Source: http://register.dls.virginia.gov/details.aspx?id=3173
Timestamp: 2019-05-22 09:39:32
Document Index: 773834300

Matched Legal Cases: ['§ 66', '§ 16', '§ 16', '§ 16', '§ 66', '§ 66', '§ 66', '§ 66', '§ 66', '§ 16', '§ 16', '§ 16', '§ 16', '§ 16', '§ 16', '§ 66', '§ 66', '§ 66', '§ 2', '§ 16', '§ 16']

Vol. 29 Iss. 3 (Proposed Regulation) 6VAC35-20, Regulations Governing The Monitoring, Approval, And Certification Of Juvenile Justice Programs October 08, 2012
Title of Regulation: 6VAC35-20. Regulations Governing the Monitoring, Approval, and Certification of Juvenile Justice Programs (amending 6VAC35-20-10, 6VAC35-20-30, 6VAC35-20-35, 6VAC35-20-37, 6VAC35-20-50, 6VAC35-20-60, 6VAC35-20-69, 6VAC35-20-75, 6VAC35-20-80, 6VAC35-20-90, 6VAC35-20-92, 6VAC35-20-93, 6VAC35-20-94, 6VAC35-20-100, 6VAC35-20-110, 6VAC35-20-120, 6VAC35-20-150; adding 6VAC35-20-36, 6VAC35-20-36.1, 6VAC35-20-61, 6VAC35-20-85, 6VAC35-20-91, 6VAC35-20-115, 6VAC35-20-200, 6VAC35-20-210, 6VAC35-20-220, 6VAC35-20-230, 6VAC35-20-240; repealing 6VAC35-20-63, 6VAC35-20-65, 6VAC35-20-67).
Basis: The board is entrusted with general authority to promulgate regulations by § 66-10 of the Code of Virginia, which states the board may "promulgate such regulations as may be necessary to carry out the provisions of this title and other laws of the Commonwealth administered by the Director or the Department" and "develop and establish programmatic and fiscal policies governing the operation of programs and facilities for which the Department is responsible under this law."
The board also establishes the substantive standards for juvenile court services unit (CSUs) (§§ 16.1-233, 16.1-234, 16.1-235, and 16.1-309.9 of the Code of Virginia), juvenile secure detention centers (§§ 16.1-249, 16.1-284.1, 16.1-291, 16.1-322.7, 16.1-309.9, and 16.1-309.10 of the Code of Virginia), juvenile group homes funded through Virginia Juvenile Community Crime Control Act (VJCCCA) (§§ 16.1-309.9 and 16.1-309.10 of the Code of Virginia), juvenile halfway houses (§ 66-24 of the Code of Virginia), and juvenile correctional center (JCCs), including juvenile books camps (§ 66-13 of the Code of Virginia) and privately managed JCCs (§ 66-25.3 of the Code of Virginia).
The department is vested with the duty to ensure compliance with standards set by the board. Section 16.1-249 of the Code of Virginia requires juvenile secure detention centers, group homes, and any other residential placement wherein any alleged delinquent juveniles are placed pursuant to an order by the court to be "approved by" the department. Additionally, post-dispositional detention centers in juvenile secure detention centers must be certified pursuant to § 66-25.4 of the Code of Virginia and residential facilities utilized for the care of juveniles in direct state care must be certified pursuant to § 66-24 of the Code of Virginia. Moreover, § 16.1-309.9 of the Code of Virginia authorizes the board to "prohibit, by its order, the placement of juveniles in any place of residence which does not comply with the minimum standards. It may limit the number of juveniles to be detained or housed in a detention home or other facility and may designate some other place of detention or housing for juveniles who would otherwise be held therein."
Additionally, the following sections of the Code of Virginia require the board to promulgate regulations for specific juvenile justice programs:
§ 16.1-233 requires the board to regulate CSU staff, including their appointment and function, with the goal of establishing, as much as practicable, uniform services for juvenile and domestic relations courts throughout the Commonwealth.
§ 16.1-234 requires the director to ensure that the minimum standards established by the board for CSUs are adhered to by state-operated CSUs.
§ 16.1-309.9 requires the board to regulate the "development, implementation, operation, and evaluation of the range of community-based programs, services, and facilities authorized" by VJCCCA. This section also requires the department to "periodically review all services established and annually review expenditures."
§ 16.1-309.10 authorizes the board to visit, inspect, and regulate detention centers, group homes, and other residential care facilities "for children in need of services or delinquent, or alleged delinquent established by a county, city, or any combination thereof."
§ 16.1-322.7 requires the board to "make, adopt and promulgate regulation" governing the operation of local or regional detention centers. This section also requires a regulation to cover the "methods of monitoring contractor-operated" facilities "by an appropriate state or local governmental entity or entities."
§ 66-13 allows the department "to establish, staff and maintain facilities for the rehabilitation, training and confinement" of juveniles committed to the department. This section also requires the board to set standards for boot camps.
