CHAPTER 3. REGULATION OF CHILD CARING INSTITUTIONS
IC 31-27-3
Chapter 3. Regulation of Child Caring Institutions
IC 31-27-3-1
License required for operation
Sec. 1. (a) A person may not operate a child caring institution
without a license issued under this article.
(b) The state or a political subdivision of the state may not operate
a child caring institution or receive children for placement in a child
caring institution without a license issued under this article.
(c) A person may not operate a child caring institution if:
(1) the number of children maintained on the premises at any
one (1) time is greater than the number authorized by the
license; or
(2) the children are maintained in a building or place not
designated by the license.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-2
Conditions for issuance of license
Sec. 2. (a) A license may be issued only if the child caring
institution is in substantial compliance with food, health, safety, and
sanitation standards under rules adopted by the department under
IC 31-27-2-4 or in accordance with a variance or waiver approved by
the department under IC 31-27-2-8.
(b) A license may be issued only if the child caring institution is
in compliance with the fire and life safety rules as determined by the
state fire marshal under rules adopted by the department under
IC 31-27-2-4 or in accordance with a variance or waiver approved by
the department under IC 31-27-2-8.
(c) The department may issue a waiver or variance regarding a
determination by the state fire marshal under subsection (b).
(d) Except as provided in subsection (e), the department may not
issue a license under this chapter unless the child caring institution
is staffed by, when children are being cared for, at least one (1) child
care provider who is annually certified in a program on pediatric
cardiopulmonary resuscitation and pediatric airway obstruction under
the American Heart Association's Basic Life Support Course D or
any other comparable course approved by the department.
(e) The requirement under subsection (d) does not apply to a child
caring institution that only serves children who are at least thirteen
(13) years of age and less than twenty-one (21) years of age.
However, a child caring institution that only serves children who are
at least thirteen (13) years of age and less than twenty-one (21) years
of age must have on duty, when children are being cared for, at least
one (1) child care provider who is annually certified in a program on
cardiopulmonary resuscitation as required by the department.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-3
Apply for licenses; criminal history checks
Sec. 3. (a) An applicant must apply for a child caring institution
license on forms provided by the department.
(b) An applicant must submit the required information as part of
the application.
(c) The applicant must submit with the application a statement
attesting the following:
(1) That the applicant has not been convicted of:
(A) a felony; or
(B) a misdemeanor relating to the health and safety of
children.
(2) That the applicant has not been charged with:
(A) a felony; or
(B) a misdemeanor relating to the health and safety of
children;
during the pendency of the application.
(d) The department, on behalf of an applicant, or, at the discretion
of the department, an applicant, shall conduct a criminal history
check of the following:
(1) Each individual who is an applicant.
(2) The director or manager of a facility where children will be
placed.
(3) An employee or a volunteer of the applicant who has or will
have direct contact on a regular and continuing basis with a
child who is or will be placed in a facility operated by the
applicant.
(e) If the applicant conducts a criminal history check under
subsection (d), the applicant shall:
(1) maintain records of the information it receives concerning
each individual who is the subject of a criminal history check;
and
(2) submit to the department a copy of the information it
receives concerning each person described in subsection (d)(1)
through (d)(3).
(f) If the department conducts a criminal history check on behalf
of an applicant under subsection (d), the department shall:
(1) determine whether the subject of a national fingerprint
based criminal history check has a record of a conviction for:
(A) a felony; or
(B) a misdemeanor relating to the health and safety of a
child;
(2) notify the applicant of the determination under subdivision
(1) without identifying a specific offense or other identifying
information concerning a conviction contained in the national
criminal history record information;
(3) submit to the applicant a copy of any state limited criminal
history report that the department receives on behalf of any
person described in subsection (d); and
(4) maintain a record of every report and all information the
department receives concerning a person described in
subsection (d).
(g) Except as provided in subsection (h), a criminal history check
described in subsection (d) is required only at the time an application
for a new license or the renewal of an existing license is submitted.
(h) A criminal history check of a person described in subsection
(d)(2) or (d)(3) must be completed on or before the date the person
is employed or assigned as a volunteer. However, a fingerprint based
criminal history background check under IC 31-9-2-22.5(1)(B) for a
person described in subsection (d)(3) must be completed not later
than the conclusion of the first ninety (90) days of employment in or
assignment of a volunteer to a position described in subsection
(d)(3). If a person described in this subsection has been the subject
of a criminal history check (as described in IC 31-9-2-22.5) that was
conducted not more than one (1) year before the date the license
application is submitted to the department, a new criminal history
check of that person is not required.
