Subchapter C: Organization And Administration

Front 1

What are my responsibilities as the permit holder before I begin operating? There are 7.

Back 1

September 2010
Before you begin operating, you are responsible for:
(1) Ensuring that your agency is legally established to operate within Texas and complying with all applicable statutes;
(2) Establishing the governing body of the agency;
(3) Having a governing body that is responsible for, and has authority over, the agency’s policies and activities;
(4) Having policies that clearly state the responsibilities of the governing body;
(5) Developing operational policies and procedures that comply with or exceed the rules specified in this chapter, Chapter 42 of the Human Resources Code, Chapter 745 of this title (relating to Licensing), and other applicable laws;
(6) Developing and providing us your plan for ensuring that:
(A) We are informed of any changes in:
(i) The location of all agency records, offices and agency homes;
(ii) Your hours of operation at your main office and any branch office(s);
(iii) Agency home verification; and
(iv) Your written professional staffing plan;
(B) Agency homes meet all applicable rules of this chapter prior to verification;
(C) Upon our request, you investigate reports of rules violations in a timely manner and submit reports of your agency’s actions and findings to us for our review, follow-up, and closure;
(D) Your child placement management staff conduct or review and sign off on all investigations completed by your agency;
(E) Your child placement management staff submits an investigation report to your agency’s Licensing representative within 30 days of the request from Licensing; and
(F) You evaluate the effectiveness of your system for meeting rules of this chapter and describe the process your agency will use to address problems that your evaluation system identifies; and
(7) Informing us of your hours of operation at your main office and any branch offices.

Front 2

What are my operational responsibilities as the permit holder? There are 17.

Back 2

When you begin operating, you must:
(1) Designate a full-time child-placing agency administrator who meets minimum qualifications of §749.631 of this title (relating to What qualifications must a child-placing agency administrator meet?);
(2) Operate according to the written policies and procedures adopted by the governing body as directed by this chapter;
(3) Maintain current, accurate, and complete master records;
(4) Ensure that all required documentation is true, current, accurate, and complete;
(5) Allow us to inspect your child-placing agency during its hours of operation;
(6) Allow us to inspect or monitor one of your foster homes at any time;
(7) Conduct ongoing evaluations of verified foster homes, including documentation of unmet rules of this chapter and correction of all deficiencies;
(8) Display your permit at your agency and a copy at any branch office;
(9) Observe the conditions and restrictions of your permit;
(10) Not offer unrelated types of services that conflict or interfere with the best interests of a child in care, a caregiver’s responsibilities, or space in the homes. If you offer more than one type of service, you must determine and document that no conflict exists;
(11) Maintain liability insurance as required by the Human Resources Code, §42.049;
(12) Comply with Chapters 42 and 43 of the Human Resources Code and all other applicable laws and rules of the Texas Administrative Code;
(13) Not act as an agent for unlicensed agencies, institutions, or individuals;
(14) Prior to implementing any changes, inform us of any changes to the plan you developed under §749.101 of this title (relating to What are my responsibilities as the permit holder before I begin operating?);
(15) Prepare the annual budget and control expenditures to ensure needs of the children are met;
(16) Ensure that no member of the governing body, member of the executive committee, management staff, or employee is listed as a sustained controlling person; and
(17) If your child-placing agency will be moving to another location or changing hours of operation, notify us in writing as soon as possible but at least 15 days prior to the move or change in hours of operation.

Hint 2

Regarding subsection (2), Licensing only enforces this requirement for policies required by the minimum standards. For example, Licensing does not enforce an operation’s policies on purchase approvals. In addition, Licensing will not cite this standard when an operation meets a specific minimum standard but does not meet their policy which requires more than the minimum standard. For example, if an operation’s policy requires caregivers to complete 12 hours of general pre-service training, and inspection results indicate that employees only completed 10 hours of training, no citation will be documented. However, if employees only completed six hours of training, a citation may be documented, since the minimum standards require eight hours of general pre-service training.

Front 3

What responsibilities do I have for personnel policies and procedures?