§ 66-24 establishes the board as the licensing agency for "group homes or residential facilities providing care of juveniles in direct state care" and requires the board to "promulgate regulations for licensure or certification of community group homes or other residential care facilities that contract with or are rented for the care of juveniles in direct state care."
§ 66-25.4 authorizes the board to promulgate regulations governing privately operated JCCs.
Several of the aforementioned sections require the board to promulgate specific regulations; however, none specifically require the board to issue regulations governing the regulatory process generally. Thus, the enactment of the Certification Regulation is permissive. Nevertheless, the board and the department have followed a Certification Regulation since 1992 (before the department separated from the Department of Corrections). While there is no specific requirement for a Certification Regulation, the board and the department have continued this regulatory chapter as it is important to have clear, concise, and consistent rules, rights, and responsibilities for the involved parties throughout the Commonwealth, particularly in light of the fact that over 20 juvenile group homes, 24 juvenile secure detention centers, and three CSUs are locally or commission-operated.
Purpose: The Regulations Governing the Monitoring, Approval, and Certification of Juvenile Justice Programs (the "Certification Regulation") sets forth the process by which the department and the board monitor compliance with the regulatory provisions applicable to residential facilities (local and state-operated), CSUs, and nonresidential programs and services in Virginia's juvenile justice system. It establishes (i) how the board will measure compliance with its regulations; (ii) thresholds for various regulatory actions available to the board; and (iii) minimum requirements for the department, as the board's regulatory agent, to monitor programs and report its findings. The regulation also provides for scheduled audits and unscheduled visits to ensure compliance with applicable regulations; an administrative review of audits; an appeals process in cases of disagreement with audit findings; and the issuance of variances under certain conditions.
Per the requirements in §§ 2.2-4017 and 2-2-4007.1 of the Code of Virginia and Executive Order 36 (2006), the department is required to conduct a "periodic review." The purpose of this review is to determine (1) whether the regulation is supported by statutory authority (as determined by the Office of the Attorney General) and (2) that the regulation is (a) necessary for the protection of public health, safety, and welfare; and (b) clearly written and easily understandable. This review must be completed every four years. The last comprehensive review of the Certification Regulation was completed in September 2003. Thus, the regulation must be reviewed in order to maintain compliance with the applicable statutes and Executive Order.
Additionally, the board is currently revamping its regulatory scheme relating to the requirements for residential programs regulated by the board (JCCs, juvenile secure detention centers, and juvenile group homes and halfway houses). The primary intent of this residential regulatory overhaul is to reduce confusion in applying the regulatory requirements in each type of facility. The existing regulatory provisions have been examined to determine whether each was (i) appropriate for the type of facility; (ii) clear in its intent and effect; and (iii) necessary for the proper management of the facility. Amendments were recommended to accommodate the type of facility's specific needs and to enhance program and service requirements to best provide for the residents. These regulations (6VAC35-71 for JCCs; 6VAC35-101 for juvenile secure detention centers; and 6VAC35-41 for juvenile group homes and halfway houses) are currently undergoing the Executive Branch review at the final stage of the regulatory process.
One of the changes approved by the board in the residential regulatory overhaul was to draft each regulation (one for each "type" of facility regulated) with the requirements for each facility, facility administrator, provider, or governing authority. In so doing, any responsibilities of the department, the regulatory authority, or the board currently included in the existing regulatory scheme (the Standards for Juvenile Residential Facilities (6VAC35-140) and the Standards for the Interim Regulation of Children's Residential Facilities (6VAC35-51)) are proposed to be removed (i.e., issuance of licenses/certification and sanction). It was determined that any appropriate provisions relating to the certification and licensure process should be contained in the Certification Regulation as it governs the process of regulating and certifying these facilities. Thus, the Certification Regulation must be amended to incorporate the necessary provisions currently provided for in other regulations. Since the Certification Regulation is (i) scheduled for its required periodic review and (ii) should be amended to incorporate those provisions deleted from the residential regulations applicable to the department and the board, the regulation will undergo a comprehensive review of each provision for appropriateness, effectiveness, clarity in intent, and effect, and will be modified to provide for all regulatory duties and responsibilities of the department and the board in the residential and nonresidential certification processes.
Finally, under the current regulation, the department conducts monitoring visits and audits of programs and facilities regulated by the board and the board makes the determination of whether a program or facility should be certified and, if so, the duration of the certification. In the current Certification Regulation, 6VAC35-20-100 details the actions that may be taken by the board regarding a program's or facility's certification status. What action may be taken is dependent upon any findings of noncompliance determined during the audit completed by department personnel.
