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AAC R9-3-301.A.4.b. A. A certificate holder shall: 4. Ensure that the provider: b. Maintains on the premises a file for each staff member, for 12 months after the date the staff member last worked at the child care group home, containing: i. The staff member’s name, date of birth, home address, and telephone number; ii. The staff member’s starting date of employment or volunteer service; iii. The staff member’s ending date of employment or volunteer service, if applicable; iv. The staff member’s written statement attesting to current immunity against measles, rubella, diphtheria, mumps, and pertussis; v. The form required in A.R.S. § 36-897.03(B); vi. For an adult staff member, a copy of the staff member’s valid fingerprint clearance card issued under A.R.S. Title 41, Chapter 12, Article 3.1; vii. Documents required by subsection (A)(3); viii.Documentation of the requirements in A.R.S. § 36-897.03(C); ix. If applicable: 1. The form required in A.R.S. § 8-804(I); 2. Documentation of the submission required in A.R.S. § 8-804(C) and the information received as a result of the submission; and 3. Documentation of the completion of the Department-provided orientation training specified in subsection (A)(1)(e), if applicable; x. Documentation of the training required in R9-3-302; and xi. Documentation of a high school diploma, high school equivalency diploma, associate degree, or bachelor degree, if applicable;

“Findings: Based on facility documentation and the Compliance Officer's observations, Staff #1's (DOH: 6/1/2020) file lacked 2 of 2 good-faith references and documentation of the 10-day new staff orientation. Staff #2's (DOH: 1/1/2025) file lacked 1 of 2 good-faith references and documentation of the 10-day new staff orientation.”

AAC R9-3-506.5. A certificate holder shall ensure that: 5. Each bathroom used by an enrolled child at the child care group home has the following within the reach of enrolled children: a. Mounted toilet tissue, b. Soap contained in a dispenser, and c. Singly dispensed paper towels;

“Findings: Based on the Compliance Officer's observations, the bathroom used by enrolled children lacked singly dispensed paper towels.”

AAC R9-3-504.D.1. D. If there are gas pipes that run from a gas meter to an appliance or location on the premises: 1. Before an applicant for a child care group home is issued a certificate by the Department, the applicant shall obtain a gas inspection report by a licensed plumber or individual authorized by the local jurisdiction that verifies there are no gas leaks in the gas pipes that run from the gas meter to any appliance or location on the premises; and

“Findings: Based on facility documentation and the Compliance Officers' observations, the provider lacked a current gas inspection. The last gas inspection was conducted on 12/16/2024, and a new gas inspection had not yet been scheduled.”

AAC R9-3-504.A.4. A. A certificate holder shall ensure that: 4. The child care group home’s residence has at least two portable fire extinguishers: a. One of which is labeled as rated at least 1A-10-BC by the Underwriters Laboratories is mounted on the kitchen wall and is easily accessible, and b. One of which is labeled as rated at least 2A-10-BC by the Underwriters Laboratories and is maintained in a location accessible to staff members in an area of the child care group home approved for providing child care services;

“Findings: Based on the Compliance Officer's observation, the fire extinguisher was mounted inside a kitchen cabinet rather than on the wall as required.”

AAC R9-3-401.A. In addition to complying with the requirements in this Chapter, a certificate holder shall ensure that the health, safety, or welfare of an enrolled child is not placed at risk of harm.

“Findings: Based on the Compliance Officer's observation, there were loose computer cords across the thresholds to the great room and to the outdoor area.”

AAC R9-3-505.D.9. D. A certificate holder shall ensure that: 9. An enrolled child does not have access to the following on the premises: a. Lawn mowers, ladders, toilet brushes, plungers, and other equipment that may be a hazard to a child; b. An air conditioner, evaporative cooler, heat pump, or furnace; c. A hot tub or spa; d. A pond or fountain; e. An irrigation ditch, abandoned mine, or well; or f. A trampoline.