Back 3

You must:
(1) Develop a written organizational chart showing the administrative, professional, and staffing structures and lines of authority;
(2) Develop written job descriptions, including minimum qualifications and job responsibilities for each position;
(3) Develop written policies on the training requirements for employees and caregivers;
(4) Ensure that personnel policies comply with personnel requirements outlined in Subchapter F of Chapter 745 of this title (relating to Background Checks);
(5) Ensure your employees report serious incidents and suspected abuse, neglect, or exploitation. An employee who suspects abuse, neglect, or exploitation must report their suspicion directly to us and may not delegate this responsibility, as directed by Texas Family Code §261.101(b);
(6) Ensure that all employees and consulting, contracting, and volunteer professionals who work with a child and others with access to information about a child are informed in writing of their responsibility to maintain child confidentiality; and
(7) Either adopt the model drug testing policy or have a written drug testing policy that meets or exceeds the criteria in the model policy provided in §745.4151 of this title (relating to What drug testing policy must my residential child-care operation have?).

Front 4

What must my conflict of interest policies include?

Back 4

Your conflict of interest policies must include a:
(1) Code of conduct on the relationship between employees, contract service providers, children in placement, foster and adoptive parents, and children’s families;
(2) Statement that it is a conflict of interest for any of the following people or relatives of any of the following to be verified as a foster parent or approved as an adoptive parent of the agency: any current owner, member of the governing body, executive director, or any other employee or contract service provider of your agency; and
(3) Code of conduct on the relationship between your agency’s owners, members of the governing body, employees, and prospective and current foster and adoptive parents, including required parameters for entering into independent financial relationships or transactions.

Front 5

What are the specific responsibilities of the governing body?

Back 5

(a) The governing body is responsible for:
(1) Ensuring the agency remains fiscally sound;
(2) Overseeing and ensuring the management of the agency’s services and programs in compliance with your policies;
(3) Approving and having authority over the agency’s operational policies and activities which must comply with rules of this chapter;
(4) Complying with the law, including Chapters 42 and 43 of the Human Resources Code, the applicable rules of this chapter, and other applicable rules in the Texas Administrative Code;
(5) Ensuring that the majority of the voting members of the governing body consist of persons who do not have a conflict of interest that would potentially interfere with objective decision making. Persons who have such a conflict of interest include the following:
(A) Family members of:
(i) An officer;
(ii) A director; or
(iii) A person with a controlling interest in the entity’s stock; or
(B) If the governing body is a non-profit entity, persons who benefit financially from the operation, including but not limited to persons employed by or working at the operation, paid consultants, subcontractors, or vendors.
(6) Carrying out governing body responsibilities assigned in the agency’s policies and procedures.
(b) Regarding subsection (a)(5) of this section:
(1) Operations granted a permit by us before January 2007, have two years to comply with this paragraph; and
(2) Operations granted a permit by us after January 2007, have two years from the date the operation is licensed by us to comply with this paragraph.

Front 6

After a permit has been issued, what subsequent information regarding my governing body must I provide to Licensing, and when must I provide it?

Back 6

You must provide to us in writing any change in: Change: Deadline for notifying us:
Medium-Low (1) The legal structure of your agency At least seven working days before making the change
Medium-Low (2) The composition of the governing body Within 2 days of such a change
Medium-Low (3) The information about governing body officers, executive committee, or members, such as name or location changes Within 15 days of learning about a change

Front 7

After a permit has been issued, what subsequent information regarding my governing body must I provide to Licensing, and when must I provide it?

Back 7

The Change:Deadline to Inform

(1) The legal structure of your agency:At least seven working days before making the change
(2) The composition of the governing body:Within 2 days of such a change
(3) The information about governing body officers, executive committee, or members, such as name or location changes: Within 15 days of learning about a change

Front 8

What are my general fiscal requirements?

Back 8

(a) You must establish and maintain your agency on a sound fiscal basis.
(b) You must maintain complete financial records.
(c) If you provide adoption services, you must have a fee policy that clearly describes what fees you charge and what services the fees cover. We must approve your fee policy.

Front 9

What are my specific fiscal requirements?

Back 9

You must:
(1) Submit documentation to us of a 12-month budget of income and expenses with the application for a new permit;
(2) Submit documentation to us of reserve funds or available credit at least equal to operating costs for the first three months of operation with the application for a new permit;
(3) Have predictable funds sufficient for the first year of operation;
4) Demonstrate at all times that you have or will have sufficient funds to provide appropriate services for all children in your care;
(5) Account for a child’s money separately from the funds of your agency and the foster home. No child’s personal earnings, allowances, or gifts may be used to pay for the child’s room and board, unless such a use is a part of the child’s service plan and the child’s parent approves it in writing. You must give or send the child’s money to the child, parent, or next placement within 30 days of the child’s discharge; and
(6) You must make one of the following available for our review:
(A) An annual review of your financial records conducted by an independent Certified Public Accountant in accordance with the Generally Accepted Accounting Principles; or
(B) Proof of reserve funds equal to at least three months of operating expense for your agency.

