North Carolina Division of Social Services

SUBCHAPTER 70F - CHILD PLACING AGENCIES: MATERNITY HOMES AND CHLDREN'S CAMPS

SECTION .0100 - GENERAL

10A NCAC 70F .0101 SCOPE
The rules in this Subchapter apply to persons defined in 10A NCAC 70F .0201(b) who receive children for the purpose of placement in family foster homes and adoptive homes, and who operate residential maternity homes. In addition, if the persons defined in 10A NCAC 70F .0201(b) provide behavior mental health treatment services, the rules in 10A NCAC 27G .0203 and .0204 shall apply.

History Note: Authority G.S. 131D-1; 131D-10.3; 131D-10.5; 143B-153;
Eff. February 1, 1986;
Amended Eff. January1, 2002; July 1, 1990;
Temporary Amendment Eff. February 1, 2002;
Amended Eff. July 18, 2002.

10A NCAC 70F .0102 LICENSURE
(a) Licenses issued shall be in effect for a maximum of two years unless suspended or revoked. Appeal procedures specified in 10A NCAC 70L .0102 shall apply for persons seeking an appeal of the licensing authority's decision to deny, suspend, or revoke a license.
(b) Licensure shall be denied to an applicant when an applicant meets any of the following conditions:
(1) Owns a facility or agency licensed under G.S. 122C or G.S. 131D and that facility or agency had its license revoked;
(2) Owns a facility or agency licensed under G.S. 122C and that facility or agency incurred a penalty for a Type A or B violation under Article 3 of G.S. 122C; or
(3) Owns facility or agency licensed under G.S. 122C or G.S. 131D and that facility or agency had its license suspended or downgraded to provisional status as a result of violations under G.S. 122C-24.1(a) or G.S. 131D, Article 1A.
(c) The restriction on licensure shall be in accordance with G.S. 122C-23(e1) and G.S. 131D-10.3(h), incorporated by reference. A copy of these statutes may be obtained through the internet at http://www.ncleg.net/Statutes/Statutes.html.

History Note: Authority G.S. 131D-1; 131D-10.3; 131D-10.5; 143B-153; S.L. 2002-164;
Eff. February 1, 1986;
Amended Eff. July 18, 2002; July 1, 1990;
Temporary Amendment Eff. July 1, 2003.

SECTION .0200 - ORGANIZATION AND ADMINISTRATION

10A NCAC 70F .0201 GOVERNANCE
(a) The agency shall have a governing body which exercises authority over and has responsibility for the operation, policy, and practices of the agency.
(b) The governing body shall be:
(1) a board of directors in the case of a non-profit organization or a for-profit organization;
(2) commissioners or appointed officials of a governmental unit;
(3) the proprietor in case of sole proprietorship; or
(4) the general partners in case of a partnership.
(c) A governmental agency shall have documents which fully identify the statutory basis for its existence and the administrative framework of the governmental departments within which it operates.
(d) An agency shall submit to the department a list of members of the governing body. This list must indicate the name, address, and term of membership of each member and must identify each officer and the term of that office.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153;
Eff. February 1, 1986;
Amended Eff. July 1, 1990.

10A NCAC 70F .0202 RESPONSIBILITIES OF THE GOVERNING BODY
(a) The governing body shall provide leadership for the agency and shall be responsible for establishing the agency's policies, programs, and guiding its development.
(b) The governing body shall assure the employment of an administrator and delegate responsibility to that person for the administration and operation of the agency, including the employment and discharge of all agency staff.
(c) The governing body shall annually evaluate the administrator's performance except a sole proprietor or partner is exempt from this Rule if he serves as administrator.
(d) The governing body shall approve the annual budget of anticipated income and expenditures necessary to provide the services described in its statement of purpose. The governing body shall provide for an annual audit of agency financial records.
(e) The governing body shall establish and utilize personnel practices for selection and retention of staff which are sufficient to operate the agency.
(f) The governing body shall establish and utilize policies and procedures for periodic evaluation of the agency's services. This evaluation must include the agency's interaction with other community agencies to serve its clients.
(g) The governing body or their appointed advisory boards or committees shall meet as often as necessary with a minimum of four meetings a year. A quorum of its members shall be present at all meetings at which decisions with respect to the agency are made. Meeting minutes of the governing body shall be permanently maintained.
(h) The governing body shall establish in writing the policies and procedures for control and access to or receipt, use, and release of information about its clients.
(i) The governing body, in the event of the closing of the agency, shall develop a plan for the retention and long term storage of case records. The specifics of this plan must be submitted to the licensing authority before the actual closing of the agency.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153;
Eff. February 1, 1986;
Amended Eff. July 1, 1990;
Temporary Amendment Eff. February 1, 2002;
Amended Eff. July 18, 2002.