Since the last review of the regulation, the authority to approve and certify a facility was reexamined to determine whether the certification function was administrative in nature and should be managed and whether certificates should be issued by the department rather than the board. The following sections of the Code of Virginia were examined: §§ 16.1-234, 16.1-235, 16.1-249, 16.1-278.4, 16.1-278.8, 16.1-284.1, 16.1-291, 16.1-309.9, 16.1-309.10, 66-10, 66-13, 66-24, and 66-25.1:3. After consultation with the Office of the Attorney General and Secretary of Public Safety, it was determined that (i) there is no general certification requirement (however, certification is required by the Department of Social Services and the Comprehensive Services Act for placement of juveniles in group homes and other certifications are required as stated in the "legal basis" section); (ii) the board establishes the substantive standards on which the programs and facilities are audited; (iii) the department ensures that the programs and facilities meet the board’s standards; and (iv) the board monitors the activities and effectiveness of the department and may prohibit placement or limit the number of juveniles placed in a facility that does not comply with its standards. The proposed language reflects this interpretation of the certification authority of the department, with oversight by the board.
Having programs and facilities in compliance with their regulatory requirements is essential to the health, safety, and welfare of juveniles served by or placed in the programs or facilities and staff employed therein. The Certification Regulation and proposed changes strengthen the process for monitoring, approving, and certifying programs and facilities in the juvenile justice system. The proposed changes establish clear, concise, and consistent rules, rights, and responsibilities for the involved parties throughout the Commonwealth, particularly in light of the fact that over 20 juvenile group homes, 24 juvenile secure detention centers, and three CSUs are locally or commission-operated. Having such a regulation is essential to protect the safety of juveniles participating in programs, and receiving services from and residing in juvenile residential facilities or nonresidential juvenile justice programs.
There are no known environmental benefits.
Substance: The following changes have been proposed for the Regulation Governing the Monitoring, Approval, and Certification of Juvenile Justice Programs (the "Certification Regulation"):
1. 6VAC35-20-10 (Definitions): Update the definitions and terms for clarity and consistency with other regulations promulgated by the board and current standards of practice. Delete several definitions considered unnecessary in the regulation or not needing to be defined due to the common usage of the term. Add other definitions for clarity and consistency in usage throughout the regulation. Amend other definitions to conform:
a. Delete the following definitions: (i) Administrative probation; (ii) Administrative review; (iii) Certified; (iv) Mandatory standards; (v) Plan of action; (vi) Random sampling; (vii) Substantial compliance; (viii) Systemic deficiency; and (ix) Unresolved life, health, or safety violation.
b. Add the following definitions: (i) Audit team leader, (ii) Certification audit, (iii) Compliance documentation, (iv) Conditional certification, (v) Corrective action plan, (vi) Critical regulatory requirements, (vii) Juvenile residential facility or facility, (viii) Monitoring review, (ix) Office on Youth, (x) Regulatory requirement, (xi) Summary suspension order, (xii) VJCCCA program, (xiii) VJCCCA program or office on youth audit, (xiv) VJCCCA program or office on youth audit report, and (xv) Written.
2. 6VAC35-20-30 (Purpose):
a. Amend to include all Code of Virginia citations providing for the monitoring, approval, and certification of programs and facilities.
b. Clearly distinguish between the certification of CSUs and facilities and monitoring of VJCCCA programs and offices on youth.
c. State the Board's role in reviewing certification audit reports when a CSU or facility is in noncompliance with a regulatory requirement.
3. 6VAC35-20-35 (Guidance documents):
Incorporate technical changes to conform with other changes in the regulation.
4. 6VAC35-20-36 (Program or facility relationship to regulatory authority):
Incorporate the basic components of 6VAC35-51-230 (Relationship to regulatory authority) in the board's Regulation Governing Residential Programs as they are recommended for deletion in the pending overhaul of the residential regulations.
5. 6VAC35-20-36.1 (Department response to reports of health, welfare, or safety violations):
Insert the current provisions, with technical amendments, of 6VAC35-20-65. This is recommended because placement in this section is chronologically logical.
6. 6VAC35-20-37 (Director's authority to take immediate administrative action):
a. Make technical changes.
b. Add the ability for notifications to be by mail, electronic mail, or hand delivery.
7. 6VAC35-20-50 (Preaudit process for certification audits):
a. Rework the provision regarding notice to the CSU or facility administrator to reflect current practice.
b. Delete the provision relating to an administrative review audit as these audits are never performed.
8. 6VAC35-20-60 (Monitoring of programs and facilities):
a. Reduce the number of required on-site monitoring visits from two (one announced, one unannounced) to one scheduled per year.
b. Allow additional monitoring visits to be conducted at the request of the board, the department, or a program or facility administrator.
9. 6VAC35-20-61 (Self-audit of programs and facilities subject to the certification audit):
Add a requirement for CSUs and facilities to complete self-audits each year, except in the year subject to a certification audit.
10. 6VAC35-20-63 (Reports of monitoring visits):
Delete this section. The department must report to the board any health, welfare, and safety violation (per 6VAC35-20-36.1).
11. 6VAC35-20-65 (Reports required of life, health, and safety violations):
a. Move subsection A to 6VAC35-20-36.1.
b. Delete subsection B. The board's ability to decertify is provided for in 6VAC35-20-115.
12. 6VAC35-20-67 (Disputes of noncompliance findings):
Move section to 6VAC35-20-90 C.
