investigation.

6. "Alternative response" means a report referred to Family Builders for assessment and services and not investigated by CPS according to Laws 1997, Chapter 223, § 2.

7. "Caregiver" means a child's parent, guardian, or custodian.

8. "Child" means a person less than age 18.

9. "Child Abuse Hotline," or "the Hotline," means a statewide, toll-free telephone service, including TDD service, that the Department operates 24 hours per day, seven days per week, to receive calls about child maltreatment.

10. "CHILDS" means the Children's Information Library and Data Source, which is a comprehensive automated system to support child welfare policies and procedures and includes information on investigations, ongoing case management, and payments.

11. "CHILDS Central Registry" means the Child Protective Services Central Registry, a confidential computerized database within CHILDS, that the Department maintains according to A.R.S. § 8-804.

12. "Child welfare agency" has the same meaning as in A.R.S. § 8-501(A)(1).

13. "CPS" means Child Protective Services, a program within the Administration for Children, Youth and Families (ACYF), a division of the Department designated to receive and investigate allegations of child maltreatment and provide protective services as described in subsection (40).

14. "CPS Administrator" means the DES Administrator responsible for operation of CPS, or that person's designee, which may include the Field Operations Manager, the CPS District Program Manager ("DPM"), the CPS Assistant District Program Manager ("APM"), or the CPS Local Office Manager.

15. "CPS Specialist" has the same meaning ascribed to "protective services worker" in A.R.S. § 8-801(2).

16. "CPS-CIU" means the Child Protective Services Central Intake Unit that operates the Child Abuse Hotline, screens incoming communications, and transmits reports to a CPS unit.

17. "Custodian" means a person defined in A.R.S. § 8-201(8). For CPS reporting purposes, a custodian is also any person with whom the child resides at the time of a maltreatment and includes a:

a. Friend,

b. Relative,

c. Foster parent, and

d. Child welfare agency.

18. "DCYF" means the Department's Division of Children, Youth and Families, an administrative unit that includes CPS.

19. "DDD" means the Department's Division of Developmental Disabilities.

20. "Delinquent act" has the same meaning prescribed in A.R.S. § 8-201(9).

21. "Department" means the Arizona Department of Economic Security.

22. "Exploitation" means use of a child by a parent, guardian, or custodian for material gain, which may include forcing a child to panhandle, steal, or perform other illegal activities.

23. "Family" means persons, including at least one child, who are related by blood or law, who are legal guardians of a child, or who reside in the same household.

24. "Family assessment" means a process that:

a. CPS uses to evaluate a family's strengths, weaknesses, and problems;

b. Is based on the family's history, observations about the family, professional opinions, and other information; and

c. Includes a child safety assessment to determine the probability of risk to a child under R6-5-5512.

25. "Family Builders" means a program that allows CPS to refer selected reports to community-based providers for a family assessment and services according to Laws 1997, Chapter 223, § 2.

26. "Guardian" means the same as A.R.S. § 8-531(9).

27. "Incoming communication" means a telephonic, written, or in-person contact to CPS that is received by or ultimately directed to the Child Abuse Hotline.

28. "Licensing specialist" means a person who is:

a. Designated by the Department or another state licensing agency; and

b. Responsible for licensing, supervision, support, and monitoring of foster homes or child welfare agencies.

29. "Lifestyle" means a way of life or pattern of conduct that reflects the values and attitudes of a child's parent, guardian, or custodian.

30. "Maltreatment" means abuse, neglect, abandonment, or exploitation of a child. When used in reference to CPS activities, maltreatment means that a parent, guardian, or custodian:

a. Has committed an act of maltreatment,

b. May commit an act of maltreatment,

c. Has permitted another person to commit an act of maltreatment, or

d. Had reason to know that another person might commit an act of maltreatment and did not act to prevent the potential maltreatment.

31. "Mandated reporter" means a person who is required to report suspected child maltreatment under A.R.S. § 13-3620.

32. "Minor hygienic problem" means a body condition that does not pose a risk of serious or immediate harm, such as body odor, dirty hair, matted hair, dirty clothing, and treated chronic head lice.

33. "Mitigating factor" means a specific circumstance that reduces the risk of harm to a child and may permit a longer investigation response time.

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

35. "Non-abusive caregiver" means a parent, guardian, or custodian who is not the subject of a CPS report or an investigation of alleged maltreatment.

36. "Notice of removal" means a form of notification that CPS gives to a person other than a caregiver when CPS removes a child and places the child in temporary custody.

37. "Ongoing protective services" are voluntary or involuntary social services designed to help a family resolve problems that contribute to child abuse and may include counseling, parenting classes, parent aide services, and voluntary foster care placement.

