Application for Initial Certification

Policy Number: 03-01-01

Date of Last Update: 12/21/2021

Policy Statement: All DCC Specialists must conduct a review of each applicant(g) a person who has applied for or for whom Child Care Assistance has been applied, either directly or through a representative. A person who has applied to become certified as a Child Care Provider. to determine if the provided care and protection of each child comply with all applicable Federal and State regulations. Each applicant must comply with all applicable rules to be certified as a child care provider. All child care must be safe, nurturing, and developmentally appropriate. All providers must directly supervise all children, and any other duties or activities must not interfere with the child’s supervision and care.

1. Applicant Requirements: Applicants wanting to be a child care provider must be 18 years of age or older. All provider applicants must submit a complete, signed Application the department form (CCA-0001A) used to apply for Child Care Assistance. The department's online form titled “DES Certified Home-Based Child Care Provider Application” used to apply for certification as a Child Care Provider.. Each applicant must designate one or more backup providers an approved adult who provides child care when the primary provider is not available.. Each backup provider must meet the following requirements:

   • Must be 18 years of age or older.

   • Must be currently licensed as a DHS child care center, certified group home, or a DES family child care home.

   An applicant must participate in any orientation and training and cooperate in conducting any pre-certification interviews, home consultations, and inspections the department may require. Each applicant must provide the names of three references that they have known for at least one year, are not related by blood or marriage, and can provide information relative to the applicant’s character and ability to provide care for a child.

   An applicant and all designated backup providers must provide a self-statement of physical and mental health on a form provided by the department. When questions arise about the applicant’s health that the applicant cannot satisfactorily answer or explain, the applicant, upon request by the department, must submit to a physical or psychological examination by a licensed physician, psychologist, or psychiatrist and must provide the department with a professional opinion addressing the department’s questions. The applicant must cover the cost of any professional examinations that the department needs to determine whether the individual is qualified. The applicant must provide identifying information a name or number used in conjunction with other information to identify a specific person. This information includes a current address, telephone number, date of birth, social security number, maiden name, aliases or nicknames, relationship to other named individuals, marital status, education background, ethnicity, gender, birthplace, physical characteristics, and citizenship status. to the department to determine eligibility as a child care provider. Applicants, backup providers, and all adult household members shall complete a Certification Statement for Providing Child Care Services (CC-201), have it notarized, and provide it to the department.

2. Department Responsibilities: A complete application in its entirety, dated and signed, must be date stamped upon receipt. A certification supervisor or designee assigns the applicant’s case to a specialist and ensures the tracking of any fingerprints submitted to the Arizona Department of Public Safety (DPS). The specialist must provide the initial orientation and training applicable to all Federal and State requirements. Specific details about the orientation/training are listed below. The specialist will initiate reference checks upon receipt from the applicant. When additional information is needed, the specialist will contact references. If a reference fails to respond to the specialist, the applicant is advised.

3. Orientation/Training Requirements: Each orientation and training includes the following topics of discussion:

   • Health standards including TB and immunizations requirements, review of the Statement of Physical and Mental Health (CC-037);

   • Safety standards;

   • DES Family Child Care Home Discipline Policy (CC-050), including information on guiding behavior and positive reinforcement;

   • Provider/child ratio;

   • Creative activities and use of materials and the concept of Developmentally Appropriate Practices (DAP);

   • Nutrition requirements/opportunities to enroll in the Child and Adult Care Food Program (CACFP);

   • Training including Pediatric CPR/First Aid and any ongoing annual requirement;

   • Citizenship requirement;

   • Mandatory Department of Child Safety (DCS) reporting for abuse and neglect issues;

   • DES complaint policy;

   • Responsibilities under the Americans with Disabilities Act (ADA);

   • Fingerprinting requirements

   • Record-keeping requirements

   • DCS Central Registry search

   • Selection of a backup provider

   • Automobile (Car) Insurance

   • Child Care Liability Insurance - Note: the State of Arizona must be listed an “additional or other insured” and is not the same as homeowners or car insurance.

   • Child Care rate establishment and the certification application process, including licensing timeframes

4. General Fingerprinting Requirements: All applicants, household members a person living in the home. A spouse of a provider or applicant, a college student, living in the home during school holidays or vacations, individuals receiving benefits and listed as a member of the household for official government purposes, is frequently at the child care facility during child care hours (this includes friends, significant others, non-household relatives, and cleaning staff); or any person residing in the home for 21 days or more during a month. 18 years of age or older, and all identified backup providers must be fingerprinted and complete all applicable forms related to fingerprinting per all state regulations before issuing a certificate. This rule does not apply to currently regulated providers or individuals with a valid DPS-issued fingerprint card. Before continuing the fingerprint process, the applicant must discuss any individual frequently in the facility with the department or designee.