13. 6VAC35-20-69 (Newly opened facilities and new construction, expansion, or renovation of
residential facilities):
a. Add a requirement for the potential facility administrator to request a review for conditional certification.
b. Cross-reference the applicable substantive regulations for facilities and the certification actions in 6VAC35-20-100.
14. 6VAC35-20-75 (Certification of individual programs or facilities):
a. Designate the director or designee as the individual responsible for issuing certificates.
b. Move provisions relating to post-certification action to and insert certificate action provisions currently provided for in 6VAC35-20-100.
15. 6VAC35-20-80 (Certification audit procedures):
a. Clarify the burden of proof requirements.
b. Incorporate the requirement for the certification audit to include a personal visit to the program or facility.
16. 6VAC35-20-85 (Determining compliance with individual regulatory requirements):
a. Create a new section specifically addressing the determination of compliance with individual regulatory requirements.
b. Incorporate the standards for compliance currently utilized by the Department of Corrections.
17. 6VAC35-20-90 (Certification audit findings):
a. Move requirements relating to certification audit reports and corrective action plans (in subsection C) to 6VAC35-20-91.
b. Require notice of the findings to the program administrator, the program's or facility's supervisory or governing authority, and the director or designee.
c. Incorporate the post-audit actions currently provided in 6VAC35-20-67 and 6VAC35-20-75.
18. 6VAC35-20-91 (Corrective action plans and certification audit reports):
a. Create a separate section containing all provisions relating to corrective action plans and certification audit reports.
b. Add components currently provided for in department procedures relating to timelines and required report components.
19. 6VAC35-20-92 (Variance request):
Include a requirement that any variance requested as a result of a finding of noncompliance in an audit must be submitted with the corrective action plan to be implemented if the variance is denied.
20. 6VAC35-20-93 (Waivers):
Clearly delineate circumstances when a waiver may be granted.
21. 6VAC35-20-94 (Appeal process):
a. Amend the time frames for submission and response.
b. Add components currently provided for in department procedures.
c. Include a requirement that any appeal of a finding of noncompliance does not negate the requirement to submit a corrective action plan.
22. 6VAC35-20-100 (Certification action):
a. Require the department to notify the program or facility administrator of the audit team's recommended certification action and the time, date, and location when certification action will be taken.
b. State that the facility administrator has the right to attend the director's or designee's review of the certification audit report and determination of certification action.
c. Set specific criteria and parameters regarding issuance of certificates depending on level, duration, and frequency of noncompliance.
23. 6VAC35-20-110 (Notice of certification action):
a. Delete the requirement for facilities to post the certificate. This is recommended for incorporation in the pending residential regulation overhaul.
b. Move the requirement to provide variance documentation to 6VAC35-20-80.
24. 6VAC35-20-115 (Board review of programs and facilities found in noncompliance):
Create a new section providing for the board's authority to review audit reports and to take appropriate action when a program or facility is found to be in noncompliance with a regulatory requirement.
25. 6VAC35-20-120 (Actions following decertification or denial of certification):
Clarify actions to be taken after a program or facility is decertified or denied certification; specifically, the provisions relating to department-operated and local, regional, and privately operated facilities.
26. 6VAC35-20-150 (Critical regulatory requirements for juvenile residential facilities):
Delete reference to outdated "mandatory requirements" and require the board to separately define critical regulatory requirements.
27. 6VAC35-20-200 (Monitoring of VJCCCA programs or offices on youth):
Require the department to set a schedule for monitoring VJCCCA programs and offices on youth.
28. 6VAC35-20-210 (VJCCCA programs and offices on youth self-evaluations):
Require VJCCCA programs and offices on youth to complete self-assessments.
29. 6VAC35-20-220 (VJCCCA program and office on youth audits):
Set criteria for VJCCCA program and office on youth audits.
30. 6VAC35-20-230 (VJCCCA program and office on youth audit findings):
a. Require the department to provide audit findings to the program contact with a copy to the program's supervisory authority.
b. Allow for program appeals of a finding of noncompliance.
c. Require the department to monitor the progress of any program found in noncompliance.
31. 6VAC35-20-240 (Effect of VJCCCA program or office on youth noncompliance):
State the specific effects of a finding of noncompliance.
Issues: Having programs and facilities in compliance with their regulatory requirements is essential to the health, safety, and welfare of juveniles served by or placed in the programs or facilities and staff employed therein. The Certification Regulation and proposed changes strengthen the process for monitoring, approving, and certifying programs and facilities in the juvenile justice system. The proposed changes establish clear, concise, and consistent rules, rights, and responsibilities for the involved parties throughout the Commonwealth, particularly in light of the fact that over 20 juvenile group homes, 24 juvenile secure detention centers, and three CSUs are locally or commission-operated. Having such a regulation is essential to protect the safety of juveniles participating in programs, and receiving services from and residing in juvenile residential facilities or nonresidential juvenile justice programs.
The proposed amendments have been vetted through an advisory committee consisting of individuals who would be affected by the changes. The proposed amendments would streamline the reporting requirements and would not affect the quality of services provided. The proposed amendments do not pose any disadvantages to the public or the Commonwealth.