Front 10

What type of financial report must I submit to Licensing if I provide adoption services?

Back 10

(a) You must submit an annual financial report to us on a form that we provide. The report must include:
(1) Information on adoption-related income from all sources, including the source of the income and the amount; and
(2) Adoption-related agency expenses, including the expense category and the category detail.
(b) You must submit the financial report to us within 60 days of the end of your agency’s fiscal year.

Front 11

May I make payments for adoption referrals?

Back 11

No, you may not make any payments for adoption referrals.

Front 12

What types of fees may I collect prior to the completion and approval of a home study?

Back 12

You may only accept reasonable application fees, home study fees, and fees for education and training of the prospective adoptive parents prior to the completion of the home study.

Front 13

For adoption services, what fee policies must I have?

Back 13

(a) For adoption services, you must have an adoption fee or adoption fee schedule that you apply to all clients. The policy must include the type of expenditures you will meet for birth parents and whether you will do so through an overall fee, pass-through expenses, or some combination. Policies on pass-through expenses must comply with all requirements listed in §749.273 of this title (relating to What must I do if I pass through expenses to adoptive families?).
(b) If you charge additional fees, your policy must explain clearly what the fees cover.
(c) You must have a clear policy on refunds.

Front 14

Must I charge the same fees for all adoptions?

Back 14

No, you are not required to charge the same fees for all adoptions. The fee or fee schedule may take into consideration relevant factors such as adoptive placement of children considered to be hard to place. You may also have a sliding scale fee schedule. The parameters of any differential fee schedules must be specified and equally applied.

Front 15

What financial assistance may I provide for a birth mother?

Back 15

(a) You may provide financial assistance to a birth mother to meet her reasonable and necessary living expenses and legal costs.
(b) Reasonable and necessary living expenses include:
(1) Housing expenses;
(2) Necessary utilities, such as electric, water, or telephone bills;
(3) Food for the birth mother and her minor children that are living with her;
(4) Travel expenses for transportation necessary to support the pregnancy, such as gasoline or bus fares to medical appointments or the grocery store;
(5) Medical costs; and
(6) Child-care or foster care while a birth mother is hospitalized or unable to care for her children.

Hint 15

(c) Reasonable and necessary living expenses do not include:
(1) Any expenses met by a birth mother’s existing resources;
(2) Any expenses supporting other family members, with the exception of the birth mother’s minor children who are living with her;
(3) Any expenses for recreational and leisure activities; or
(4) The purchase of an automobile.

Front 16

During what period of time may I provide financial assistance to a birth mother?

Back 16

Financial assistance may only be provided:
(1) During the time of the pregnancy; and
(2) After the pregnancy, during the time the birth mother requires inpatient or outpatient postpartum care.

Front 17

How do I determine the birth mother’s need for financial assistance?

Back 17

(a) You must review the birth mother’s financial resources.
(b) Your evaluation must include an evaluation of family support, medical insurance, and other resources available.
(c) The evaluation must justify a payment you make for the birth mother’s reasonable and necessary living expenses and legal costs related to the adoption and, if applicable, post partum care.
(d) You must document the evaluation and provide a copy to the birth mother.

Front 18

How do I document financial assistance that I provide for a birth mother?

Back 18

(a) You must document financial assistance that you provide for the birth mother through receipts.
(b) A receipt must include the date, payee identification, purpose of payment, and documentation that the funds were expended for services rendered or goods provided for the birth mother.
(c) You must organize and maintain this documentation in the individual record of the birth mother.

Front 19

May I provide cash payments to birth mothers?

Back 19

(a) For reasonable and necessary living expenses, you may provide cash payments to birth mothers to cover the cost of day-to-day routine purchases, such as food, household supplies, personal hygiene or grooming items, and gasoline or public transportation if your policies:
(1) State when and for what purpose you can make cash payments to a birth mother;
(2) Establish a maximum amount per category, per time period, based on the current rates in the community in which the care is provided; and
(3) Require you to obtain documentation from a birth mother acknowledging receipt of the payments.
(b) Each cash disbursement may cover a period of up to one month.

Front 20

If a birth mother decides not to relinquish a child for adoption, may I require her to repay my agency or the adoptive parent for expenses and services incurred?