(i) An applicant or licensee may provisionally employ an
individual or assign a volunteer described in subsection (d)(3) for
whom a criminal history check is required under subsection (d)(3)
during the period after the process of requesting fingerprint based
criminal history background check information has been initiated by
or on behalf of the applicant or licensee but before the determination
is obtained by or communicated to the applicant or licensee. If the
determination is not received by not later than the ninety (90) days
after the effective date of hire or volunteer assignment, the employee
or volunteer relationship must be terminated or suspended until a
determination is received. An employee or volunteer whose
determination has not yet been received may not have direct contact
with a child who is or will be placed at a facility operated by the
applicant or licensee unless the direct contact occurs only in the
presence of a volunteer or employee of the applicant or licensee who
has been the subject of a completed and approved criminal history
check. In determining whether to provisionally hire or assign as a
volunteer an individual described in subsection (d)(3), the applicant
or licensee shall consider the following:
(1) The training time required by an employee or a volunteer.
(2) The safety and security of the children under the supervision
of the applicant or licensee.
(3) The safety and security of the other staff and volunteers
working under the supervision of the applicant or licensee.
(4) The staffing concerns of the applicant or licensee.
(5) Any other factor relating to the safety and security of the
applicant's or licensee's operations.
(j) The department shall, at the applicant's request, inform the
applicant whether the department has or does not have a record of the
person who is the subject of a criminal history background check and
if the department has identified the person as an alleged perpetrator
of abuse or neglect. The department may not provide to the applicant
any details or personally identifying information contained in any
child protective services investigation report.
(k) A person who is the subject of a criminal history check
conducted in accordance with this section may request the state
police department to provide the person with a copy of any state or
national criminal history report concerning the person.
As added by P.L.145-2006, SEC.273. Amended by P.L.138-2007,
SEC.47.
IC 31-27-3-4
Child caring institution established by county; operation
Sec. 4. (a) A county may establish a child caring institution. The
child caring institution may be operated by:
(1) the county; or
(2) a public or private agency under contract with the county;
and must be operated under the rules adopted by the director under
this article.
(b) This section does not affect the following:
(1) IC 31-31-1-1 or IC 31-40, requiring the county fiscal body
to appropriate sufficient money to pay for services ordered by
the juvenile court.
(2) IC 31-31-8, authorizing the juvenile court to establish
detention and shelter care facilities.
(3) IC 12-13-5 and IC 12-19-1, requiring the division of family
resources, the office, and the county departments to provide
care and treatment for delinquent children and children in need
of services.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-5
Grounds for denial of license applications
Sec. 5. (a) The following constitute sufficient grounds for a denial
of a license application:
(1) A determination by the department of child abuse or neglect
by:
(A) the applicant;
(B) an employee of the applicant who has direct contact, on
a regular and continuous basis, with children who are under
the direct supervision of the applicant; or
(C) a volunteer of the applicant who has direct contact, on a
regular and continuous basis, with children who are under
the direct supervision of the applicant.
(2) A criminal conviction of the applicant, or the director or
manager of a facility where children will be placed by the
applicant, of:
(A) a felony;
(B) a misdemeanor related to the health and safety of a child;
(C) a misdemeanor for operating a child caring institution,
foster family home, group home, or child placing agency
without a license under this article (or IC 12-17.4 before its
repeal); or
(D) a misdemeanor for operating a child care center or child
care home without a license under IC 12-17.2.
(3) A determination by the department that the applicant made
false statements in the applicant's application for licensure.
(4) A determination by the department that the applicant made
false statements in the records required by the department.
(5) A determination by the department that the applicant
previously operated a home or facility without a license
required under any applicable provision of this article (or
IC 12-17.4 before its repeal) or IC 12-17.2.
(b) An application for a license may also be denied if an employee
or volunteer of the applicant who has direct contact on a regular and
continuous basis with children who are under the direct supervision
of the applicant has been convicted of any of the following:
(1) A felony described in IC 31-27-4-13(a).
(2) Any other felony or a misdemeanor relating to the health
and safety of a child, unless the applicant is granted a waiver by
the department to employ or assign the person as a volunteer in
a position described in this subsection.
(c) In determining whether to grant a waiver under subsection (b),
the department shall consider the following factors:
(1) The length of time that has passed since the disqualifying
conviction.
(2) The severity, nature, and circumstances of the offense.
(3) Evidence of rehabilitation.
(4) The duties and qualifications required for the proposed
employment positions or volunteer assignment.