Summary of the Proposed Amendments to Regulation. The Board of Juvenile Justice (the Board) proposes to 1) transfer the certification authority from the Board to the Director of the Department of Juvenile Justice, 2) replace the unannounced monitoring visits with self audits for Court Service Units (CSUs) and facilities, 3) require Virginia Juvenile Community Crime Control Act (VJCCCA) programs and offices on youth to complete self-assessments, 4) reduce the time frame to resolve a certification appeal from 15 days to 10 days, 5) require the notice of the audit findings be sent to additional authorities, 6) remove the list of critical requirements for juvenile residential facilities from the regulations, and 7) clarify and reorganize numerous existing requirements.
Estimated Economic Impact. These regulations establish the process by which the Department of Juvenile Justice (the Department) and the Board monitor compliance with the regulatory provisions applicable to residential facilities, Court Service Units (CSUs), and nonresidential programs and services in Virginia's juvenile justice system.
One of the proposed changes will move the certification authority from the Board to the Department. According to the Department, in consultation with the Office of the Attorney General and Secretary of Public Safety, a reexamination of the legal authority to approve and certify a facility revealed that the certification authority lies with the Department, with oversight by the Board when there is finding of noncompliance. Thus, the proposed changes will make the Director or designee responsible for issuing certifications when certification criteria are met. However, when a program or facility is found in noncompliance with applicable regulatory requirements the Board’s oversight will be required in the certification process.
This change will transfer some of the authority from the Board to the Director. While there are no significant direct economic effects expected from this particular change, this change is procedurally significant. Also, the Department notes that the Board may not have the subject matter expertise as the Director would have. Moreover, certification decisions may be made faster by the Director than by the Board since the Board meets a few times over a year while the Director or his designee would be available throughout the year. Finally, it could be argued that by approving these proposed changes, the Board reveals its willingness to transfer this authority to the Director.
Another proposed change will reduce the number of required onsite monitoring visits from two (one announced, one unannounced) to one scheduled per year for CSUs and facilities, except in the year subject to certification audit. However, the proposed changes also add that CSUs and facilities perform self audits. Thus, the proposed changes essentially replace the unannounced monitoring visits with the self audits. According to the Department, this change will replace approximately 35-40 unannounced monitoring visits with self audits. However, the Department indicates that many facilities have already been voluntarily conducting self audits. Thus, only a few facilities are expected to incur additional compliance costs as a result of this change. Also, the Department believes that cost of unannounced monitoring visits and self audits are comparable for the facilities. However, a reduction in administrative costs of the Department is expected as self audits cost the Department less than the unannounced on-site monitoring visits.
The proposed changes will also require VJCCCA programs and Offices on Youth to complete self-assessments. Currently, there are no required unannounced monitoring visits for these programs, but there are certain reporting requirements in the Virginia Juvenile Community Crime Control Act manual. According to the Department, the intent of the self audit is to capture the intent of the manual requirements. Thus, the Department does not expect additional compliance costs on these programs and localities in approximately 77 jurisdictions.
Another proposed change will reduce the time frame to resolve a certification appeal from 15 days to 10 days. This change may add to the administrative costs of the Department due to shortened time frame to make appeal decisions, but it is expected to help resolve a deficiency quicker. Under the regulations, facilities do not have to take the corrective action plans while the appeal is under review.
The proposed changes will also require the notice of the audit findings be sent to the program's or facility's supervisory or governing authority and the Director or designee in addition to the program administrator. While there may be small administrative costs associated with issuing additional notices, the Department expects that the dissemination of notices to additional authorities would help in addressing the deficiencies quicker.
Finally, the proposed changes will remove the list of critical requirements for juvenile residential facilities from the regulations and establish that "the board shall designate which regulatory requirements will be classified as critical regulatory requirements." According to the Department, the current list is outdated and the Board needs flexibility since changes to this list may occur frequently. Critical requirement designation is significant because 100 percent compliance is required with the critical requirements for certification. With the proposed change, the Board will be able to change what is considered as a critical requirement and possibly change a facility’s certification status without going through the regulatory review process. Ultimate economic effects of this change will depend on what the Board designates as a critical requirement. Since there is no information on what changes the Board may make to the list in the future, this change creates uncertainty for the regulated programs and facilities.
All of the remaining changes are either clarification or reorganization of existing requirements and are not expected to create any significant economic effects other than improving the clarity of the regulations.
Businesses and Entities Affected. There are 24 locally or commission-operated juvenile secure detention centers, two halfway houses, 23 locally-operated group homes, 77 local jurisdictions for programs, six state Juvenile Correctional Centers, 32 state-operated CSUs, and three locally-operated CSUs.
Projected Impact on Employment. Replacing the unannounced monitoring visits with self audits for Court Service Units and facilities is expected to reduce the Department’s demand for labor.
Small Businesses: Costs and Other Effects. No direct significant costs and other effects on small businesses are expected.
