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SUBCHAPTER 70I - MINIMUM LICENSING STANDARDS FOR RESIDENTIAL CHILD CARE
10A NCAC 70I .0101 LICENSING ACTIONS
(a) All rules in 10A NCAC 70I apply to residential child-care facilities.
(b) License.
(1) The
Department of Health and Human Services, Division of Social Services (licensing
authority)
shall issue a license when it determines that a residential child‑care
facility is in compliance with rules in Subchapters 70I and 70J of this
Chapter.
(2) A
license shall be issued for a maximum period of two years.
(3) A residential child-care facility shall not be licensed under both G.S. 131D and G.S. 122C.
(c) Changes in any information on the license.
(1) The licensing authority shall change a license during the period of time it is in effect if the change is in compliance with rules in Subchapters 70I and 70J.
(2) A residential child‑care facility shall notify the licensing authority in writing of its request for a change in license, including information that is necessary to assure the change is in compliance with the rules in Subchapters 70I and 70J of this Chapter.
(d) Termination.
(1) When a residential child‑care facility voluntarily discontinues child-caring operations, either temporarily or permanently, the residential child-care facility shall notify the licensing authority in writing of the date, reason and anticipated length of closing.
(2) If a license is not renewed by the end of the licensure period, the licensing authority shall automatically terminate the license.
(3) If a license issued pursuant to this Subchapter is terminated for more than 60 days, the facility shall meet all requirements for a new facility before being relicensed.
(4) Any existing licensed residential child-care facility that is closed or vacant for more than one year shall meet all requirements of a new facility prior to being relicensed.
(e) Adverse Licensure Action.
(1) The licensing authority shall deny, suspend or revoke a license when a residential child‑care facility is not in compliance with the rules in Subchapters 70I and 70J unless the residential child-care facility, within 10 working days from the date the residential child-care facility initially received the deficiency report from the licensing authority, submits a plan of correction. The plan of correction shall specify the following:
(A) the measures that will be put in place to correct the deficiency;
(B) the systems that will be put in place to prevent a re-occurrence of the deficiency;
(C) the individual or individuals who will monitor the corrective action; and
(D) the date the deficiency will be corrected which shall be no later than 60 days from the date the routine monitoring was concluded.
(2) The licensing authority shall notify a residential child‑care facility in writing of the decision to deny, suspend or revoke a license.
(3) Appeal procedures specified in 10A NCAC 70L .0301 are applicable for persons seeking an appeal to the licensing authority’s decision to deny, suspend or revoke a license.
(f) Licensure Restriction.
(1) An applicant who meets any of the following conditions shall have his/her licensure denied:
(A) 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;
(B) the Department of Health and Human Services has initiated revocation or summary suspension proceedings against any facility licensed pursuant to G.S. 122C, Article 2, G.S. 131D, Articles 1 or 1A, or G.S. 110, Article 7 that was previously held by the applicant and the applicant voluntarily relinquished the license;
(C) there is a pending appeal of a denial, revocation or summary suspension of any facility licensed pursuant to G.S. 122C, Article 2, G.S. 131D, Articles 1 or 1A, or G.S. 110, Article 7 that is owned by the applicant;
(D) the applicant has an individual as part of their governing body or management who previously held a license that was revoked or summarily suspended under G.S. 122C, Article 2, G.S. 131D, Articles 1 or 1A, and G.S. 110, Article 7 and the rules adopted under these laws;
(E) the applicant
is an individual who has a finding or pending investigation by the Health Care
Personnel Registry in accordance with G.S. 131E 256; or
(F) the applicant is an individual who has been placed on the Responsible Individuals List as defined in 10A NCAC 70A .0102.
(2) The denial of licensure pursuant to this Paragraph shall be in accordance with G.S. 122C-23(e1) and G.S. 131D-10.3(h). A copy of these statutes may be obtained through the internet at http://www.ncleg.net/Statutes/Statutes.html .
(3) The
facility or agency shall inform the licensing authority of any current licenses
or licenses held in the past five years for residential child-care facilities,
child-placing agencies or maternity homes in other states. The agency shall provide written notification
from the licensing authority in other states regarding violations, penalties or
probationary status imposed in that state.