10A NCAC 70F .0203 FINANCES
(a) Budget. The agency shall have a written line item budget, showing planned expenditures and resources available to carry out the agency program of service for a 12 month period. A copy of the budget must be submitted to the Department prior to initial licensure and annually thereafter.
(b) Audit. The agency shall have financial records audited annually by an independent accountant or by the appropriate government auditing authority. A copy of the annual audit must be submitted to the Department.
(c) Fees. If fees are charged, the agency shall have a written policy on fees for services which must be inclusive of all fees and charges. No cost beyond the written policy shall be imposed. The agency policy shall describe the relationship between fees and services provided and the conditions under which fees are charged or waived. The agency shall make the policy available to the public.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153;
Eff. February 1, 1986;
Amended Eff. July 1, 1990.

10A NCAC 70F .0204 AGENCY SETTING
(a) The agency shall maintain an office within the geographical boundaries of North Carolina from which the activities carried out under the North Carolina license are handled.
(b) The agency shall provide and maintain office space, equipment and supplies to ensure the following:
(1) confidentiality and safekeeping of records;
(2) privacy for interviewing and conferences; and
(3) availability of visiting rooms for families and children.
(c) The current license must be posted at all times in a conspicuous place in the primary North Carolina office of the agency.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153;
Eff. February 1, 1986.

10A NCAC 70F .0205 RESPONSIBILITY TO LICENSING AUTHORITY
(a) The agency shall annually submit to the licensing authority the information and materials to document compliance and to support issuance of a license.
(b) The agency shall submit to the licensing authority an annual statistical report of program activities.
(c) The agency shall provide written notification immediately to the licensing authority of change in the administrator.
(d) When the agency receives a report alleging abuse or neglect in a home supervised or a facility operated by the agency, the agency shall immediately notify the legal custodian and the licensing authority.
(e) The agency shall submit to the licensing authority, within 30 days of the case decision, a report on the circumstances of the allegation and results of the investigation of the allegation of abuse or neglect. This report, along with other information the licensing authority may require, shall be reviewed and evaluated by the licensing authority and used in consultation and technical assistance with the agency and the county Department of Social Services conducting the investigation to assist them in providing services to protect children in placement.
(f) When there is a death of a child in placement in a home supervised by the agency, the director or his designee shall immediately notify the licensing authority.
(g) In the case of ownership, the agency shall provide to the licensing authority at the time of license application the following information:
(1) the legal name and social security number of each individual who is an owner;
(2) written notification of a change in the legal name of any owner. The notification must be received within 30 business days following the change; and
(3) written notification of a change in individuals holding an interest of at least five percent. The notification must be received no later than 30 business days following the change.
(h) The agency shall contact the mental health area program or county program responsible for the catchment area where services are being provided within 24 hours that a child may require MH/SAS/DD services.
(i) If the agency is monitored by a mental health area program or county program, the agency shall provide data to the mental health area program or county program as required for monitoring and reporting to the General Assembly.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153; S.L. 2002-164;
Eff. February 1, 1986;
Amended Eff. July 18, 2002; July 1, 1990;
Temporary Amendment Eff. July 1, 2003.