Back 20

(a) No, you may not require a birth mother to repay you for expenses and/or services incurred.
(b) You must inform a birth mother of this policy in writing upon establishing any formal relationship between your agency and a birth mother and post it in the agency’s offices in a place routinely visible to birth mothers. The written policy provided to the birth mother must be in a language spoken and read by the birth mother.

Front 21

May I provide foster care services free of charge or at a reduced rate to a birth mother that needs time to make a decision about adoptive placement?

Back 21

Yes, as long as the foster care services provided free of charge or at a reduced rate are not contingent upon the relinquishment of the child for adoption, you may provide the foster care services.

Front 22

If a birth mother’s needs are met through existing resources, can I disrupt that arrangement?

Back 22

(a) If a birth mother’s needs are met through an existing resource, you must not, by action or advice, disrupt that unless your child placement management staff determines that it is in the best interest of the birth mother and her child that other arrangements be made based on documented proof that her current living situation impacts the basic health or safety of the birth parent or the child, including psychological or emotional abuse. For example, if family members are providing housing at no cost to a birth mother, your agency may not advise the birth mother to move to an apartment for which your agency would pay rent.
(b) This rule applies to any kind of financial assistance.
(c) You must document the impact and determination of best interest before any arrangements are made and/or expenses are paid.

Front 23

May I require adoptive families to reimburse me for expenses incurred by the birth mother?

Back 23

(a) You may pass through to the adoptive parents certain expenses that:
(1) You incur on behalf of the birth mother; or
(2) The birth mother incurs.
(b) You cannot pass through expenses for medical or other services that were met through a birth mother’s insurance company or some other source or that were provided free to the birth mother.

Front 24

What must I do if I pass through expenses to adoptive families?

Back 24

You must meet the following requirements if you pass through the birth mother’s expenses to adoptive families:
(1) Your fee policy must include a complete description of the types of expenses that you may pass through to adoptive families.
(2) The fee policy must comply with the financial assistance requirements in Division 5 of this subchapter (relating to Financial Assistance to Birth Mothers).
(3) You must prepare an individual report for each case where you pass through expenses to the adoptive family. The report must be organized by expense category and include the date, amount, and a description of each expenditure. You must give the report to the adoptive family. The report must be available for our review.
(4) If requested by an adoptive parent, you must provide an itemized list of how pass though money was expended and if there is a surplus.
(5) With the exception of unforeseeable medical and legal expenses, you must provide to the adoptive family a written estimate of the pass-through expenses you anticipate will be associated with the adoption. You must provide this estimate before the adoptive family makes any financial commitment to the placement.
(6) If you exceed the estimated expenses by more than 10%, you must obtain acknowledgement and agreement in writing from the adoptive parents that they will incur the additional expenses. If you cannot reach an agreement with the adoptive parents, you must incur the additional expenses.
(7) If there is a surplus of pass through money, you must refund the surplus back to the adoptive parents.
(8) You must inform the adoptive family, in writing, that:
(A) A birth mother may choose not to relinquish a child for adoption; and
(B) You are prohibited from seeking repayment from that birth mother for expenses incurred in providing adoption services.

Front 25

What is a branch office?

Back 25

(a) A branch office is anywhere the child placement staff and child master records or foster/adoptive home master records are located.
(b) You may operate a branch office if you:
(1) Maintain compliance with the rules of this chapter; and
(2) Are in good standing with us.

Front 26

What must I do before opening a branch office?

Back 26

At least 30 days prior to the opening of a branch office, you must provide us the following information with your request to amend your license:
(1) The address, telephone numbers (if available), and office hours for the branch office;
(2) The name, qualifications, and contact information of the administrative staff person who will be primarily responsible for the day-to-day operation of the branch office;
(3) The name(s), qualifications, and contact information of the child placement management staff that will be responsible for child-placing activities of the branch office;
(4) The name(s) and qualifications of other employees who will be involved in child-placing activities at the branch office; and
(5) An updated written professional staffing plan that includes how child placement management staff, the Licensed Child-Placing Agency Administrator, and the treatment director, if applicable, will supervise services provided from the branch office.

Front 27

When are additional staff or offices required for foster care services?