(d) Notwithstanding subsection (a) or (b), if:
(1) a license application could be denied due to a criminal
conviction of, or a determination of child abuse or neglect by,
an employee or a volunteer of the applicant; and
(2) the department determines that the employee or volunteer
has been dismissed by the applicant;
the criminal conviction of, or determination of child abuse or neglect
by, the former employee or former volunteer does not constitute a
sufficient basis for the denial of a license application.
(e) The department may adopt rules to implement this section.
As added by P.L.145-2006, SEC.273. Amended by P.L.138-2007,
SEC.48.
IC 31-27-3-6
Incomplete applications
Sec. 6. The department may not act on an incomplete application.
The department shall return an incomplete application with a
notation concerning omissions. The return of an incomplete
application is without prejudice.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-7
Investigation of applicants
Sec. 7. The department shall investigate a person seeking
licensure to determine whether the person is in compliance with this
article and the rules adopted under this article. The investigation
shall be conducted at a reasonable time and in a reasonable manner,
in announced or unannounced visits. Activities may include onsite
inspections, record reading, observation, and interviewing. The
department may require that evidence of compliance with the rules
be presented in a form and manner specified in the rules.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-8
Issuance of license
Sec. 8. The department shall issue a license to a person who meets
all of the license requirements when an investigation shows the
applicant to be in compliance under this article.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-9
Eligibility for waivers and variances
Sec. 9. A child caring institution may be eligible to receive a
waiver or variance from the requirements of this chapter by
complying with IC 31-27-2-8.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-10
Waiver of maximum stay for child
Sec. 10. (a) The department may grant a waiver of the sixty (60)
day maximum stay for a child if the child caring institution licensed
as a shelter care facility applies for the waiver before the expiration
of the sixty (60) day period.
(b) The child caring institution shall document in the request for
a waiver that the waiver is in the best interest of the child.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-11
Denial of license
Sec. 11. (a) The department shall deny a license when an
applicant fails to meet the requirements for a license.
(b) The department shall send written notice by certified mail that
the application has been denied and give the reasons for the denial.
(c) An administrative hearing concerning the denial of a license
shall be provided upon written request by the applicant. The request
must be made not more than thirty (30) days after receiving the
written notice under subsection (b).
(d) An administrative hearing shall be held not more than sixty
(60) days after receiving the written request.
(e) An administrative hearing shall be held in accordance with
IC 4-21.5-3.
(f) The department shall issue a decision not more than sixty (60)
days after the conclusion of a hearing.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-12
Investigation of unlicensed premises
Sec. 12. The department is responsible for investigating any
premises that the department has reason to believe are being used for
child care without a license in circumstances where a license is
required.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-13
Duration of license; limitations; renewal; public display
Sec. 13. (a) A license for a child caring institution expires four (4)
years after the date of issuance, unless the license is revoked,
modified to a probationary status, or voluntarily returned.
(b) A license issued under this chapter:
(1) is not transferable;
(2) applies only to the licensee and the location stated in the
application; and
(3) remains the property of the department.
(c) When a licensee submits a timely application for renewal, the
current license remains in effect until the department issues a license
or denies the application.
(d) A current license must be publicly displayed.
As added by P.L.145-2006, SEC.273. Amended by P.L.146-2006,
SEC.27.
IC 31-27-3-14
Probationary status; duration; expiration; extension
Sec. 14. (a) The department may place a licensee on probationary
status if the licensee is temporarily unable to comply with a rule and
if:
(1) the noncompliance does not present an immediate threat to
the health and well-being of the children;
(2) the licensee files a plan with the department, state
department of health, or the state fire marshal to correct the
areas of noncompliance within the probationary period; and
(3) the department, state department of health, or state fire
marshal approves the plan.
(b) A probationary status period is for not more than six (6)
months. However, the department may extend a probationary status
period for one (1) additional period of six (6) months.
(c) At the expiration of a probationary status period, the
department shall:
(1) reactivate the license to the end of the original term of the
license;
(2) extend the probationary status period as permitted under
subsection (b); or
(3) revoke the license.
As added by P.L.145-2006, SEC.273. Amended by P.L.146-2006,
SEC.28.
IC 31-27-3-15
Inspections
Sec. 15. The department and the state fire marshal shall do the
following:
(1) Make annual onsite inspections.
(2) Keep written records of their monitoring activities and
inspections.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-16
Cooperation by licensees
Sec. 16. A licensee shall cooperate with the department and the
state fire marshal in carrying out the activities required by section 15
of this chapter, including permitting the department and the state fire
marshal to conduct announced or unannounced inspections.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-17
Sprinkler system requirements
Sec. 17. The fire prevention and building safety commission may
not adopt rules requiring the installation of a sprinkler system in a
living unit of a licensed child caring institution in which fewer than
sixteen (16) children reside, each of whom is:
(1) ambulatory; and
(2) at least six (6) years of age.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-18
Records
Sec. 18. (a) A licensee shall keep records regarding each child in
the control and care of the licensee as the department requires and
shall report to the department upon request the facts the department
requires with reference to children.