The licensing authority shall take this information into consideration
when granting a
History Note: Authority G.S. 131D-10.3; 131D-10.5; 143B-153;
Eff.
Temporary Amendment Eff. July 1, 2003;
Amended Eff. September 1, 2007;
10A NCAC 70I .0102 LICENSING PROCESS
(a) The license process shall consist of an application phase, an investigatory phase and a decision making phase.
(b) Application Phase. An applicant must apply for a license to operate a residential child-care facility to the Department of Health and Human Services, Division of Social Services, prior to the first child being accepted for full‑time care. An applicant must apply for renewal of a license to operate a residential child-care facility to the Department of Health and Human Services, Division of Social Services, prior to the expiration of the current license.
(c) Investigatory Phase. During this phase, the applicant must submit to the Division of Social Services, Children's Services Section information on the proposed program and projected methods of operation. For proposed private and public residential child‑care facilities, the Division of Social Services, Children's Services staff, together with those seeking licensure, complete this phase. For agency residential child‑care facilities, the supervising agency shall complete this phase.
(d) Decision
Regarding Licensure. An applicant must
submit all the materials required by Subchapters 70I and 70J, if applicable, to
the Division of Social Services, Children's Services Section prior to the
decision to issue a license to operate.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
Amended Eff.
SECTION .0200 - MINIMUM LICENSURE STANDARDS
10A NCAC 70I .0201 DEFINITIONS
In addition to the definitions found in G.S. 131D–10.2, the following definitions apply to the rules in Subchapters 70I and 70J.
(1) Case Plan means a written document, the Family Services Case Plan, which describes the social and child welfare services and activities to be provided by the county department of social services or other state and local agencies for the purpose of achieving a permanent family relationship for the child.
(2) Child-Caring Institution means a residential child-care facility utilizing permanent buildings located on one site for 10 or more foster children.
(3) Children's Foster Care Camp means a residential child-care facility which provides foster care at either a permanent camp site or in a wilderness setting.
(4) Direct Service Personnel means staff responsible for the direct services provided to children and their families including, but not limited to, child-care workers, residential counselors, house/teaching parents, social workers, recreation and education staff.
(5) Director means the person who is in charge of the agency and who is responsible for developing and supervising the program of residential child care and services.
(6) Emergency Shelter Care means 24 hour care provided in a residential child-care facility for a period not to exceed 90 days, in accordance with 10A NCAC 70J .0200.
(7) Family Time means specific period arranged for a child who resides in a residential child-care facility to spend with kin either on-site or away from the residential child-care facility.
(8) Foster Child means an individual less than 18 years of age who has not been emancipated under North Carolina law, or one who is 18 to 21 years of age and continues to reside in the residential child-care facility, who is dependent, neglected, abandoned, destitute, orphaned, delinquent, or otherwise in need of care away from home and not held in detention.
(9) Full License means a license issued for one year when all minimum licensing requirements are met.
(10) Group Home means a residential child-care facility operated either under public or private auspices which receives for 24-hour care no more than nine children. This number includes the caregivers' own relatives residing in the home under the ages of 18. The composition of the group shall include no more than two children under the age of two, four children under the age of six, and six children under the age of 12. A group home shall not provide day care, nor shall it be available to adults in the community who wish to rent rooms.
(11) Individualized Service Plan means a written document which describes a child's needs, goals and objectives in a residential child-care facility and the direct services staff tasks and assignments to meet a child's and family's needs, goals and objectives.
(12) License means permission granted in writing to a corporation, agency or county government by the Department of Health and Human Services to engage in the provision of full-time child care or child-placing activities based upon an initial determination, and annually thereafter, that such corporation, agency, or a county government has met and complied with minimum standards set forth in this Subchapter.
(13) Owner means any individual who is a co-owner, partner or shareholder holding an ownership or controlling interest of five percent or more of the applicant entity. Owner includes a "principal" or "affiliate" of the residential child care facility.
(14) Private Agency Residential Child-Care Facility means a residential child-care facility under the auspices of a licensed child-placing agency or another private residential child-care facility.
