441—152.2(234) Conditions of participation.
	152.2(1) Provider licensure. A provider facility shall obtain licensure prior to accepting placements from the department.
	152.2(2) Provider staffing. At a minimum, all providers shall meet all licensure requirements for staff qualifications, training, and number of staff pursuant to 441—Chapter 105, Chapter 108, or Chapter 114.
	152.2(3) Provider charges. A provider shall not charge departmental clients more than it receives for the same foster care services provided to nondepartmental clients. The provider shall agree not to require any fee from departmental clients unless a fee is required by the department and is consistent with federal regulation and state policy.
	152.2(4) Maintenance of service records. A provider shall maintain complete and legible records as required in this subrule.
	a. 	For foster group care and shelter care, the provider shall establish and maintain confidential, individual service records for each client receiving foster care services. The service records must adequately support the provision of child welfare services and group care maintenance as defined in rule 441—156.1(234). The service record shall include, at a minimum, those items identified in rule 441—114.11(237) and 441—Chapter 105 and shall also include all of the following:
	(1)	Additional reports, if requested by the referral worker.
	(2)	Form 470-3055.
	(3)	Daily documentation of billed per diem services. The documentation shall include:
	1.	The child’s first and last name;
	2.	The month, day, and year service was provided;
	3.	The first and last names of the persons who provided the service;
	4.	A clear description of the specific service rendered, including interventions, actions, and activities performed which support the provision of child welfare services.
	(4)	Notes, which shall be entered no less than every seven calendar days, indicating the child’s general progress in regard to the child’s care plan.
	(5)	Any problem areas or unusual behavior for the child.
	b. 	For supervised apartment living, the provider shall establish and maintain confidential, individual service records for each client receiving supervised apartment living services. The service records must adequately support the provision of services consistent with rules 441—108.10(238) and 441—202.9(234).
	c. 	Failure to maintain records or failure to make records available to the department or to its authorized representatives upon request may result in a notice of violation and recoupment of payments pursuant to rules 441—152.3(234) and 441—152.4(234).
	152.2(5) Maintenance of financial and statistical records. The provider shall maintain sufficient financial and statistical records, including program and census data, to document the validity of the reports submitted to the department. The records shall be available for review at any time during normal business hours by department personnel, the department’s fiscal consultant, and state or federal audit personnel.
	a. 	At a minimum, financial and statistical records shall include all revenue and expenses supported by a provider’s general ledger and documentation on file in the provider’s office. These records include, but are not limited to:
	(1)	Payroll information.
	(2)	Capital asset schedules.
	(3)	All canceled checks, deposit slips, and invoices (paid and unpaid).
	(4)	Audit reports (if any).
	(5)	The board of directors’ minutes (if applicable).
	(6)	Loan agreements and other contracts.
	(7)	Reviewable, legible census reports and documentation of units of service provided to departmental clients that identify the individual client and are kept on a daily basis and summarized in a monthly report.
	(8)	For nondepartmental clients, sufficient documentation of utilization to establish a complete unit of service count.
	b. 	The provider shall maintain a list of all staff and supervisors providing foster care services and their qualifications for each program.
	c. 	Independent audits. When a provider has an audit conducted, a firm not related to the provider shall conduct the audit. The provider shall submit a copy of the independent audit report to the department within 30 days of receipt of the report. The bureau of service contract support shall maintain the report.
	152.2(6) Cost report. Providers shall complete Form 470-5421 as required by contract. The instructions for the cost report are found in Comm.	502.
	a. 	Due date. The cost report shall be submitted to the department no later than three months after the close of the provider’s established fiscal year. The provider may request a one-month extension from the bureau of service contract support.
	b. 	Opinion of accountant. The department may require that an opinion of a certified public accountant or public accountant accompany the report when adjustments made to prior reports indicate noncompliance with reporting instructions.
	c. 	County reimbursement for child welfare services shelter costs. If a shelter care provider’s actual and allowable costs as set forth in 441—Chapter 156 for a child’s shelter care placement exceed the amount the department is authorized to pay and the provider is reimbursed by the child’s county of legal settlement for the difference between actual and allowable costs and the amount reimbursed by the department, the amount paid by the county shall not be included by the department in its reimbursement rate determination, as long as the amount paid is not greater than the provider’s actual and allowable costs or the statewide average of actual and allowable costs as identified in annual appropriations, whichever is less.
[ARC 2885C, IAB 1/4/17, effective 3/1/17; ARC 6857C, IAB 2/8/23, effective 4/1/23]