(b) The department shall keep records regarding children and facts
learned about children and the children's parents or relatives
confidential.
(c) The following have access to records regarding children and
facts learned about children:
(1) A state agency involved in the licensing of the child caring
institution.
(2) A legally mandated child protection agency.
(3) A law enforcement agency.
(4) An agency having the legal responsibility to care for a child
placed at the child caring institution.
(5) The parent, guardian, or custodian of the child at the child
caring institution.
(6) A citizen review panel established under IC 31-25-2-20.4.
(7) The department of child services ombudsman established by
IC 4-13-19-3.
As added by P.L.145-2006, SEC.273. Amended by P.L.138-2007,
SEC.49; P.L.182-2009(ss), SEC.374.
IC 31-27-3-19
Notice of enforcement actions; informal meetings
Sec. 19. Except as provided in section 29 of this chapter, the
department shall give a licensee thirty (30) days written notice by
certified mail of an enforcement action. The licensee shall also be
provided with the opportunity for an informal meeting with the
department. The licensee must request the meeting not more than ten
(10) working days after receipt of the certified notice.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-20
Administrative hearings
Sec. 20. (a) An administrative hearing concerning the decision of
the department to impose a sanction under this chapter shall be
provided upon a written request by the child caring institution. The
request must be made not more than thirty (30) days after receiving
notice under section 19 of this chapter. The written request must be
made separately from an informal meeting request made under
section 19 of this chapter.
(b) An administrative hearing shall be held not more than sixty
(60) days after receiving the written request.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-21
Procedure for administrative hearings
Sec. 21. A hearing requested under section 20 of this chapter shall
be held in accordance with IC 4-21.5-3.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-22
Issuance of decisions
Sec. 22. The department shall issue a decision not more than sixty
(60) days after the conclusion of a hearing.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-23
Repealed
(Repealed by P.L.146-2006, SEC.60.)
IC 31-27-3-24
Repealed
(Repealed by P.L.146-2006, SEC.60.)
IC 31-27-3-25
Repealed
(Repealed by P.L.146-2006, SEC.60.)
IC 31-27-3-26
Cessation of operation upon revocation of license
Sec. 26. A child caring institution shall cease operation when the
license of the child caring institution is revoked.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-27
Notice
Sec. 27. (a) After a license is revoked, the department shall notify
in writing each person responsible for each child in care to ensure
that those children are removed.
(b) The written notice shall be sent to the last known address of
the person responsible for the child in care and shall state that the
license of the child caring institution has been revoked.
As added by P.L.145-2006, SEC.273. Amended by P.L.146-2006,
SEC.29.
IC 31-27-3-28
Judicial review
Sec. 28. A final decision of the department made after a hearing
is subject to judicial review under IC 4-21.5-5.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-29
Investigations of noncompliance; injunctions; corrective action
plans; removal of children; informal meetings
Sec. 29. (a) The department shall investigate a report of a licensed
child caring institution's noncompliance with this article or the rules
adopted under this article if there is reasonable cause to believe that
a licensee's noncompliance with this article and rules adopted under
this article creates an imminent danger of serious bodily injury to a
child or an imminent danger to the health of a child and shall report
the department's findings to the attorney general and to the county
office and the prosecuting attorney in the county where the
institution is located.
(b) The attorney general or the department may do the following:
(1) Seek the issuance of a search warrant to assist in the
investigation.
(2) File an action for injunctive relief to stop the operation of a
child caring institution if there is reasonable cause to believe
that a licensee's noncompliance with this article or the rules
adopted under this article creates an imminent danger of serious
bodily injury to a child or an imminent danger to the health of
a child.
(c) The department may require a plan of corrective action for
emergency protection of the children described in subsection (b).
(d) The department may provide for the removal of children from
child caring institutions described in subsection (b).
(e) An opportunity for an informal meeting with the department
shall be available after the injunctive relief is ordered.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-30
Expiration of injunctions for creation of imminent danger
Sec. 30. A court order granted under section 29(b)(2) of this
chapter expires upon the later of the following:
(1) Sixty (60) days after the order is issued.