“Findings: Based on the Compliance Officer's observation, there was a toilet brush on the floor behind the toilet, accessible to enrolled children. There was a charcoal grill in the grassy area of the outdoor area, accessible to enrolled children.”

AAC R9-3-305.A.1. A. A certificate holder shall ensure that: 1. An enrolled child is signed into and signed out from the child care group home by: a. The enrolled child’s parent; b. An individual authorized in writing or by telephone by the enrolled child’s parent; or c. The enrolled child, if the enrolled child is a school-age child and the enrolled child’s parent has given written permission for the enrolled child to self-admit or self-release;

“Findings: Based on CO's observations and a review of Provider documentation, 3 of 10 children's attendance records, Child #3, Child #4, and Child #5 lacked departure signatures on 12/23/2024.”

AAC R9-3-401.B.3.d. B. A certificate holder shall ensure that: 3. The toys, materials, and equipment for use by enrolled children: d. Are maintained free from hazards and in a condition that allows the toys, materials, and equipment to be used for their original purpose;

“Findings: Based on CO's observations, an orange and blue teeter-totter was cracked at the top back of a seat, exposing an open hole and sharp edges. The tunnel slide on the climber was repaired with duct tape along an upper seam, and the duct tape was no longer adhering to the surface and hanging, accessible to enrolled children.”

AAC R9-3-406.F. F. A certificate holder shall ensure that a staff member: 1. Prepares a weekly menu specifying the foods to be served at each meal and snack on each day, 2. Dates each menu, and 3. Writes food substitutions on a posted menu no later than the morning of the day of the meal or snack to which the substitution applies.

“Findings: Based on CO's observations and a review of Provider documentation, children were served a bagel, eggs, apples and milk for breakfast which didn't match the posted menu. The food substitutions were not noted on the posted menu.”

AAC R9-3-502.C.3. C. A certificate holder shall ensure that: 3. If a child can fall between 24 and 48 inches from a climbing structure, swing, or slide in an outdoor activity area to the ground below, the climbing structure, swing, or slide has covering the fall zone of the climbing structure, swing, or slide non-dormant, growing grass or the resilient material required in subsection (C)(2)(a)(i) or (ii).

“Findings: Based on CO's observations, the fall zones around the climber and swings lacked growing grass or the required 6 inches of resilient material.”

AAC R9-3-504.C.2. C. A certificate holder shall: 2. Ensure that each rechargeable fire extinguisher in the child care group home’s residence: a. Is serviced at least once every 12 months, and b. Has a tag attached to the fire extinguisher that specifies the date of the last servicing and the identification of the person who serviced the fire extinguisher.

“Findings: Based on CO's observations, the fire extinguisher in the hallway near the restroom lacked documentation of service in the last 12 months.”

AAC R9-3-507.A.3. A. A certificate holder shall ensure that a staff member changes diapers only on a nonabsorbent, sanitizable diaper changing surface that: 3. Provides access to running water that is not a kitchen sink and dispensed soap within 15 feet.

“Findings: Based on CO's observations and Provider interview, the mat used for diaper changing was in the room adjacent to the kitchen. Staff stated that children were changed in this room, and the nearest sink beside the kitchen sink was in the restroom, more than 15 feet from the room.”

AAC R9-3-301.A.4.d. A. A certificate holder shall: 4. Ensure that the provider: d. Prepares a dated attendance record for each day and ensures that each staff member records on the attendance record the staff member’s start time and end time of providing child care services for the child care group home;

“Findings: Based on CO’s observations and a review of Provider documentation, the group home lacked documentation of staff attendance. Staff #1 lacked documentation of dated arrivals and departures since June of 2024, and Staff #2 lacked documentation of any dated arrivals and departures.”