Legal Mandate. The Department of Planning and Budget (DPB) has analyzed the economic impact of this proposed regulation in accordance with §°2.2-4007.04 of the Administrative Process Act and Executive Order Number 14 (10). Section 2.2-4007.04 requires that such economic impact analyses include, but need not be limited to, the projected number of businesses or other entities to whom the regulation would apply, the identity of any localities and types of businesses or other entities particularly affected, the projected number of persons and employment positions to be affected, the projected costs to affected businesses or entities to implement or comply with the regulation, and the impact on the use and value of private property. Further, if the proposed regulation has adverse effect on small businesses, §°2.2-4007.04 requires that such economic impact analyses include (i) an identification and estimate of the number of small businesses subject to the regulation; (ii) the projected reporting, recordkeeping, and other administrative costs required for small businesses to comply with the regulation, including the type of professional skills necessary for preparing required reports and other documents; (iii) a statement of the probable effect of the regulation on affected small businesses; and (iv) a description of any less intrusive or less costly alternative methods of achieving the purpose of the regulation. The analysis presented above represents DPB's best estimate of these economic impacts.
Agency's Response to Economic Impact Analysis: The responsible Virginia Board of Juvenile Justice agency representatives have reviewed the Department of Planning and Budget's (DPB) Economic Impact Analysis of 6VAC35-20 - Regulations Governing the Certification Process (Certification Regulation). Regarding DPB's assessment that removing the critical requirements from the Certification Regulation creates uncertainty for the regulated programs and facilities, the Department of Juvenile Justice (Department) disagrees.
Under the current regulatory scheme, there is confusion as to what should be designated critical regulatory requirements because they are listed in the Certification regulation and not in the substantive regulations (6VAC35-51 and 6VAC35-140). Thus, when the substantive regulations are amended simultaneous changes may not be made to the Certification Regulation's designations. Removing the designations of critical requirements from the Certification Requirements will reduce confusion for the regulated entities. Additionally, in consultation with the regulated entities, it was agreed that having the Board retain the ability to designate would be appropriate as the decisions would be made in open meetings, subject to notice and public comment.
The agency has no additional comment regarding DPB's analysis.
The proposed amendments include (i) separating the requirements for the certification of court service units and facilities and the auditing of VJCCCA programs and offices on youth; (ii) making the director or designee responsible for issuing certifications, with oversight by the board, when a program or facility is found in noncompliance with applicable regulatory requirements; (iii) reducing the number of required on-site monitoring visits from two (one announced, one unannounced) to one scheduled per year; (iv) adding a requirement for court service units and facilities to perform self audits; (v) clarifying pre-audit, audit, and post-audit procedures, including setting specific time frames; (vi) incorporating the requirements for corrective action plans and certification audit reports by including some requirements from the existing procedures and practices; (vii) setting specific criteria and parameters regarding issuance of certificates depending on level, duration, and frequency of noncompliance; (viii) adding a requirement for the program's or facility's supervisory or governing authority to be provided with notice of the certification action; (ix) incorporating the parameters for the board's review of programs and facilities found in noncompliance; (x) reworking the section regarding actions following decertification to track statutory authority; and (xi) removing the outdated list of "mandatory standards."
To help programs and facilities meet all regulatory and policy requirements, the department shall prepare guidance documents compiling all standards and policies regulatory requirements applicable to each type of program or facility subject to this chapter and stating how compliance will be assessed. The guidance documents will serve as the basis for monitoring visits, monitoring reviews, certification audits, and the board's certification action and VJCCCA program or offices on youth audits.
C. The program or facility administrator shall, as required in the applicable guidance documents as prescribed in 6VAC35-20-35, notify the director or designee of the following:
A. Whenever the department becomes aware of a health, welfare, or safety violation, the department shall take immediate action to correct the situation if not already done by the program or facility. The department's actions may include, but are not limited to, the following:
B. The department shall report to the board no later than its next regularly scheduled meeting (i) the nature and scope of the health, welfare, or safety violation and (ii) the action taken by the department or the program or facility to correct the violation.
1. Conditions A preliminary order of suspension may be issued when conditions or practices existing exist in the home or facility posing that pose an immediate and substantial threat to the health, welfare, or safety, and welfare of the residents include including, but not limited to, the following:
4. The director or his designee shall have the authority to sustain, amend, or reverse the preliminary summary suspension order. If sustained or amended, the order is considered final. The director or his designee shall notify the licensee or certificate holder in writing of the results of the appeal and of the right to appeal the final order to the appropriate circuit court within 10 days of the hearing decision. Notification of the results of the appeal before the director or his designee shall be mailed certified with return receipt to the licensee or certificate holder.
B. Up until At least 90 days before the scheduled audit, the program or facility administrator may request that the audit be rescheduled. Except as provided in 6VAC35-20-100, audits, even if rescheduled, must occur before the expiration of the current certification, unless specifically approved by the director.
D. At least 10 days prior to the scheduled audit, C. The audit team leader shall provide the program or facility administrator with a list of audit team members as soon as practicable, but no later than 10 days before the scheduled certification audit. Upon notification of the audit team members, the program or facility administrator may, for just cause, request that one or more members of the audit team be replaced. Every reasonable effort will be made to comply with the request. Any subsequent addition or substitution of the audit team members shall be communicated to the program or facility administrator as soon as practicable and may be made subject to the mutual agreement of the audit team leader and program or facility administrator.