38. "Out-of-home placement" means a place where a child resides when the child is unable to reside at home because of maltreatment and includes:

a. A relative home,

b. A foster home,

c. A licensed child welfare agency,

d. A behavioral health facility,

e. An unlicensed nonrelative,

f. An independent living program, and

g. A group home for persons with developmental disabilities.

39. "Probable cause" means that the Department has some evidence that an allegation is more likely to be true than not true.

40. "Protective services" means the same as A.R.S. § 8-801(1).

41. "PSRT" means the DCYF Protective Services Review Team that administers the process described in A.R.S. § 8-811 for appeal of proposed substantiated findings of abuse or neglect.

42. "Report" means a classification assigned to an incoming communication after the Child Abuse Hotline has screened the communication and found it to include:

a. An allegation of maltreatment about a person who is currently a child, and

b. Sufficient information for CPS to locate the child who is the subject of the maltreatment.

43. "Screening" means an initial process of determining whether an incoming communication contains an allegation of child maltreatment and should be classified as a report.

44. "Standard response time" means the period between the time a local CPS office receives a report from the Hotline and an action is taken to determine that a child victim is safe, in the absence of aggravating or mitigating factors.

45. "Substantiated" means that a CPS Specialist has concluded, after an investigation, that there is probable cause to believe an alleged abuser committed an act of child maltreatment.

46. "TDD" means a telecommunication device for the deaf.

47. "Unsubstantiated" means that a CPS Specialist has concluded, after an investigation, that there is no probable cause to believe an alleged abuser committed an act of child maltreatment.

Historical Note

Adopted effective June 2, 1976 (Supp. 76-3). Former Section R6-5-5501 repealed, new Section R6-5-5501 adopted effective December 8, 1983 (Supp. 83-6). Amended by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5502. Receipt and Screening of Information; Child Abuse Hotline

A. The Department operates a Child Abuse Hotline to receive and screen incoming communications. If a person calls, visits, or writes a Department office other than the Child Abuse Hotline to report child maltreatment, the Department shall refer the person or written communication to the Hotline.

B. The Department accepts anonymous calls of alleged maltreatment.

C. When the Hotline receives a communication, the Hotline staff shall:

1. Ask a caller's identity;

2. Use the standardized questions listed in Appendix 1 to this Article, to determine:

a. The type of maltreatment alleged, and

b. Whether to classify the communication as a report, and

3. Check the CHILDS Central Registry and other DES computer databases for prior reports on the same persons.

D. When the Department receives an oral report from a mandated reporter, the Department shall ask the mandated reporter to file a written statement confirming the oral report.

Historical Note

Adopted effective June 2, 1976 (Supp. 76-3). Former Section R6-5-5502 repealed, new Section R6-5-5502 adopted effective December 8, 1983 (Supp. 83-6). Section repealed, new Section adopted at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1). Numbering of subsection (C)(3) amended to correct typographical error (Supp. 00-2).

R6-5-5503. Non-Reports

Unless a communication includes an allegation of child maltreatment, the Department shall not classify as a report statements concerning the following matters:

1. A child's absence from school;

2. A child age 8 or older who allegedly committed a delinquent act;

3. Siblings of a child age 8 or older who allegedly committed a delinquent act.;

4. A child whose parents are absent but made arrangements for the child's care;

5. A child who is receiving treatment from an accredited Christian Science practitioner, or other religious or spiritual healer, unless the child's health is:

a. In imminent harm, under R6-5-5512(B); or

b. Endangered by lack of medical care;

6. A child with minor hygienic problems;

7. The lifestyle of a child's parent, guardian, or custodian;

8. Custody disputes, including:

a. A noncustodial parent who is denied visitation by the custodial parent, and

b. A relative or other person who wants legal custody of a child; and

9. Spiritual neglect of a child or the religious practices or beliefs to which a child is exposed.

Historical Note

Adopted effective June 2, 1976 (Supp. 76-3). Former Section R6-5-5503 repealed, new Section R6-5-5503 adopted effective December 8, 1983 (Supp. 83-6). Section repealed, new Section adopted at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5504. Preliminary Screening Classifications

A. Screening Classifications. After preliminary screening, Child Abuse Hotline staff shall classify a communication into one of the following categories:

1. A communication that is a non-report, or

2. A report for investigation.

B. Communication that is a non-report.

1. If a caller describes a problem that does not involve child maltreatment, the Hotline staff shall refer the caller to a community resource that can help with the problem.

2. If a communication involves a child who is already in the Department's care, custody, and control, the Hotline staff shall record the information and send it to the child's case manager for action. If a communication involves a licensed out-of-home care provider, the Hotline shall also notify the provider's licensing specialist or the appropriate licensing authority.