AAC R9-3-301.F.1. F. A certificate holder shall: 1. Prepare a document that includes the following information: a. The name and contact telephone number of the provider; b. The hours of operation of the child care group home; c. Charges, fees, and payment requirements for child care services; d. Whether medications are administered at the child care group home and, if so, a description of what the parent is required to give to the child care group home; e. Whether enrolled children go on field trips under the supervision of a staff member; f. Whether the child care group home provides transportation for enrolled children to or from school, a school bus stop, or other locations; g. The mechanism by which a staff member will verify that an individual contacting the child care group home by telephone claiming to be the parent of an enrolled child is the enrolled child’s parent; h. A statement that a parent has access to the areas on the premises where the parent’s enrolled child is receiving child care services; i. A statement that inspection reports for the child care group home are available for review at the child care group home; and j. The local address and contact telephone number for the Department; and

“Findings: Based on CO's observations and a review of Provider documentation, the Provider's parent handbook lacked the local address and contact telephone number for the Department.”

AAC R9-3-301.A.4.b. A. A certificate holder shall: 4. Ensure that the provider: b. Maintains on the premises a file for each staff member, for 12 months after the date the staff member last worked at the child care group home, containing: i. The staff member’s name, date of birth, home address, and telephone number; ii. The staff member’s starting date of employment or volunteer service; iii. The staff member’s ending date of employment or volunteer service, if applicable; iv. The staff member’s written statement attesting to current immunity against measles, rubella, diphtheria, mumps, and pertussis; v. The form required in A.R.S. § 36-897.03(B); vi. For an adult staff member, a copy of the staff member’s valid fingerprint clearance card issued under A.R.S. Title 41, Chapter 12, Article 3.1; vii. Documents required by subsection (A)(3); viii.Documentation of the requirements in A.R.S. § 36-897.03(C); ix. If applicable: 1. The form required in A.R.S. § 8-804(I); 2. Documentation of the submission required in A.R.S. § 8-804(C) and the information received as a result of the submission; and 3. Documentation of the completion of the Department-provided orientation training specified in subsection (A)(1)(e), if applicable; x. Documentation of the training required in R9-3-302; and xi. Documentation of a high school diploma, high school equivalency diploma, associate degree, or bachelor degree, if applicable;

“Findings: Based on Compliance Officer’s (CO) observations and a review of facility documentation, staff lacked the following documentation: **Staff #1 (DOE 01/26/2023) - Address; phone number; high school diploma or GED; criminal history affidavit; attestation of immunity; freedom from tuberculosis;10-day new staff training; 2 good faith efforts to contact previous employers; DCS affidavit **Staff #2 (DOE 12/18/2024) - Address; phone number; attestation of immunity; freedom from tuberculosis was dated 11/11/2022; 10-day new staff training; 2 good faith efforts to contact previous employers **Staff #3 (DOE unknown) - Address; phone number; date of employment; education; criminal history affidavit; attestation of immunity; freedom from tuberculosis; 10-day new staff training; 2 good faith efforts to contact previous employers; DCS affidavit **Staff #4 (DOE unknown) - Phone number; date of employment; education; attestation of immunity; 10-day new staff training; 2 good faith efforts to contact previous employers; DCS affidavit **Staff #5 (DOE 01/03/2025) - Address; phone number; education; criminal history affidavit; attestation of immunity; 10-day new staff training; 2 good faith efforts to contact previous employers; DCS affidavit REFERENCE: R9-5-203.G”

AAC R9-3-303.B. B. Except as required in A.R.S. § 36-309, before a child is enrolled at a child care group home, a certificate holder shall require the individual enrolling the child to complete a Department-provided Emergency, Information, and Immunization Record card containing: 1. The child’s name, home address, city, state, zip code, sex, and date of birth; 2. The date of the child’s enrollment; 3. The name, home address, city, state, zip code, and contact telephone number of each parent of the child; 4. The name and contact telephone number of at least two individuals authorized by the child’s parent to collect the child from the child care group home or to be contacted if the child’s parent cannot be contacted; 5. The name and contact telephone number of the child’s physician, physician assistant, or registered nurse practitioner; 6. Written authorization for emergency medical care of the child; 7. The name of the individual to be contacted in case of injury or sudden illness of the child; 8. A written description provided by a child’s parent of the nutritional and dietary needs of the child; 9. A written description provided by the child’s parent noting the child’s susceptibility to illness, physical conditions of which a staff member should be aware, and any individual requirements for health maintenance; and 10. The dated signature of the individual completing the Emergency, Information, and Immunization Record card.