(15) Private Residential Child-Care-Facility means a residential child-care facility under the control, management and supervision of a private non-profit or for-profit corporation, sole proprietorship or partnership which operates independently of a licensed child-placing agency or any other residential child-care facility.
(16) Provisional License means a license issued for a maximum of six months enabling a facility to operate while some below standard component of the program is being corrected. A provisional license for the same below standard program component shall not be renewed.
(17) Public Agency Residential Child-Care Facility means a residential child-care facility under the control, management or supervision of a county department of social services.
(18) Public Residential Child-Care Facility means a residential child-care facility under the control, management or supervision of a county government other than a county department of social services.
(19) Visiting Resource means volunteers from the community whose homes children visit on the weekends, holiday or vacations.
(20) Volunteer means a person working in a staff position for an agency who is not paid.
History Note: Authority G.S. 131D-10.5; 143B-153; S.L.
2002-164; Eff.
Amended Eff.
10A NCAC 70I .0202 RESPONSIBILITY TO DIVISION OF SOCIAL SERVICES
(a) The residential child‑care facility shall annually submit to the Division of Social Services the information and materials required by rules in Subchapters 70I and 70J to document compliance and to support issuance of a license.
(b) The residential child‑care facility shall submit to the Division of Social Services an annual statistical report of program activities as required in Subchapters 70I and 70J.
(c) The residential child‑care facility shall provide written notification to the Division of Social Services of a change in the director.
(d) The office of a
residential child-care facility shall be maintained in
(e) The current license of a residential child-care facility shall be posted at all times in a conspicuous place within the facility.
(f) When there is a report alleging abuse or neglect in a residential child‑care facility, the director or his designee shall immediately notify the Division of Social Services.
(g) The residential child‑care facility shall submit to the Division of Social Services 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, shall be reviewed and evaluated by the Division of Social Services and used in consultation and technical assistance to the residential child‑care facility to improve services to protect children in placement in the residential child-care facility.
(h) The residential child‑care facility shall have and follow policies and procedures for handling any suspected incidents of child abuse or neglect involving staff. The policies and procedures must include:
(1) A provision for reporting any allegations of abuse or neglect to the appropriate county department of social services for investigation in accordance with G.S. 7B-301.
(2) A provision for recording any suspected incident of abuse or neglect and for promptly reporting it to the executive director or to the governing body or advisory board.
(3) A provision for promptly notifying the Division of Social Services of any allegations of abuse or neglect of any child in care.
(4) A provision for preventing a recurrence of the alleged incident pending investigation.
(5) A provision for written notification to the Division of Social Services of any findings of such an investigation of child abuse or neglect, specifying only whether there was substantiation or unsubstantiation of the case.
(i) When there is a death of a child who is a resident of a residential child-care facility, the director or his designee shall immediately notify the licensing authority.
(j) In the case of ownership, the residential child care facility 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.
(k) The residential child care facility 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.
(l) If the residential child care facility is monitored by a mental health area program or county program, the residential child care facility 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-10.5; 143B-153;S.L.
2002-164;Eff.
Amended Eff.
10A NCAC 70I .0203 SUBSTANTIATIONS OF NEGLECT AGAINST THE FACILITY
(a) When there is a substantiation of neglect against the residential child care facility by a county department of social services, a corrective action plan shall be submitted by the director to the Division of Social Services within 30 days of the substantiated report.
(b) Following the receipt of the corrective action plan, the Division of Social Services may make one unannounced on‑site visit to the facility within the 30 days following the receipt of the corrective action plan.
(c) The Division of Social Services may make subsequent onsite visits at varying frequencies and times throughout the ensuing year to determine that the corrective actions have been implemented.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0204 LICENSURE PROCEDURES
(a) Private Residential Child-Care Facility Licensure Procedures.
(1) The following materials shall be submitted to the Division of Social Services during the application phase:
(A) Articles of Incorporation;
(B) Bylaws; and
(C) Governing board list with names, addresses, occupations, length of time and terms on the board, and board positions held and number of terms, if applicable.