A. All programs and facilities subject to certification audits shall, in accordance with department procedures, conduct, except in the year the program or facility is subject to a certification audit, an annual self-audit for compliance with applicable regulatory requirements.
B. The facility administrator and the department shall follow the requirements of this chapter and department procedures in reviewing a facility prior to admission of residents. New construction, expansions, and renovations in all juvenile residential programs facilities, whether or not the facility or its sponsor is seeking reimbursement for construction or operations, shall conform to applicable the governing provisions in of the board's Regulations for Local Juvenile Residential Facility Construction and Reimbursement of Local Construction Costs (6VAC35-30), and Standards for Interagency Regulation of Children's Residential Facilities (22VAC42-10). In addition, the department shall consider the facility's degree of compliance with the Guidelines for Minimum Standards in Design and Construction of Juvenile Facilities. following regulations and any applicable guidance documents related thereto:
A. The board director or designee shall individually certify all (i) juvenile residential facilities, and (ii) court service units and offices on youth that are currently receiving state funding.
A. The burden of providing proof of compliance with standards rests with the program staff. Documentation created once the audit has begun shall not be accepted. The program or facility shall demonstrate substantial compliance as required in this chapter and by any applicable guidance documents that require that the program or facility have no areas of noncompliance that pose an immediate and direct danger to residents.
4. Compliance documentation shall be collected through documentation, interview, and observation.
b. For noncritical regulatory requirements with multiple elements, the certification audit team will make a determination of compliance as indicated in the applicable compliance document that shall require (i) an acceptable percentage of compliance with the provision and (ii) an absence of any systemic noncompliance in any single element; or
c. For all noncritical regulatory requirements, demonstrate an acceptable percentage compliance as provided for in the applicable guidance document.
B. The determination of noncompliance shall be a decision made by the entire certification team in accordance with the applicable guidance document.
C. For purposes of calculating percentage of compliance, the determination of what constitutes individual regulatory requirements (i.e., section, subsection, subdivision, or element in a list in the regulatory chapter) will be specified in the applicable guidance document.
A. B. A written report of the team's findings from the certification audit shall be submitted to the program administrator, within 10 working business days following the compliance certification audit, to (i) the program or facility administrator, (ii) the supervisory or governing authority over the program or facility administrator, and (iii) to the director or designee. Any finding of noncompliance with a regulatory requirement shall be documented.
1. The corrective action plan shall be submitted to the department within 30 days of receipt of the written certification audit findings. For good cause, the department may grant a 30-day extension to a program or facility administrator for the development of the corrective action plan.
2. The department shall issue guidelines that provide for (i) the format, (ii) any content not currently required by this section, and (iii) the process for the department's review and approval of corrective action plans.
If there is a finding of noncompliance with a regulatory requirement, the report shall describe the noncompliance and incorporate the program's or facility's corrective action plan for each area of noncompliance. If a program or facility administrator fails to submit a corrective action plan within the time specified, the certification audit report, with audit team recommendations, shall be submitted to the director or designee for consideration.
A. Any request for a variance must be submitted in writing and. If the request is submitted subsequent to a finding of noncompliance in a certification audit, the request must be submitted within 10 days of receiving the written report of the findings from the certification audit. All requests shall include:
D. Requests for variances shall be placed on the agenda for consideration at the next regularly scheduled board meeting. The requested variance shall be accompanied by the department's recommendation to approve or disapprove the variance.
C. D. The director or designee shall promptly notify the board by first class mail of waivers granted, and the rationale for so doing granting.
6VAC35-20-94. Appeal process for a finding of noncompliance with an individual regulatory requirement.
A. A program or facility administrator may appeal a finding of noncompliance of an audit by submitting the appeal to the director or designee within 10 days of the written notification of the audit findings.
Department staff as designated in agency procedures B. The manager for the certification team or designee shall contact the program or facility administrator and make every effort to resolve the appeal with the program administrator within 15 10 days of receiving the appeal receipt of the appeal. If the program administrator is not satisfied, he may submit a written request to department staff as designated in department procedures within five days to have the matter reviewed by the Board of Juvenile Justice at its next scheduled meeting. The matter will be placed on the board's agenda pursuant to timeframes adopted by the board for submission of agenda items.
D. If the appealed finding of noncompliance remains unresolved after exhaustion of the informal review and appeal to the director designee, the program or facility administrator may appeal the director's or designee's decision to the board. Upon request, the department shall place the appealed finding of noncompliance on the board's agenda for consideration at its next regularly scheduled meeting.
E. If the appeal is granted, the finding of noncompliance shall be removed from the certification audit report.
A. The department shall notify the program or facility administrator of (i) the date, time, and location the director or designee will take certification action relating to the program's or facility's certification audit and (ii) any recommendation of the audit team regarding the program's or facility's certification status. The program or facility administrator shall have the right to appear in person or by counsel or other qualified representative when the director or designee considers the audit report and makes a certification decision.