Back 27

(a) In each DFPS region where you verify foster homes or within 150 miles of each verified foster home, you must comply with one the following:
(1) Maintain a main office or branch office with:
(A) An administrator who meets §749.631 of this title (relating to What qualifications must a child-placing agency administrator meet?); and
(B) A treatment director, if applicable, per §749.721 of this title (relating to Must I have a treatment director?); or
(2) Maintain a main office or branch office that operates based on the following caseload limits:
(A) A caseload of foster children only cannot exceed:
(i) 35 for children receiving child-care services;
(ii) 25 for children receiving treatment services; and
(iii) 30 for a combination of children receiving child-care services and children receiving treatment services;
(B) A caseload of foster homes only cannot exceed 15 homes; and
(C) A combination caseload of both children and homes cannot exceed 30 cases. Calculate the maximum of 30 cases by counting:
(i) Each child as one case;
(ii) Each foster family home as one case; and
(iii) Each foster group home as two cases.
(b) If you choose to comply with subsection (a) of this section using the caseload limits in paragraph (2) of subsection (a) of this section, you are only required to have one administrator and one treatment director (if applicable) for each license.
(c) If you were licensed before January 2007, you have until January 1, 2012, to comply with this requirement.
(d) This rule does not apply to a child-placing agency that provides only adoption services, including foster homes verified by a private adoption agency solely for the care of infants awaiting placement in an adoptive home pending the resolution of the child’s eligibility for adoption and/or the readiness of an appropriate adoptive home. This does not include a foster home that is also the intended adoptive home.

Front 28

What happens to the foster homes supervised by a branch office when the branch office closes?

Back 28

(a) If the branch office closure is related to a corrective or adverse action which Licensing is taking or has taken against your agency, you must:
(1) Close a foster home under that branch office; or
(2) Transfer a foster home under that branch office to your main or another branch office, including:
(A) Updating the foster home study per §749.2473 of this title (relating to What must I do to verify a foster home that another child-placing agency has previously verified?), with the exception of new criminal history and central registry background checks;
(B) Ensuring that all required criminal history and central registry background checks for the foster home have been conducted within the last 24 months; and
(C) Issuing a new verification certificate.
(b) If the branch office closure is not related to a corrective or adverse action which Licensing is taking or has taken against your agency, you may transfer the foster homes to the main office or another branch office without updating the foster homes’ home studies.

Front 29

What policies must I develop if I use volunteers?

Back 29

If you use volunteers, you must develop policies that:
(1) Include volunteer job descriptions and/or responsibilities;
(2) Address volunteer qualifications, screening and selection procedures, and orientation and training programs;
(3) Address supervision of volunteers; and
(4) Address visitation with children in care.

Front 30

What are the general requirements for my agency’s policies?

Back 30

(a) The requirements for policies only apply to the agency’s policies that are required or governed by this chapter.
(b) The policies that we require must be written and they must indicate the approval of the governing body, date of approval, and effective date.
(c) The policies must be clearly stated and comply with the rules of this chapter.
(d) All employees and caregivers must be made aware of and follow your policies and procedures. A copy of your policies and procedures must be maintained at the agency and available for review by an employee or caregiver.
(e) All policies must be available for review by our staff and your clients, upon request.
(f) You must report any significant change to the policies to us at least seven days before implementing the change.
(g) You must maintain copies of all current and previous policies for at least two years.

Front 31

What are the requirements for my admission policies?

Back 31

Your admission policies must describe each program you offer, including but not limited to:
(1) The program’s goals and services provided, including whether the program accepts emergency admissions;
(2) The characteristics of the population the program serves, such as behaviors and diagnoses. If the program includes treatment services, you must describe the emotional disorders, mental retardation, pervasive developmental disorders, or primary medical needs that the program is designed to treat; and
(3) The gender(s) and age range of the population the program serves.

Front 32

What information must my placement policy contain?

Back 32

Your placement policy must describe how you will:
(1) Ensure that your agency will not place a child before determining that foster care and/or adoption is appropriate for the child;
(2) Match a child with a foster and/or adoptive home to ensure that the child’s needs are met;
(3) Make every effort to place siblings together and document when it is necessary to separate siblings groups; and
(4) Ensure contact between siblings is maintained when siblings are not placed together or document why contact is not appropriate for one or more of the siblings.

Front 33

What policies must I provide to the person placing the child?

Back 33

(a) You must give copies of the following policies to the person legally authorized to place the child:
(1) Fee policies;
(2) Emergency behavior intervention policies;
(3) Discipline policies;
(4) Treatment services policies, if the child is receiving treatment; and
(5) Adoption policies, if applicable.
(b) Upon request you must make available to the person legally authorized to place the child any other policies that are required by us.
(c) The policies listed in subsection (a) of this section must also be made available to employees, contract staff, foster parents, and adoptive parents.