(2) The following materials shall be submitted to the Division of Social Services during the investigatory phase before an initial license can be issued, with the exception of Part (K) of this Subparagraph which will be maintained at the facility for review:
(A) License Application and Summary.
(B) Program policies and procedures stating the purpose, outlining admission criteria, as well as defining areas of responsibilities for services which the facility will assume for children in care and for services to be provided by the referring agency or individual, and discharge criteria.
(C) Description of the child-care program and evaluation method.
(D) Program forms.
(E) Budget outlining anticipated costs and sources of revenue for the first year of operation.
(F) Personnel policies.
(G) Organizational chart.
(H) Job descriptions.
(I) Staff resumes.
(J) Full and part‑time staff work schedules.
(K) Medical reports including TB skin test results on full and part‑time direct care personnel and any relatives in the home. The medical reports must be completed by a licensed medical provider within six months prior to the license date.
(L) Fire and Building Safety Inspection Report (for fewer than seven residents, for seven to nine residents or 10 or more residents), completed and approved by the county building inspector or fire marshal.
(M) Inspection Form for Residential Care Facilities, completed and approved by the county sanitarian.
(N) Floor plan indicating room dimensions, usage of each room, window and door locations and sizes and method of heating.
(O) Written approval from the Division of Facility Services for a design capacity of seven to nine residents or 10 or more residents.
(3) Division of Social Services shall make one or more visits to the residential child-care facility to complete the licensing study.
(4) Based on information obtained during the investigatory phase, Division of Social Services staff shall evaluate the residential child-care facility's proposed program and methods of operation to determine compliance with rules in Subchapters 70I and 70J.
(5) The Division of Social Services shall notify the residential child‑care facility in writing of the licensure decision, conditions of the license and any recommendations regarding the child-care program.
(b) Licensure Procedures for Private Agency, Public Agency and Public Residential Child-Care Facilities.
(1) The following materials shall be submitted to the Division of Social Services before a license may be issued, with the exception of Part (I) of this Subparagraph which will be maintained at the facility for review:
(A) License Application and Summary.
(B) Program policies and procedures stating purpose, outlining admission criteria, as well as defining areas of responsibilities and discharge criteria.
(C) Description of the child-care program and evaluation method.
(D) Program forms.
(E) Budget outlining anticipated costs and sources of revenue for the first year of operation.
(F) Job descriptions.
(G) Staff resumes.
(H) Full and part‑time staff work schedules.
(I) Medical reports including TB skin test results on full and part‑time direct care personnel and any relatives in the home. The medical reports must be completed by a licensed medical provider within six months prior to the license date.
(J) Fire and Building Safety Inspection Report (for fewer than seven residents, seven to nine residents, or 10 or more residents), completed and approved by the county building inspector or fire marshal.
(K) Inspection Form for Residential Care Facilities, completed and approved by the county sanitarian.
(L) Floor plan indicating room dimensions, usage of each room, window and door locations and sizes and method of heating.
(M) Written approval from the Division of Facility Services for a design capacity of seven to nine residents or 10 or more residents.
(2) Department of Health and Human Services staff shall notify the residential child‑care facility in writing of the licensure decision, conditions of the license, and any recommendations regarding the residential child-care program.
(c) Licensure Procedures Following First Year of Operation for all residential child-care facilities.
(1) Prior to the license expiration date, the Division of Social Services shall notify the residential child-care facility in writing of the licensure renewal requirements.
(2) The following materials shall be submitted to the Division of Social Services before a license for a residential child-care facility can be renewed, with the exception of, Parts (E) and (F) of this Subparagraph, which will be maintained at the facility for review:
(A) License Application and Summary.
(B) Governing board list with names, addresses, occupations, length of time and terms on the board, and board positions held and number of terms, if applicable.
(C) Budget outlining anticipated costs and sources of revenue of the next operating year, with estimation of daily cost of care per child for past year.
(D) Annual statistical report of program activities as required by Rule .0202 of this Section.
(E) Biennial medical reports including TB skin test results on full and part‑time direct care personnel staff and any relatives in the facility. The medical reports must be completed by a licensed medical provider.