10A NCAC 70F .0206 PERSONNEL
(a) The agency shall have written policies which include the following:
(1) written job descriptions and titles for each position defining the qualifications, duties, and lines of authority;
(2) salary scales;
(3) a description of employee benefits;
(4) opportunities for professional growth through supervision, orientation, in-service training, and staff development;
(5) procedures for annual evaluation of the work and performance of each staff member which includes provision for employee participation in the evaluation process;
(6) a description of the termination procedures established for resignation, retirement, or discharge; and
(7) a written grievance procedure for employees.
(b) The agency shall have a personnel file for each employee, which includes the following:
(1) the application for employment, including record of previous employment;
(2) reference contacted;
(3) applicable professional credentials or certifications;
(4) annual performance evaluations;
(5) employee's starting and termination dates; and
(6) reason for termination.
(c) The agency shall have written procedures which safeguard the confidentiality of the personnel records.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153;
Eff. February 1, 1986;
Amended Eff. July 1, 1990.

10A NCAC 70F .0207 STAFF
(a) The agency shall verify prior to employment the personal qualifications of employees through at least three character references.
(b) The agency shall require that each applicant provide a signed statement that the applicant has no criminal, social or medical history which would adversely affect the applicant's capacity to work with children and adults.
(c) The agency shall employ qualified staff to perform administrative, supervisory, care, and placement services.
(d) The agency shall have staff to keep correspondence, records, bookkeeping and files current and in good order. The staff must maintain strict confidentiality concerning contents of the case records.
(e) The agency shall maintain a roster of members of the staff listing position, title, and qualifications and a current organizational chart showing administrative structure and staffing, including lines of authority. The organizational chart must be submitted prior to initial licensure and annually thereafter.
(f) An agency which uses volunteers as unpaid staff to work directly with clients shall:
(1) have written job descriptions and select only those persons qualified to meet the requirements of those jobs;
(2) require personal references;
(3) designate a staff member to supervise and evaluate volunteers; and
(4) develop and implement a plan for the orientation and training of volunteers in the philosophy of the agency and the needs of the clients and their families.
(g) Abuse and Neglect. The agency shall have and follow procedures for handling any suspected incidents of child or adult abuse and neglect involving staff, foster or adoptive parents. The procedure must include:
(1) a provision for recording any suspected incident of abuse or neglect and for immediately reporting it to the executive director or to the governing body or advisory board;
(2) a provision for immediately reporting any allegations of abuse or neglect to the county Department of Social Services for investigation;
(3) a provision for promptly notifying the licensing authority of any allegations of abuse or neglect;
(4) a provision for preventing a recurrence of the alleged incident pending investigation;
(5) a provision for notifying the licensing authority of any findings of such an investigation of abuse or neglect; and
(6) a policy concerning personnel action to be taken when the incident involves a staff member.

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153;
Eff. February 1, 1986;
Amended Eff. July 18, 2002.

10A NCAC 70F .0208 CONFIDENTIALITY
(a) The agency's policy on confidentiality shall:
(1) identify the individuals with access to or control over confidential information;
(2) specify that persons who have access to records or specified information in a record be limited to persons authorized pursuant to law. These persons shall include the client; the birth parent or legal custodian when the client is a minor; agency staff; auditing, licensing, or accrediting personnel; and those persons for whom the agency has obtained a signed consent for release of confidential information; and
(3) require that a consent for release form is signed when client information is disclosed.
(b) The agency shall:
(1) provide a secure place for the storage of records with confidential information;
(2) inform any individual with access to confidential information of the provisions of this Rule;
(3) ensure that, upon employment and whenever revisions are made to the policy, staff sign a compliance statement which indicates an understanding of the requirements of confidentiality;
(4) permit a child to review his case record in the presence of agency personnel on the agency premises, in a manner that protects the confidentiality of other family members or other individuals referenced in the record, unless agency personnel determines the information in the child's case record would be harmful to the child;
(5) in cases of perceived harm to the child, document in writing any refusals to share information with the child, birth parent or legal custodian;
(6) maintain a confidential case record for each child;
(7) maintain confidential personnel records for all employees; and
(8) maintain confidential records for all volunteers.
(c) The agency may destroy in office the closed record of a child who has been discharged for a period of three years or may destroy in office a record three years after a child has reached age 18, unless included in a federal fiscal or program audit that is unresolved, then the agency may destroy the record in office when released from all audits.