2. Demonstrates at least 90% compliance with all noncritical regulatory requirements;
3. Has acceptable corrective action plans for all noncompliances; and
4. Has no unresolved health, welfare, or safety violations.
C. Upon review of the audit findings and any acceptable corrective action plans, the director or designee may take the following certification actions:
1. If the certification audit finds the program or facility in (i) 100% compliance with all regulatory requirements or (ii) less than 100% with a corrective action plan demonstrating the program or facility is in 100% compliance, the director or designee shall certify the facility for three years.
2. If the certification audit finds the program or facility in less than 100% compliance with all regulatory requirements and there (i) are no health, welfare, or safety violations and (ii) is an acceptable corrective action plan for any finding of deficiency, the director or designee shall certify the facility for a specific period of time, up to three years.
3. If the certification audit finds the program or facility in less than 100% compliance with all regulatory requirements and there is a health, welfare, or safety violation with an acceptable corrective action plan for any finding of deficiency, the director or designee shall continue the program's or facility's current certification for a specific period of time, with a status report to be provided within a specified period of time, not to exceed six months.
a. If the status report indicates no continued areas of noncompliance, the director or designee shall certify the facility for up to three years, subject to the provisions of subdivision C 7 of this section.
5. When a program or facility is placed on probationary certification status, (i) the director or designee shall, taking into account the program's or facility's history of compliance with regulatory requirements, specify the duration of the probationary certification status and (ii) the department and program or facility shall provide a status report to the board at all meetings for the duration of this status.
6. If the certification audit report indicates an immediate threat to the health, welfare, or safety to the residents of a facility, notwithstanding the foregoing provisions, the director or designee may decertify the program or facility as provided for in subsection E of this section and 6VAC35-20-120 or take any other action provided for by law.
7. If a program's or facility's certification status is continued after the initial period expires, the subsequent certification will be retroactive to the date of expiration, unless the director or designee specifically issues a certification with different terms.
D. The director or designee may, at any time, change a program's or facility's certification status upon notification of any noncompliance with any regulatory requirements.
E. Any program or facility, regardless of current certification status, may be decertified or denied certification when:
1. The program or facility has an unacceptable level of compliance as provided in the applicable guidance document with applicable regulatory requirements without acceptable corrective action plans to address deficiencies;
3. The program's or facility's staff have (i) committed, permitted, aided or abetted any illegal act in the program or facility; (ii) violated child abuse or neglect laws; (iii) deviated significantly from the program or services for which a certificate was issued without prior approval from the director or designee; (iv) failed to correct any such deviations within the time specified by the director or designee; or (v) falsified records; or
F. Once the director or designee takes certification action, the department shall issue a certificate or letter clearly identifying the program or facility, the certification status, and the period of time during which the certification will be effective unless the certificate is revoked or surrendered sooner. The program or facility administrator shall be informed, briefly and generally, of the factual or procedural basis when any program or facility is issued a probationary certification or is decertified.
A. When a program or facility operated by the department is decertified or denied certification, the program administrator will take whatever actions are necessary to qualify the program for at least a conditional certification within 90 days. If the program does not qualify for at least conditional certification within 90 days, the department may choose to close the program or facility or relocate the residents. The procedure for such action shall be in compliance with all board, department, state and federal regulations, policies, or requirements of law. If after 90 days the program has not met the requirements for at least conditional certification and the department has not closed the program, the board shall recommend to the Governor and the Secretary of Public Safety appropriate action to be taken under the circumstances.
1. A report shall be sent to the board within 90 days after the decertification or denial detailing the actions taken by the department to (i) bring the program or facility into compliance with all regulatory requirements and (ii) protect the health, welfare, or safety of the residents.
2. If after 90 days the program or facility has not met the requirements for at least conditional certification and the department has not closed the program or facility, the board shall recommend to the Governor and the Secretary of Public Safety appropriate action to be taken under the circumstances.
1. The sponsor may be required to reorganize the program structure or take necessary personnel action or any other steps as may be necessary to qualify the program or facility for at least a conditional certification within 90 days; and.
4. The department may not utilize facilities that are decertified or denied certification.
The board shall designate which regulatory requirements will be defined as critical regulatory requirements.
The department shall develop a schedule for monitoring all VJCCCA programs or offices on youth that shall provide for at least one scheduled on-site VJCCCA program or office on youth audit every two years. Whenever deemed necessary or appropriate, additional monitoring visits or reviews may be schdduled.
C. The department shall review each VJCCCA program's or office on youth's self-evaluation report and provide feedback to the VJCCCA program of office on youth.
A. If the department determines that a VJCCCA program or office on youth is not in substantial compliance, it may suspend all or any portion of the VJCCCA program's or office on youth's funding until there is compliance as provided in subsection C of § 16.1-309.9 of the Code of Virginia.
VA.R. Doc. No. R10-2208; Filed September 11, 2012, 12:04 p.m.