(F) Health Questionnaire including TB skin test results on the year when the physical examination is not required.
(G) Fire and Building Safety Inspection Report (for fewer than seven residents, seven to nine residents, or 10 or more residents), completed and approved by the county building inspector or fire marshal.
(H) Inspection Form for Residential Care Facilities, completed and approved by the county sanitarian.
(I) Updated or revised materials to include, but not limited to, policies, procedures, forms, or amendments to Bylaws or Articles.
(J) Independent annual financial audit, if a private residential child-care facility.
(3) With the exception of residential child-care facilities which are accredited by the Council on Accreditation, the Division of Social Services shall annually conduct onsite visits to private residential child‑care facilities and conduct desk reviews of the licensure materials of private agency, public agency or public residential child-care facilities to determine if minimum licensure standards for residential child-care facilities continue to be met.
(4) For residential child-care facilities which are accredited by the Council on Accreditation, the Division of Social Services shall conduct onsite visits to these residential child-care facilities every other year in accordance with the agreement between the Division of Social Services and the Council on Accreditation.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
Amended Eff.
SECTION .0300 - ORGANIZATION AND ADMINISTRATION
10A NCAC 70I .0301 GOVERNANCE
(a) Charter: When a private residential child care facility operates under a charter of incorporation, the charter shall be filed with the Department of the Secretary of State. The charter shall have a statement of purpose which describes the geographic area to be served, kinds of children to be admitted, and the range of services to be provided, an official copy of which shall be submitted to the Division of Social Services.
(b) Governing Body: A private residential child care facility shall have a governing body which exercises authority over and has responsibility for its operation, policies and practices.
(c) The governing body shall be one of the following:
(1) a board of directors in the case of a non‑profit or for‑profit corporation; or
(2) commissioners or appointed officials of a governmental unit; or
(3) a proprietor in case of a sole proprietorship; or
(4) partners in case of a partnership.
(d) In the case of a non‑profit or for‑profit corporations, the governing body shall:
(1) be composed of no fewer than six members to include men and women with varying abilities, experience, and cultural backgrounds;
(2) provide for a system of rotation for board members, for limitation to the number of consecutive terms a member may serve;
(3) establish standing committees;
(4) provide orientation for new members; and
(5) meet at least twice annually.
(e) The executive committee shall meet at least quarterly with a quorum present.
History Note: Authority
G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0302 RESPONSIBILITIES OF THE GOVERNING BODY
The governing body shall:
(1) adopt administrative, personnel, and program policies which are reviewed at least every two years;
(2) review and approve a budget prior to the beginning of the fiscal year;
(3) establish and periodically review policies on fundraising and investment management and obtain professional assistance and consultation as needed;
(4) annually review and formally accept the financial audit;
(5) employ a chief executive officer (director, executive director, president, superintendent) and delegate authority to that person to employ and dismiss staff, implement board policies, and manage day‑to‑day operation of the facility;
(6) permit the chief executive officer or designee to attend all meetings of the governing body and committees with the exception of those held for the purpose of reviewing his performance, status, or compensation;
(7) annually evaluate and document the chief executive officer's performance through specific criteria and objectives;
(8) initiate and review an annual evaluation of services and direct needed changes based on the evaluation;
(9) annually review facility needs related to risk management; and
(10) maintain a long range plan and review annually.
History Note: Authority
G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0303 FINANCES
(a) Fiscal Management: The chief executive officer shall:
(1) implement sound financial practices in order to prepare and periodically review the budget, and to be accountable to the community; and
(2) report to the governing body at least quarterly or more frequently, as requested, on present financial status and anticipated problems.
(b) The residential child care facility shall:
(1) have a plan of financing which assures sufficient funds to enable it to carry out its defined purposes and provide proper care and services for children;
(2) develop adequate resources and manage them prudently in order to obtain the revenues that support its programs and prevent the interruption of needed care and services to clients;
(3) have a written budget specifying income and expenditures which serves as the plan for management of its financial resources for the program year; and
(4) annually analyze the comprehensive unit cost of providing each service to monitor trends, reflect current experience, use in contracting, billing, and establishing a fee schedule, if a fee schedule is utilized.