(2) When a final department decision is issued under sections
20 through 22 of this chapter if notice of an enforcement action
is issued under section 19 of this chapter.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-31
Grounds for revocation of license
Sec. 31. (a) The following constitute sufficient grounds for
revocation of a license:
(1) A determination by the department of child abuse or neglect
by:
(A) the licensee;
(B) an employee of the licensee who has direct contact, on
a regular and continuous basis, with children who are under
the direct supervision of the licensee; or
(C) a volunteer of the licensee who has direct contact, on a
regular and continuous basis, with children who are under
the direct supervision of the licensee.
(2) A criminal conviction of the licensee, or the director or
manager of a facility where children will be placed by the
licensee, of any of the following:
(A) A felony.
(B) A misdemeanor related to the health or safety of a child.
(C) A misdemeanor for operating a child caring institution,
foster family home, group home, or child placing agency
without a license under this article (or IC 12-17.4 before its
repeal).
(D) A misdemeanor for operating a child care center or child
care home without a license under IC 12-17.2.
(3) A determination by the department that the licensee made
false statements in the licensee's application for licensure.
(4) A determination by the department that the licensee made
false statements in the records required by the department.
(5) A determination by the department that the licensee
previously operated a home or facility without a license
required under any applicable provision of this article (or
IC 12-17.4 before its repeal) or IC 12-17.2.
(b) A license may also be revoked if an employee or volunteer of
the licensee who has direct contact on a regular and continuous basis
with children who are under the direct supervision of the licensee has
been convicted of any of the following:
(1) A felony described in IC 31-27-4-13(a).
(2) Any other felony or a misdemeanor relating to the health
and safety of a child, unless the licensee is granted a waiver by
the department to employ or assign the person as a volunteer in
a position described in this subsection.
(c) In determining whether to grant a waiver under subsection (b),
the department shall consider the following factors:
(1) The length of time that has passed since the disqualifying
conviction.
(2) The severity, nature, and circumstances of the offense.
(3) Evidence of rehabilitation.
(4) The duties and qualifications required for the proposed
employment positions or volunteer assignment.
(d) Notwithstanding subsection (a) or (b), if:
(1) a license could be revoked due to a criminal conviction of,
or a determination of child abuse or neglect by, an employee or
a volunteer of the licensee; and
(2) the department determines that the employee or volunteer
has been dismissed by the licensee within a reasonable time
after the licensee became aware of the conviction or
determination;
the criminal conviction of, or determination of child abuse or neglect
by, the former employee or former volunteer does not constitute a
sufficient basis for the revocation of a license.
(e) The department may adopt rules to implement this section.
As added by P.L.145-2006, SEC.273. Amended by P.L.138-2007,
SEC.50.
IC 31-27-3-32
Compliance with rules; disciplinary sanctions; revocation of license
Sec. 32. (a) A licensee shall operate a child caring institution in
compliance with the rules established under this article and is subject
to the disciplinary sanctions under subsection (b) if the department
finds that the licensee has violated this article or a rule adopted under
this article.
(b) After complying with the procedural provisions in sections 19
through 22 of this chapter, the department may revoke the license
when the department finds that a licensee has committed a violation
under subsection (a).
As added by P.L.145-2006, SEC.273. Amended by P.L.146-2006,
SEC.30.
IC 31-27-3-33
Investigations of unlicensed operation; injunctions; civil penalties
Sec. 33. (a) The department shall investigate a report of an
unlicensed child caring institution and report the department's
findings to the attorney general and to the county office and the
prosecuting attorney in the county where the institution is located.
(b) The attorney general or the department may do the following:
(1) Seek the issuance of a search warrant to assist in the
investigation.
(2) File an action for injunctive relief to stop the operation of a
child caring institution if there is reasonable cause to believe
that the child caring institution is operating without a license
required under this article.
(3) Seek in a civil action a civil penalty not to exceed one
hundred dollars ($100) a day for each day a child caring
institution is operating without a license required under this
article.
(c) An opportunity for an informal meeting with the department
shall be available after the injunctive relief is ordered.
(d) The civil penalties collected under this section shall be
deposited in the department of child services child care fund
established by IC 31-25-2-16.
As added by P.L.145-2006, SEC.273. Amended by P.L.1-2007,
SEC.202.
IC 31-27-3-34
Expiration of injunction for unlicensed operation
Sec. 34. A court order granted under section 33(b)(2) of this
chapter expires when the child caring institution is issued a license.
As added by P.L.145-2006, SEC.273.
IC 31-27-3-35
Violations of chapter
Sec. 35. A person who knowingly or intentionally violates this
chapter commits a Class B misdemeanor.
As added by P.L.145-2006, SEC.273.