“Findings: Based on CO's observations and a review of Provider documentation, 2 of 6 Emergency Information and Immunization Record cards lacked the following required information: **Child #1 - Date of enrollment; child's city, state, zip code; parent/guardian #2's name, street address, city, state, zip code, phone number; health care provider name, phone number **Child #2 - Parent/guardian #2's name, street address, city, state, zip code, phone number; health care provider name, phone number; 2nd emergency contact”

AAC R9-3-301.A.4.c. A. A certificate holder shall: 4. Ensure that the provider: c. Maintains on the premises a file for each resident, for 12 months after the date the resident last resided at the child care group home, containing: i. The resident’s name and date of birth; ii. The resident’s relationship to the provider; iii. The date the resident began residing at the child care group home; iv. The date the resident last resided at the child care group home, if applicable; v. A written statement by the resident or, if the resident is a minor, the provider attesting to the resident’s current immunity against measles, rubella, diphtheria, mumps, and pertussis; vi. If the resident is an adult, the form required in A.R.S. § 36-897.03(B); vii. If the resident is an adult, the documents required by R9-3-202(C)(2) or R9-3-202(D); and viii.If the resident is 12 years of age or older, the documents required by subsection (A)(3);

“Findings: Based on the COs' observations and a review of 3 staff files and 1 resident file, Resident #1 lacked the following required information: **Attestation to current immunity against measles, rubella, diphtheria, mumps, and pertussis”

AAC R9-3-402.A. A. A certificate holder shall ensure that: 1. Each enrolled child who naps or sleeps at the child care group home is furnished with a bed, cot, mat, or crib that accommodates the enrolled child’s height and weight; 2. The bed, cot, mat, or crib is not used by another individual while in use by the enrolled child; 3. The cot, mat, or bed’s mattress is covered with a clean sheet that is laundered when soiled, at least once every seven calendar days, and before use by a different enrolled child; 4. The crib mattress is covered with a clean fitted-sheet designed for the crib mattress size that is laundered when soiled, at least once every 24 hours, and before use by a different enrolled child; and 5. A clean blanket or sheet is provided to each enrolled child.

“Findings: Based on the COs' observations, enrolled children were sleeping on mats without sheets.”

AAC R9-3-403.A.1.c. A. A certificate holder shall ensure that: 1. A staff member: c. If providing a bottle or sippy cup to an enrolled infant or one- or two-year-old child before the enrolled infant or one- or two-year-old child naps or sleeps: i. Ensures that only water is in the bottle or sippy cup unless the written instructions required by subsection (A)(3)(b) state otherwise; ii. Removes the used bottle or sippy cup from the enrolled infant or one- or two-year-old child’s crib, bed, cot, or mat as soon as the enrolled infant or one- or two-year-old child finishes drinking or falls asleep; and iii. Cleans the used bottle or sippy cup before the bottle or sippy cup is reused;

“Findings: Based on the COs' observations, a bottle of milk was next to a sleeping child on the floor.”

AAC R9-3-507.B.1. B. A certificate holder shall ensure that: 1. A staff member: a. Cleans, sanitizes, and dries a diaper-changing surface using a single-use paper towel before and after each diaper change; b. Washes the staff member’s hands with soap and running water before and after each diaper change; c. Wears single-use non-porous gloves during each diaper change; d. Washes an enrolled child’s hands with soap and running water or with a washcloth or disposable wipe after the enrolled child’s diaper is changed and uses each washcloth or disposable wipe on only one child and only one time before it is laundered or discarded; and e. Documents the daily diaper changes for each enrolled child in a dated diaper-changing log after changing the enrolled child’s diaper;

“Findings: Based on the COs' observations, the Provider lacked a cleaner and sanitizer solution for the diaper changing surface.”