(c) Audit:
(1) An independent accountant approved by the governing body or by the appropriate governmental auditing authority shall perform an audit of the residential child care facility's financial statements annually.
(2) The residential child care facility shall submit a copy of the annual audit to the Division of Social Services.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0304 INTERNAL OPERATING PROCEDURES
The residential child care facility shall adopt and annually review operating procedures for each administrative and program area in order to effectively carry out its policies and shall make the internal operating procedures available to clients, families, and legal custodians.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0305 RECORDKEEPING AND REPORTING
(a) The residential child-care facility'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 be persons authorized by law specifically including the client, the parent or legal custodian when the client is a minor, staff and auditing, licensing, or accrediting personnel or those persons for whom the agency has obtained a signed consent for release of confidential information; and
(3) require that when client information is disclosed a signed consent for release of information is obtained on a consent for release form.
(b) The residential child-care facility 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, 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 facility personnel on the facility premises, in a manner that protects the confidentiality of other family members or other individuals referenced in the record unless facility 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, 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 residential child-care facility may destroy in office a closed record in which a child 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 may destroy in office when released from all audits.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
Amended Eff.
10A NCAC 70I .0306 CLIENT RIGHTS
(a) The residential child-care facility shall develop and implement policies and procedures to protect the individual rights and dignity of children and families.
(b) The residential child-care facility shall have a client's and family's rights policy which includes that each child has the right to:
(1) privacy;
(2) be provided adequate food, clothing, and shelter;
(3) have access to family time and have telephone conversations with family members, when not contraindicated in the child's intervention plan or individualized service plan;
(4) have personal property and a space for storage;
(5) express opinions on issues concerning the child's care or treatment;
(6) receive care in a manner that recognizes variations in cultural values and traditions;
(7) be free from coercion by facility personnel with regard to religious decisions. The facility shall have a process to assure that, whenever practical, the wishes of the parents with regard to a child's religious participation are ascertained and followed;
(8) not be identified in connection with publicity for the facility which shall bring the child or the child's family embarrassment; and
(9) not be forced to acknowledge dependency on or gratitude to the facility.
(c) The residential child-care facility shall have a policy which prohibits direct involvement by a child in funds solicitation for the facility.
(d) The residential child-care facility shall have a policy which prohibits the child's participation in any activities involving audio or visual recording and research without the voluntary signed, time‑limited consent of the child and the child's legal custodian.
History Note:
Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0307 GRIEVANCE PROCEDURES
(a) The residential child care facility shall provide to each child and parents or legal custodian, upon admission:
(1) a written description of policies and procedures which the child and his parent(s) or legal custodian follow to register complaints;
(2) information about client rights;
(3) the process for appealing a decision or action of the facility; and
(4) the process for resolution of a complaint.
(b) Upon resolution of a grievance, the residential child care facility shall maintain a copy of the complaint and the resolution in the case record.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
SECTION .0400 – PERSONNEL
10A NCAC 70I .0401 PERSONNEL POLICIES
The residential child care facility shall have written personnel policies and procedures which shall be provided to all employees. Revisions of all personnel policies shall be in writing and provided to employees on a timely basis. Policies and procedures shall address the following areas:
(1) Recruitment and hiring;
(2) Compensation structure and benefits;
(3) Orientation plan for new employees;
(4) Training and staff development;
(5) Regulations regarding use of equipment and assets;
(6) Notification of work schedule;
(7) Description of leave policy, including time‑off duty for disciplinary actions for direct care staff;
(8) Termination;
(9) Operational procedures regarding grievances which provide the opportunity and means to lodge complaints and appeals;
(10) Description of the process for revision of personnel policies;
(11) Annual evaluations;
(12) Staff quarters and searches; and
(13) Disciplinary measures.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0402 PERSONNEL DEPLOYMENT
(a) The residential child-care facility shall ensure that the deployment of personnel supports the stated mission of the facility.
(b) There shall be a written job description for each position, which includes duties, responsibilities, qualifications, and to whom the position is responsible. Job descriptions shall be consistent with duties being performed.