Front 34

What child-care policies must I develop?

Back 34

You must develop policies that describe:
(1) Visitation rights between the child and family members and the child and friends;
(2) The child’s rights to correspond by mail with family members and friends, including any policies regarding mail restrictions and receipt of electronic mail;
(3) The child’s rights to correspond by telephone with family members and friends;
(4) The child’s rights to receive and give gifts to family, friends, staff or caregivers, or other children in care, including any restrictions on gifts;
(5) Personal possessions a child is or is not allowed to have;
(6) Emergency behavior intervention techniques if the use of emergency behavior intervention is permitted in your agency. If its use is not permitted, you must have a policy disallowing its use;
(7) Discipline policies including techniques and methods for ensuring the appropriateness of discipline techniques used with a child. These policies and procedures must:
(A) Guide employees and caregivers in methods used for discipline of a child in care;
(B) Include measures for positive responses to appropriate behavior;
(C) Make clear that discipline of any type is inappropriate and not permitted for infants; and
(D) Emphasize the importance of nurturing behavior, stimulation, and promptly meeting the child’s needs;
(8) Any religious program or activity that you offer, including whether children are required to participate in religious activities with caregivers or staff;
(9) The plans for meeting the educational needs of each child;
(10) When trips with caregivers away from the home are allowed and what protocols will be used;
(11) Program expectations and rules that apply to all children;
(12) Child grievance procedures;
(13) The types and frequency of reports to parents;
(14) Procedures for routine and emergency diagnosis and treatment of medical and dental problems;
(15) Routine health care relating to pregnancy and childbirth, if you admit and/or care for a pregnant child;
(16) Your plan for providing health-care services to a child with primary medical needs;
(17) Transitional living policies, if applicable; and
(18) If applicable, the policy required by §749.2961(a)(2) of this title (relating to Are weapons, firearms, explosive materials, and projectiles permitted in a foster home?).

Front 35

What emergency behavior intervention policies must I develop if the use of emergency behavior intervention is permitted in my foster homes?

Back 35

At a minimum, you must develop emergency behavior intervention policies to implement the requirements in Subchapter L of this chapter (relating to Foster Care Services: Emergency Behavior Intervention). The policies must include the following:
(1) A complete description of emergency behavior interventions that you permit caregivers to use;
(2) The specific techniques that caregivers can use;
(3) The qualifications for caregivers who assume the responsibility for emergency behavior intervention implementation, including required experience and training, and an evaluation component for determining when a specific caregiver meets the requirements of a caregiver qualified in emergency behavior intervention. You must have an on-going program to evaluate caregivers qualified in emergency behavior intervention and the use of emergency behavior interventions;
(4) Your requirements for and restrictions on the use of permitted emergency behavior interventions;
(5) How you will meet the following requirements during the orientation required in §749.1111 of this title (relating to What orientation must I provide a child?):
(A) Explain and document the following to a child in a manner that the child can understand:
(i) Who can use an emergency behavior intervention;
(ii) The actions a caregiver must first attempt to defuse the situation and avoid the use of emergency behavior intervention;
Medium (iii) The situations in which emergency behavior intervention may be used;
(iv) The types of emergency behavior intervention you authorize;
(v) When the use of an emergency behavior intervention must cease;
(vi) What action the child must exhibit to be released from the emergency behavior intervention;
(vii) The way to report an inappropriate emergency behavior intervention;
(viii) The way to provide voluntary comments on any emergency behavior intervention; and
(ix) The process for making comments on any emergency behavior intervention, such as comments regarding the incident that led to the emergency behavior intervention, the manner in which a caregiver intervened, and the manner in which the child was the subject or to which they were a witness. You may create a standardized form that is easily accessible or give children the permission to submit comments on regular paper; and(B) Obtain each child’s input on preferred de-escalation techniques that caregivers can use to assist the child in the de-escalation process;
(6) Requirement that caregivers must attempt less restrictive and less intrusive emergency behavior interventions as preventive measures and de-escalating interventions to avoid the need for the use of emergency behavior intervention;
(7) Training for emergency behavior intervention. The policy must include a description of the emergency behavior intervention training curriculum that meets the requirements in the rules of this chapter, the amount and type of training required for different levels of caregivers (if applicable), training content, and how the training will be delivered; and
(8) Prohibitions for discharging or otherwise retaliating against:
(A) An employee, client, resident, or other person for filing a complaint, presenting a grievance, or otherwise providing in good faith information relating to the misuse of emergency behavior intervention at the agency or foster home; or
(B) A client or resident because someone on behalf of the client or resident files a complaint, presents a grievance, or otherwise provides in good faith information relating to the misuse of emergency behavior intervention at the agency or foster home.