AAC R9-3-301.A.4.b. A. A certificate holder shall: 4. Ensure that the provider: b. Maintains on the premises a file for each staff member, for 12 months after the date the staff member last worked at the child care group home, containing: i. The staff member’s name, date of birth, home address, and telephone number; ii. The staff member’s starting date of employment or volunteer service; iii. The staff member’s ending date of employment or volunteer service, if applicable; iv. The staff member’s written statement attesting to current immunity against measles, rubella, diphtheria, mumps, and pertussis; v. The form required in A.R.S. § 36-897.03(B); vi. For an adult staff member, a copy of the staff member’s valid fingerprint clearance card issued under A.R.S. Title 41, Chapter 12, Article 3.1; vii. Documents required by subsection (A)(3); viii.Documentation of the requirements in A.R.S. § 36-897.03(C); ix. If applicable: 1. The form required in A.R.S. § 8-804(I); 2. Documentation of the submission required in A.R.S. § 8-804(C) and the information received as a result of the submission; and 3. Documentation of the completion of the Department-provided orientation training specified in subsection (A)(1)(e), if applicable; x. Documentation of the training required in R9-3-302; and xi. Documentation of a high school diploma, high school equivalency diploma, associate degree, or bachelor degree, if applicable;

“Findings: Based on Compliance Officers' (CO) observations and a review of 3 staff files and 1 resident file, Staff #1 lacked the following required information: **Attestation to current immunity against measles, rubella, diphtheria, mumps, and pertussis **2 good faith efforts to contact previous employers”

AAC R9-3-507.A.1. A. A certificate holder shall ensure that a staff member changes diapers only on a nonabsorbent, sanitizable diaper changing surface that: 1. Is kept clear of items not required for diaper changing;

“Findings: Based on the COs' observations, a cot with a sheet around it was used as a diaper changing surface and a mat used as a diaper changing surface had stitching along the seams making it non-sanitizable.”

AAC R9-3-502.C.2.a. C. A certificate holder shall ensure that: 2. If a child can fall more than 48 inches from a climbing structure, swing, or slide in an outdoor activity area to the ground below, the climbing structure, swing, or slide: a. Has one of the following covering the fall zone of the climbing structure, swing, or slide: i. At least 6 inches of fine loose sand, pea gravel, wood fiber product, or other resilient material; or ii. A shock-absorbing unitary surfacing material manufactured for such use in outdoor activity areas; and

“Findings: Based on the COs' observations, there were 0" of wood chips around the fall zones of the swing set and climbing structure in the outdoor area.”

AAC R9-3-301.G. G. A certificate holder shall ensure that a staff member posts in a place that can be conspicuously viewed by individuals entering or leaving the child care group home: 1. The child care group home certificate; 2. The name of the provider; 3. The name of the staff member designated to act on behalf of the certificate holder when the provider is not present at the child care group home; 4. The hours of operation for the child care group home; 5. The weekly activity schedule required in R9-3-401(B)(4)(b); 6. The amount of time in minutes enrolled children may watch television, videos, or DVDs at the child care group home; and 7. The weekly menu, required in R9-3-406(F), before the first meal or snack of the week.

“Findings: Based on the Compliance Officer's observation, the posted food menu lacked a date.”

AAC R9-3-303.B. B. Except as required in A.R.S. § 36-309, before a child is enrolled at a child care group home, a certificate holder shall require the individual enrolling the child to complete a Department-provided Emergency, Information, and Immunization Record card containing: 1. The child’s name, home address, city, state, zip code, sex, and date of birth; 2. The date of the child’s enrollment; 3. The name, home address, city, state, zip code, and contact telephone number of each parent of the child; 4. The name and contact telephone number of at least two individuals authorized by the child’s parent to collect the child from the child care group home or to be contacted if the child’s parent cannot be contacted; 5. The name and contact telephone number of the child’s physician, physician assistant, or registered nurse practitioner; 6. Written authorization for emergency medical care of the child; 7. The name of the individual to be contacted in case of injury or sudden illness of the child; 8. A written description provided by a child’s parent of the nutritional and dietary needs of the child; 9. A written description provided by the child’s parent noting the child’s susceptibility to illness, physical conditions of which a staff member should be aware, and any individual requirements for health maintenance; and 10. The dated signature of the individual completing the Emergency, Information, and Immunization Record card.