3. If a communication involves suicidal or homicidal behavior, or presents a danger to self or others, the Hotline staff shall refer the caller to law enforcement or behavioral health services.

4. If a communication involves an incorrigible or delinquent child who is age 8 or older, the Hotline staff shall refer the caller to the local county juvenile probation office.

5. If a communication involves child maltreatment by a person other than a child's caregiver, without the caregiver's knowledge, the Hotline staff shall notify, and direct the caller to notify, local law enforcement.

C. Review of non-reports.

1. If the information provided by a caller is not a report, the CPS Hotline staff shall:

a. Record the information;

b. Inform a caller that the information is not a report; and

c. If a caller disagrees with the decision not to take a report, advise the caller that a request may be made for a supervisory review.

2. If a caller requests a supervisory review, the Hotline staff shall transfer the caller to an available supervisor. The caller may request further review by the Child Abuse Hotline Assistant Program Manager, Hotline Program Manager, and ultimately, the ACYF Field Operations Manager.

3. A Child Abuse Hotline supervisor or a CPS quality assurance specialist shall review all communications not classified as a report within 48 hours of receipt to verify that the communication was properly classified.

D. Communication that is a report for investigation.

1. If a communication contains the information required for a report, the Hotline staff shall gather additional information using the standardized questions listed in Appendix 2.

2. The Hotline staff shall assign each report a priority code and may assign a tracking code.

3. The Hotline staff may shorten or lengthen the response time based on aggravating or mitigating factors received during the screening.

4. The Hotline staff shall give the caller the name and phone number of the local office supervisor receiving the report.

5. The Hotline staff shall enter the report information into CHILDS.

6. The Hotline staff shall immediately transmit the report to a local office for disposition.

Historical Note

Adopted effective June 2, 1976 (Supp. 76-3). Former Section R6-5-5504 repealed, new Section R6-5-5504 adopted effective December 8, 1983 (Supp. 83-6). Section repealed, new Section adopted at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5505. Priority Codes; Initial Response Time

A. Priority codes and initial response times are:

1. Priority 1: High Risk;

a. Standard Response Time: two hours;

b. Mitigated Response Time: 24 hours.

2. Priority 2: Moderate Risk;

a. Standard Response Time: 48 hours;

b. Aggravated Response Time: 24 hours;

c. Mitigated Response Time: 72 hours.

3. Priority 3: Low Risk;

a. Standard Response Time: 72 hours;

b. Aggravated Response Time: 48 hours;

c. Mitigated Response Time: 72 hours excluding weekends and Arizona state holidays.

4. Priority 4: Potential Risk;

a. Standard Response Time: seven days;

b. Aggravated Response Time: 72 hours excluding weekends and Arizona state holidays.

B. All response times are measured from the time that the CPS local office receives the report from the Child Abuse Hotline to the time action is taken to determine the current safety of the alleged victim.

C. To comply with the priority response time, entities other than CPS, such as law enforcement personnel, emergency personnel, or paramedics, may initially respond to a report.

D. If law enforcement or emergency personnel initially respond to a report, CPS shall respond and investigate the report no later than the mitigated response time for the designated priority.

Historical Note

Former Section R6-5-5505 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5506. Methods for Investigation of Reports

A. Upon receipt of a report, a CPS unit supervisor:

1. May aggravate or mitigate the response time, if the Child Abuse Hotline has not assigned a mitigating or aggravating factor, but shall not change any aggravating or mitigating factors assigned by the Hotline; and

2. Shall assign one of the following dispositions:

a. Field investigation;

b. Alternative investigation under R6-5-5507;

c. Legally prohibited investigation. A federal, state statute, or court order prohibits CPS from investigating if, for example:

i. The alleged maltreatment occurs on a United States military base or Tribal reservation land, or

ii. A court orders CPS not to investigate; or

d. Alternative response, such as reports referred to Family Builders.

B. The CPS unit supervisor shall document the action taken and the disposition.

Historical Note

Former Section R6-5-5506 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5507. Alternative Investigation

A. Upon receipt of a report, a CPS unit supervisor may conduct an alternative investigation.

B. To conduct an alternative investigation, CPS shall contact a mandatory reporting source who is currently involved with the family and can provide information that:

1. The child and other children residing in the home are not:

a. Current victims of maltreatment, or

b. At risk of imminent harm; and

2. The allegations are unsubstantiated.

C. A CPS administrator shall review and approve any decision to conduct an alternative investigation.

D. If information gathered during an alternative investigation indicates that an alleged victim may be at risk of harm, the CPS Supervisor shall immediately assign the case for field investigation.