Front 36

What policies must I develop on the discipline of children in foster care and pre-adoptive care?

Back 36

You must develop policies that guide caregivers in methods used for discipline of children in foster care or adoptive placement prior to consummation, and include:
(1) Measures for positive responses to appropriate behavior;
(2) If you work with infants, a statement that discipline of any type is not appropriate or permitted for infants; and
(3) The importance of nurturing behavior, stimulation, and promptly meeting the child’s needs.

Hint 36

Best Practice Suggestion
While discipline is broadly defined, it is still the intent of the rule to prohibit any formal or structured discipline of infants. Infants do not have the cognitive ability to understand verbal direction and modify their behavior accordingly. Nothing can substitute for adult supervision and interaction.
For example, if a 14-month-old is wandering toward the street, a caregiver can say “Stop! I need you need to stay close to me,” but this cannot substitute for physically preventing the child from entering the street. The caregiver cannot expect the child to stop and cannot expect the infant to not repeat this behavior.
This does not mean that an infant should not experience natural consequences for their behavior, but rather that the caregiver should not expect any cognitive learning or behavior modification to result. For example, if a 15-month-old bites someone, the caregiver should separate the biting infant and show empathy for the biting victim, but you cannot expect any consequences that the infant experiences to effect future biting behavior.
While an infant should experience natural, non-punitive consequences (e.g. being moved away from a hot stove), any expectation that an infant learn and modify his behavior could lead to unrealistic expectations, decreased supervision necessary to prevent dangerous situations, and frustration on the part of the caregiver.
Corporal punishment is prohibited for all children, regardless of age (see §749.1953). Per §749.1957(12), children may not be confined to furniture or equipment (such as a high chair) as discipline.

Front 37

What foster care policies must I develop?

Back 37

You must develop foster care policies that include the following:
(1) Criteria and procedures for screening and accepting foster parent applicants or agency home caregivers who can meet the needs of the children your agency serves;
(2) Criteria for making decisions about the number, ages, gender, and needs of children who may be placed in a foster home;
(3) Respective rights and responsibilities of the agency and foster parents;
(4) Pre-service and annual training requirements for foster parents or agency home caregivers; and
(5) Policies on how you will provide services if the home provides more than one type of care.

Front 38

What policies must I develop on the rights and responsibilities of the child-placing agency, foster parents, and caregivers?

Back 38

(a) You must develop a policy clearly stating the rights and responsibilities of the child-placing agency and foster parents. The policy must specify:
(1) What decisions you will make, what decisions the foster parents will make, and which ones you and the foster parents must agree upon;
(2) Training requirements for foster parents and caregivers, including:
(A) What part you will provide;
(B) What part the foster parents and caregivers must acquire on their own; and
(C) A statement about who will be responsible for training fees, travel expenses, and associated child-care costs;
(3) The channels through which you and the foster parents will communicate with each other;
(4) The amount of reimbursement(s) you will provide the foster parents and when the foster parents will receive it;
(5) The type of relevant information and pre-placement contact you will provide, so the foster parents can make an informed decision about a placement;
(6) How much discretion the foster parents have in accepting or declining specific placements;
(7) The kind and amount of support provided to all foster families and any services available to foster parents;
(8) The kind of information you expect the foster parents to report to you and within what time frames;
(9) The foster parents’ role in the services to children in care, including expectations for the foster parents’ participation in service planning and implementation of the service plan;
(10) The foster parents’ right to appeal your actions and decisions that affect them and the procedures for making an appeal;
(11) The responsibilities of the child-placing agency and the foster parents for complying with the rules of this chapter; and
(12) How foster parents may review their child-placing agency home record.
(b) You must provide foster parents with a copy of this policy at the time you verify the home.

Front 39

What additional policies must I develop for foster parents that provide treatment services?

Back 39

You must develop additional policies for foster parents that provide treatment services. These policies must include:
(1) Ongoing assessments of the caregiver’s abilities to meet the needs of the children in care;
(2) Safeguards for protecting the children and caregivers;
(3) Emergency back-up and support systems for the caregivers; and
(4) A procedure for your review and approval of paragraphs (1)-(3) of this section.