“Findings: Based on facility documentation and the Compliance Officer's observation, the licensee lacked a current Emergency, Information, and Immunization Record card for Child #1 and Child #2.”

AAC R9-3-304.A.1. A. A certificate holder shall not permit an enrolled child to receive child care services at a child care group home until the child care group home receives: 1. An immunization record for the enrolled child with the information required in 9 A.A.C. 6, Article 7, stating that the enrolled child has received all current, age-appropriate immunizations required under 9 A.A.C. 6, Article 7, that is: a. Provided by a physician, physician assistant, registered nurse practitioner, or another individual authorized by state law to administer immunizations; or b. Generated from the Arizona State Immunization Information System, which is the Department’s child immunization reporting system established in A.R.S. § 36-135; or

“Findings: Based on facility documentation and the Compliance Officer's observation, it was determined that Child #1 and Child #2 lacked a written immunization record or an exemption affidavit.”

AAC R9-3-305.A.2. A. A certificate holder shall ensure that: 2. The individual signing the enrolled child into or out from the child care group home: a. Records the time of the enrolled child’s arrival or departure, and b. Signs the attendance record with at least the first initial of the individual’s first name and the individual’s last name; and

“Findings: Based on facility documentation and the Compliance Officer's observation, it was determined that Child #2 was present during the inspection and lacked an arrival signature and time.”

AAC R9-3-401.B.2. B. A certificate holder shall ensure that: 2. The areas of the child care group home approved for providing child care services are maintained free from hazards;

“Findings: Based on the Compliance Officer's observation, in the Great Room, there were exposed electrical cords at the bottom of the Television stand and accessible to the enrolled children.”

AAC R9-3-504.C.2. C. A certificate holder shall: 2. Ensure that each rechargeable fire extinguisher in the child care group home’s residence: a. Is serviced at least once every 12 months, and b. Has a tag attached to the fire extinguisher that specifies the date of the last servicing and the identification of the person who serviced the fire extinguisher.

“Findings: Based on the Compliance Officer's observation, it was determined that the fire extinguishers in the home had not been serviced within the 12-month timeframe.”

AAC R9-3-505.D.9. D. A certificate holder shall ensure that: 9. An enrolled child does not have access to the following on the premises: a. Lawn mowers, ladders, toilet brushes, plungers, and other equipment that may be a hazard to a child; b. An air conditioner, evaporative cooler, heat pump, or furnace; c. A hot tub or spa; d. A pond or fountain; e. An irrigation ditch, abandoned mine, or well; or f. A trampoline.

“Findings: Based on the Compliance Officer's observation, the following items were observed: *In the bathroom, there was a plunger and a toilet scrub brush next to the toilet *In the outdoor activity area, there was a Little Tikes trampoline.”

AAC R9-3-408.A.2. A. A certificate holder shall only allow a staff member to take an enrolled child away from an area of the child care group home approved for providing child care services during hours of operation with written permission from the enrolled child’s parent as follows: 2. For a field trip, the written permission shall include: a. The enrolled child’s name; b. A description of the field trip; c. The name of the field trip destination, if applicable; d. The street address and, if available, the telephone number of the field trip destination, if applicable; e. Either: i. The date or dates of the field trip; or ii. The time period, not to exceed 12 months, during which the permission is given; f. The projected time of departure from the child care group home; g. The projected time of arrival back at the child care group home; and h. The dated signature of the enrolled child’s parent.

“Findings: Based on the Compliance Officer's observation and the Provider's statement, it was determined that travel permission slip forms were not used when they would take the children to the park.”