DFCS Online Policies & Procedures

  DFCS Online Policies & Procedures

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Handbook 14: Resource Homes: Foster Care Licensing and Relative Finding
14-10 Civil Penalties
Resource Homes: Foster Care Licensing and Relative Finding
14-10  Civil Penalties
Reference Points
Overview
Basis for Civil Penalties
Who Must be Fingerprinted (Live Scan)
Who Is Exempt from Fingerprinting (Live Scan)
DFCS Policy
Penalty Amounts
Role of the Licensing Social Worker
Role of the Resource Home Unit Supervisor
Role of the Administrative Assistant
Civil Penalty Folder
SSA Fiscal Processing
Appealing a Penalty
Contacts


Reference Points
Effective Date: TBA
Last Updated: 1/10/09
 Legal Basis:
Popup Window CCLD Evaluator Manual - County Civil Penalties -Appendix I
Popup Window California Community Care Licensing Division (CCLD) Evaluator Manual - Enforcement Actions
Popup Window Health and Safety Code 1522(b) - Individuals Exempt and Not Exempt from Criminal Background Checks
 Non CWS/CMS Forms:
MS Word Notice of Operation in Violation of Law (LIC 195)
PDF Foster Family Home Application Instructions (LIC 283A)
PDF Foster Family Home Application (LIC 283)
PDF Facility Evaluation Report (LIC 809)
PDF Civil Penalty Assessment (Unlicensed Facility) (LIC 421A)
PDF Civil Penalty Assessment - Immediate (LIC 421B)
PDF Notice of Civil Penalties Due (LIC 422)
PDF Civil Penalty Ledger Payment, Reduction, Or Waiver Record (LIC422A)


Overview  

Current statutes and regulations under the California Code of Regulations (CCR) require the assessment of Civil Penalties in order to ensure that foster family home (FFH) licensees comply with certain licensing statutes and regulations.  The California Department of Social Services Community Care Licensing Division (CCLD) has promulgated a detailed County Civil Penalty Manual that provides guidelines for collecting, processing, and remitting civil penalty payments to the California Department of Social Services (CDSS).

In Santa Clara County, the Resource Home Unit social work supervisor serves as the Civil Penalties coordinator.

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Basis for a Civil Penalty  

As an agent for the State, the Santa Clara County Social Services Agency, Department of Family and Children's Services' (DFCS') Licensing Unit must assess and collect Civil Penalties when either of the following has been identified:

  1. There has been a failure on the part of the foster parent to advise the DFCS Licensing Unit that an individual having regular contact with children placed in the foster home has not obtained a criminal record clearance.
    • All individuals for whom a background check is required must have completed a criminal record check or a criminal record exemption. (Health & Safety Code § 1522[b])
  2.  
  3. A foster family home is operating without a valid or current license.
    • The individual as identified by the state as providing care and supervision to child in out-of-home care and is not license exempt by statute or regulation, and
    • The licensed operator has failed to cease operation or file an application within 15 days of issuance of a Notice of Operation in Violation of Law.
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Who Must be Fingerprinted (Live Scan)  

For foster family homes, the following individuals must submit to Live Scan fingerprinting:

  • Each licensee

  • Any person 18 years of age or older who:
    • Lives in the home or
    • Has significant contact with children placed in the home

  • Visitors to the home whose stay exceeds 30 days
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Who Is Exempt from Fingerprinting (Live Scan)  

Individuals exempt from having to submit to Live Scan fingerprinting are:

  • Adult friends and family of the caregiver who come into the home to visit for a length of time not to exceed 30 days, providing that they are not left alone with children placed in the home.
  • A foster child who is 18 years of age or older who is either a dependent of the juvenile court or who has signed a Voluntary Placement Agreement that is in effect.
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DFCS Policy  

A foster family home (FFH) is placed on an immediate hold when the Department of Family and Children's Services (DFCS) becomes aware that the foster home has not advised DFCS that an individual having regular contact with children placed in the foster home has not obtained a criminal record clearance or that a foster home is operating without a valid or current license. 

See OPP Chapter 14-4: Placing and Lifting Placement Holds on Foster Homes.

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Penalty Amounts  
  • Failure to Obtain Criminal Records Clearances

    This refers to a foster care licensee failing to obtain criminal record clearances or criminal record exemptions for:

    • Adults living in the home, and
    • Adults who have regular contact with the children placed in the licensee's home, and
    • Adults who are visiting the home and their visit exceeds 30 days.

    Immediate Civil Penalties result in the amount of $100/day per individual, up to five (5) days for the first violation, and up to 30 days for subsequent violations.

 


  • Unlicensed Facility Operations

This refers to an unlicensed home that has children placed in the home and that is not license exempt.

  • A Notice of Operation in Violation of Law (LIC 195) is issued to the foster home with a corrective plan instructing the foster home operator to submit a Foster Care Licensing Application to DFCS within 15 days of issuance of the Notice.
  • If an application is not submitted within 15 days, beginning on the 16th day, the home is fined $200/day until the application is submitted or until the operation ceases.