Front 40

What policies must I develop for fosters parents who offer a transitional living program?

Back 40

If foster parents offer a transitional living program, you must develop policies that address the following:
(1) Criteria used to select participants for the program;
(2) Supervision of participants;
(3) Expected behaviors of participants and consequences for failure to comply;
(4) Training, education, and experiences to be achieved in the program; and
(5) Roles of participants, agency employees, contract staff, and caregivers.

Front 41

What policies must I develop for babysitters and respite child-care providers in foster homes?

Back 41

You must develop policies for babysitters and respite child-care providers in foster homes that include:
(1) Minimum age for care providers;
(2) Minimum amount and type of prior child-care experience that a provider must have;
(3) Amount and type of training a provider must have;
(4) Reference and background information that foster parents must obtain before using the provider;
(5) Amount of time a provider can care for children;
(6) Number of children that a provider can care for;
(7) Information that the foster parents must share with a provider, including information about the children in care and emergency contact information for the foster parent and the agency;
(8) Specific care instructions that the foster parents must share with a provider for children with treatment needs;
(9) A method for contact between the foster parent and provider during the time of the provider’s care;
(10) Procedures for agency review and approval of arrangements; and
(11) Requirements for documentation of arrangements, including agency child placement staff review and approval, in the foster home record.

Front 42

What policies must I develop for a legal risk placement program for foster-adoptive families?

Back 42

If you operate a legal risk placement program, you must develop policies that specify:
(1) The requirements for foster-adoptive families to participate in this program; and
(2) Criteria used in selecting children for appropriate legal-risk placements.

Front 43

What policies must I develop if I offer adoption services?

Back 43

You must develop policies for adoption services that include:
(1) Procedures and criteria for qualifying, screening, and selecting adoptive parents, including the:
(A) Criteria you will use to evaluate potential adoptive parents;
(B) Criteria you will use to make decisions about placing specific children with an adoptive family; and
(C) Procedures you will use to implement the selection criteria;
(2) Training and programs for the adoptive parents;
(3) Statement of the rights and responsibilities of the agency and adoptive parents prior to the consummation of the adoption;
(4) Plan for review of adoption service plans appropriate to the needs of children served in the adoption program;
(5) How you will assist the adoptive homes on how to best preserve the cultural identity of the children in their care;
(6) Fees charged to adoptive parents and reimbursements to birth mothers;
(7) Services that will be offered to birth parents;
(8) Degree to which birth parents may be involved in planning for and placing their child; and
(9) Post adoption services that will be offered to adoptive parents, adopted children, and birth parents.

Front 44

Who are my clients?

Back 44

(a) Your child clients include children in:
(1) Foster care; and
(2) Pre-consummated adoptive placement.
(b) Your adult clients include:
(1) Birth parent, managing conservator, or whoever has legal responsibility for the child that you are placing;
(2) Foster parent applicants;
(3) Foster parents;
(4) Adoptive applicants;
(5) Adoptive parents prior to consummation of the adoption; and
(6) Adoptive parents and birth parents seeking post adoptive services.
(c) Anyone can call you for information or attend a meeting open to all interested persons, but a person becomes your client when you establish a relationship beyond that available to someone who is merely an interested person.

Front 45

What rights do my adult clients have?

Back 45

When a person becomes your adult client, you must inform the person:
(1) That the rules of this chapter, the compliance status reports, and your policies are available for review upon their request;
(2) Of their right to appeal agency actions and decisions that affect them, and the procedures for making an appeal;
(3) Of procedures for making a complaint to us; and
(4) Of other entities where it is appropriate to file complaints, such as the board or state agency that professionally licenses individuals whom you employ or contract with, and the procedures for making complaints to those entities.

Front 46

What must my appeal process include?

Back 46

(a) You must have a written appeal process for your adult clients in regard to your actions and decisions that affect those clients.
(b) The process must describe:
(1) How you will inform clients of their right to appeal;
(2) The procedures for making an appeal;
(3) Who will hear an appeal and make the decision;
(4) How the person who requests an appeal will find out about the decision;
(5) Time frames for making a decision and communicating the decision to the complainant; and
(6) The basis for an appeal decision.
(c) You must provide this information to each birth parent, foster parent applicant, or adoptive applicant before you make that person your client.
(d) Your appeal process does not have to involve anyone from outside your agency. An internal review procedure is sufficient.