   The Specialist or any agency competent to perform this function may complete fingerprinting. Each person fingerprinted must use the Fingerprint Card and Applicant Fingerprint Clearance Card Application furnished by DPS (FD-258 and DPS 802-06857). When any agency charges to fingerprint an individual, the individual must cover that cost.

   When an individual already has an unexpired fingerprint clearance card issued by DPS, the Specialist will examine the card. The card must state “Level One Fingerprint Clearance Card” on the front. When the card indicates “See Restrictions on the Back,” review and document the restrictions in the case file a case file is the collected forms and documentation about an AZCCATS case number or CCA application. Any documentation stored as one or more of the following: Case Action Summary (CAS), any division forms, and any AZCCATS screen.. When the restriction indicates it is for driving (e.g., Driving Restrictions per ARS 41-1758.03.D), the applicant cannot transport children. The specialist must make a copy of the front and backside of the card and place it in the case file. When questions arise about the validity of the card, the specialist can call DPS at (602) 223-2279 or visit the DPS Fingerprint Clearance Card/Application status website. Once confirmation of the card’s status is received, document the case file and place a copy of the proof in the case file.

   If an applicant checks “yes” to one of the non-appealable offenses, the application must be denied per state regulations. If an applicant checks “yes” to an appealable offense and plans to request a good cause hearing, suspend the application process and submit the fingerprint information to DPS. The specialist sends a Notice of Administrative Deficiency to the applicant, informing them the application process is suspended for 60 days or until all the deficiencies identified are corrected, whichever comes first. Note: the Department is only allowed to send a Notice of Administrative Deficiency once during the application process. The notice must contain all items or requirements that the applicant has not submitted or has not met.

   A new backup provider is required when a backup provider checks “yes” to one of the non-appealable offenses. When a backup provider checks “yes” to an appealable offense and plans to request a good cause hearing, the provider must select a new backup until proof of a fingerprint clearance card is obtained for the initially selected backup provider. A new backup provider is required when a backup provider checks “yes” to one of the appealable offenses and does not plan to request a good cause hearing.

   When a household member checks “yes” to a non-appealable offense or one of the questions, the applicant is advised that they have the following options or the department will deny the certification application:

   • Pursue becoming a Certified In-Home Provider

   • Require the household member to move out of the facility and provide acceptable proof of the move and new address to the department.

   According to district procedures, the Department will obtain the fingerprint fee from the local home recruitment agency. If DPS rejects the fingerprints, there is no additional charge for submitting the second set of prints. However, if DPS rejects the second set of prints, the FBI will not conduct a third search without an additional search fee. Therefore, if the quality of the prints forces rejection on two consecutive sets of fingerprints, consult with the Certification Supervisor or designee on how to proceed.

   Note: The Arizona Department of Public Safety (DPS) will conduct a local (statewide) search; DPS then forwards the fingerprint cards to the FBI, which will conduct a national search. The FBI reports back to DPS, which forwards the results to the department when denying the individual a Clearance Card. The DPS will not notify the department if the individual is issued a Clearance Card. The results of the fingerprint application may take up to 90 days. The department may make referrals to providers during this period.

   The provider or individual will be notified by DPS when deciding whether to issue or deny a fingerprint clearance card. The provider or individual must notify the Specialist when DPS has made that decision. Four months after mailing the fingerprint packet to DPS, if the Specialist has not received notification of DPS decision from the provider or from the individual fingerprinted, the individual designated by the Certification Supervisor or designee to track prints submitted to DPS will contact the DPS Applicant Clearance Card Team for a status report at (602) 223-2279.

   When DPS confirms that the Criminal History check is complete and a Fingerprint Clearance card was issued, the Department will mail a ten-day notice to the provider requesting the information. When the provider fails to bring in the requested documentation by the established due date, the Specialist will notify the Certification Supervisor or designee to initiate the application denial or revocation procedures. When the fingerprint search results, either local or national, reveal that an individual has been convicted of committing one of the prohibited offenses, the department shall initiate application denial or revocation procedures. Depending on who has been denied a fingerprint clearance card, the following choices must be given to the provider:

   • Pursue becoming a Certified In-Home Provider

   • Require the household member to move out of the facility and provide acceptable proof of the move and new address to the department.

Legal Authority: AAC R6-5-5202, ARS § 41-1964, ARS § 41-1758.07 Sec B and C, ARS § 41-1758.03 Sec B and C, ARS § 41-1758.03(D), AAC R6-5-5227,