 

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Role of the Licensing Social Worker  

The Licensing social worker:

  • Identifies violations of state regulations relative to a home in which a dependent child is placed that is not licensed and where criminal clearances have not been completed on all individuals requiring such clearance.

  • Issues a citation to the offending party.

  • Prepares the necessary documentation for collecting the penalty.
    • Record the details of the violation on the Facility Evaluation Report (LIC 809).
    • Complete the Civil Penalty Assessment (LIC 421 A or B).
    • Provide copies of the LIC 809 and LIC 421 A or B to the:
      • Foster parent and
      • Civil Penalty coordinator.

  • Ensures that the identified problem is resolved in a timely manner.
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Role of the Resource Home Unit Supervisor  

The Home Resource Unit social work supervisor assumes the role of the Civil Penalty coordinator.  In this role, the supervisor:

  • Receives the forms and information concerning the citation and penalty.

  • Ensures the safety and well being of the child(ren) in the home.
  • Receives quarterly a copy of each Notice of Civil Penalties Due (LIC 422) ledger from SSA Accounts Payable.
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Role of the Administrative Assistant  

The Licensing Unit Administrative Assistant:

  • Receives the Civil Penalties (CP) Folder from the Licensing clerk.

  • Verifies that the address on the Civil Penalty Assessment ( LIC 421A or LIC 421B) and the Facility Evaluation Report (LIC 809) matches the official facility address
    • If the addresses are different, the Licensing social worker resolves the differences.

  • Completes the Notice of Civil Penalties Due (LIC 422) and writes the assigned Invoice Number on the form.

 

  • Mails to the foster home by certified mail:
    • The original LIC 422, which serves as the Initial Invoice.
    • The pre-addressed envelope for return of payment.

  • Completes the Civil Penalty Ledger (LIC 422A).


  • Forwards the LIC 422 and LIC422 A to SSA Accounts Payable.

  • Maintains the Civil Penalty Folder with the compilation of documentation relative to the civil penalty and the expected collection.
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Civil Penalty Folder  

The Civil Penalty coordinator maintains a Civil Penalty (CP) Folder and compilation of documentation relative to the penalty cited and expected collection.  Each CP Folder includes the following, as applicable:

  • Facility Evaluation Report (LIC 809)

  • Civil Penalty Assessment (Unlicensed Facility) (LIC 421A) or (Immediate) (LIC421B).

  • Penalty Review (LIC 178)
    • This form is used when the supervisor amends a penalty.

  • Notice of Civil Penalties Due (LIC 422)
    • This form is completed from information on LIC 421 A or B)

  • Civil Penalty Ledger Payment, Reduction, or Waiver Record (LIC 422A)

  • All other forms, contact sheets, or correspondence related to the CP
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SSA Fiscal Processing  

The Social Services Agency Accounts Payable Department:

  • Sets up an account after receiving the Civil Penalty Assessment (LIC 421 A or B) and the Notice of Civil Penalties Due (LIC 422) from the administrative assistant.
  • Receives payment from the foster home.
  • Deposits payments into a specially coded fund.
  • Forwards information regarding payments received to the administrative assistant.
  • Forwards payments and LIC 422 ledgers to the California Department of Social Services (CDSS) within ten days after the end of each quarter to:

    California Department of Social Services

Central Office Cashiering

744 P Street, M.S. 3-67

Sacramento, CA  95814

    • CDSS requires that the collected fees be remitted with a cover memo with the following information:
      • Purpose:  Civil Penalty Assessment
      • Type of Facility:  Unlicensed Home or Foster Family Home
      • County of Origin and Penalty Collection Account (PCA)
      • Number - Santa Clara County 84733
      • The amount of fees collected
  • Provides quarterly a copy of each LIC 422 ledger to the Resource Home Unit supervisor.

 

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Appealing a Penalty  

When a civil penalty is assessed, the foster parent has the right to appeal the penalty assessment within 10 working days of the mailing of the penalty assessment.  The appeal review must be conducted by the Licensing social work supervisor.  The penalty may be waived or amended if the penalty assessment was not issued in accordance with the applicable licensing statutes and regulations.  The Resource Home Unit supervisor has the authority to amend or dismiss the penalty assessment. 

The filing of an appeal does not automatically provide the authority to amend or waive a civil penalty.  The authority to amend or reduce a civil penalty may only be reduced or dismissed if the civil penalty was not assessed in accordance with the governing statutes and/or regulations.

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Contacts  

Marie Robertson, Administrative Assistant for Civil Penalties

Placement Support Services

373 W. Julian, 5th floor

Tel: 975-5679

Marie.Robertson@ssa.sccgov.org

Kuei-Ting Huang, Civil Penalties Coordinator

Resource Home Unit Social Work Supervisor

Tel: 975-5386

Kueiting.Huang@ssa.sccgov.org

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