E. CPS shall not conduct an alternative investigation if an allegation involves an alleged victim who is:

1. Already in Department custody,

2. Currently the subject of an open CPS case,

3. In a DES- or DHS-licensed or certified facility, or

4. In a DES-licensed family foster home.

Historical Note

Former Section R6-5-5507 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5508. Conduct of a Field Investigation

A. When conducting a field investigation, a CPS Specialist shall determine:

1. The name, age, location, and current physical and mental condition of all children in the home of the alleged victim;

2. Whether any child in the home has suffered maltreatment; and

3. Whether any child in the home is at risk of maltreatment in the future.

B. A CPS Specialist shall investigate allegations using the following methods:

1. Interview the alleged victim;

2. Interview the alleged victim's caregiver who allegedly committed the abuse;

3. Interview other adults and children residing in the home;

4. Interview other persons who may have relevant information, including the reporting source, medical personnel, relatives, neighbors, and school personnel;

5. Review available documentation including medical and psychiatric reports, police reports, school records, and prior CPS files; or

6. Consult with law enforcement.

C. A CPS Specialist may interview a child without prior parental consent under A.R.S. § 8-802(C)(2).

D. A CPS Specialist may exclude the alleged abuser from participating in an interview with the alleged victim, the alleged victim's siblings, or other children residing in the alleged victim's household.

E. Before interviewing a caregiver, a CPS Specialist shall:

1. Orally inform the caregiver of the rights and duties under A.R.S. § 8-803(B);

2. Give the caregiver a written statement summarizing the same information; and

3. Ask the caregiver to sign a written acknowledgment of receipt of the information.

F. A CPS Specialist may take temporary custody of a child under A.R.S. §§ 8-821(A) and (B) and 8-802(C)(4). The CPS Specialist shall take temporary custody of an alleged victim if the alleged victim needs to be examined and the caregiver will not consent to the examination.

G. If a CPS Specialist finds more allegations of maltreatment during the investigation, the CPS Specialist shall incorporate the allegations into the report and investigate under this Article.

Historical Note

Former Section R6-5-5508 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5509. Establishing Probable Cause of Child Maltreatment

To determine whether to recommend a substantiated allegation of maltreatment, the CPS Specialist shall consider all information gathered during the investigation, including:

1. Whether the alleged abuser or non-abusive caregiver admitted the maltreatment;

2. Whether a child provided a developmentally appropriate description of maltreatment;

3. Witness statements from persons other than the caregivers and the alleged victim;

4. Physical or behavioral signs of maltreatment or damage;

5. Medical opinions and opinions from treating professionals, including any conflict of opinion;

6. The consistency of the information provided; and

7. History of child maltreatment.

Historical Note

Former Section R6-5-5509 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5510. Investigation Findings; Required Documentation

After completing an investigation, a CPS Specialist shall:

1. Unsubstantiate the allegations or make a proposed finding that the allegation is substantiated based on whether the CPS Specialist finds probable cause to believe maltreatment occurred, and after considering the information listed in R6-5-5509;

2. Determine whether the family has any unresolved problems involving child maltreatment and needs further services;

3. Document in the case record the reason for the finding;

4. Include in the case record any oral and written statements or other documentation provided by a caregiver;

5. Notify the PSRT of a proposed substantiated allegation finding under A.R.S. § 8-811;

6. Enter an unsubstantiated allegation finding into the CHILDS Central Registry and send the caregiver written notice of the unsubstantiated allegation finding.

Historical Note

Former Section R6-5-5510 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5511. Ongoing Services; Imminent Harm Not Identified; Case Closure

A. If a finding is unsubstantiated or substantiated without unresolved problems, the CPS Specialist shall close the case.

B. If a finding is unsubstantiated or substantiated, and there is no risk of imminent harm to a child, but the family has unresolved problems that create a potential for maltreatment, CPS shall determine whether to open the case for ongoing protective services if:

1. A family requests ongoing protective services, or

2. A dependency action is pending.

C. CPS shall offer a family voluntary protective services before filing a dependency action.

D. When CPS offers a family voluntary protective services, CPS shall:

1. Document the family's acceptance or refusal of services,

2. Document any services provided, and

3. Document any action that CPS has taken to ensure that a child is safe.

E. To determine how to proceed for ongoing services, CPS shall consider the following criteria:

1. Whether a family acknowledges past maltreatment or potential for future maltreatment,

2. Whether the services are available to help a family address risk factors, and

3. Whether a family is willing to cooperate with the provision of services.

Historical Note

Former Section R6-5-5511 repealed effective December 8, 1983 (Supp. 83-6). New Section adopted by final rulemaking at 5 A.A.R. 444, effective January 15, 1999 (Supp. 99-1).

R6-5-5512. Procedures for Substantiated Reports; Removal; Imminent Harm

A. If CPS recommends a substantiated finding