(c) The residential child-care facility shall have procedures for annual evaluation of the work performance of each employee which provides for employee participation in the process.
(d) The residential child-care facility shall have an organizational plan which delineates the number of staff and levels of supervisors/managers, taking into account the complexity and size of the workload of each staff. The plan must demonstrate supervision of staff in accordance with the rules in Subchapters 70I and 70J, if applicable.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
Amended Eff.
10A NCAC 70I .0403 PERSONNEL FILE
The residential child care facility shall maintain a personnel file for each employee which includes the following:
(1) The application for employment including the record of previous employment;
(2) Documentation of at least two references and a criminal record check;
(3) Medical information required for each staff by licensure standards;
(4) Signed confidentiality agreement if applicable;
(5) Position specific credentials/certifications;
(6) Record of completed orientation and ongoing staff development;
(7) Annual performance evaluations;
(8) Documentation of disciplinary actions;
(9) Documentation of grievances filed;
(10) Employee's starting and termination dates;
(11) Reason for termination;
(12) Signed and dated release or notation of employee's waiver of release for future employment references; and
(13) Documentation of a driving record check, if applicable.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0404 PERSONNEL QUALIFICATIONS
(a) Criminal Records Check. Applicants, employees or volunteers who have a history of criminal convictions that would adversely affect their capacity and ability to provide care, safety and security for the children in residence shall not be permitted to provide direct child care. A signed statement shall be obtained attesting that the applicant, employee or volunteer does not have such a record prior to providing direct child care.
(b) Child Abuse. Employees or volunteers who have a criminal conviction of child abuse shall not be permitted any contact with children.
(c) Driver's License. Employees or volunteers driving a residential child care facility vehicle must possess a valid driver's license appropriate for the type of vehicle used.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0405 PERSONNEL POSITIONS
(a) Director. There shall be a full-time director for an agency with one or more facilities licensed for 20 or more children. At a minimum, there shall be a part‑time director for an agency with one or more facilities licensed for less than 20 children.
(b) A director shall have management skills that enable the utilization of the residential child-care facility's human and financial resources and the coordination of the facility's services with those provided by other community resources.
(c) The director shall:
(1) Be responsible for the general management and administration of the residential child-care facility in accordance with policies established by the governing board and licensing requirements;
(2) Explain licensing standards, residential child-care standards and the residential child-care facility's services to the board, the facility's constituency, other human service agencies and the public;
(3) Initiate and carry out the program of residential child-care as approved by the governing board;
(4) Report to the governing board on all phases of operation at least quarterly;
(5) Delegate authority and responsibility to staff qualified to ensure the maintenance of the residential child-care facility's operations;
(6) Establish and oversee fiscal practices, present the annual operating budget and quarterly reports to the governing board;
(7) Evaluate, at least annually, the training needs of the staff; plan and implement staff training and consultation to address identified needs;
(8) Employ and discharge staff and meet on a regular basis with administrative and management staff to review, discuss and formulate policies and procedures;
(9) Supervise staff who report directly to the director; and
(10) Conduct an annual individual written evaluation of each staff member who reports directly to the director. This evaluation shall contain both a review of job responsibilities and goals for future job performance.
(d) Clerical, Maintenance and Other Support Personnel. The residential child-care facility shall employ or contract qualified personnel to perform all clerical, support and maintenance duties.
(e) Business and Financial Personnel. The residential child-care facility shall employ or contract personnel to perform all business, accounting and financial functions.
(f) Direct Service Personnel.
(1) Direct service personnel, hired after the effective date of these Rules, shall:
(A) Have education or experience to meet the responsibilities of the job.
(B) Have a physical examination by a licensed medical provider prior to assuming the position and biennially thereafter. This report shall include a statement indicating the presence of any communicable disease which may pose a significant risk of transmission in the residential child-care facility. After the initial examination, the cost of the physical examinations as required by licensure shall be at the expense of the facility.
(C) Have a TB skin test, unless the medical provider advises against this test, prior to assuming the position and annually thereafter.
(2) Standards for direct service personnel in the living unit:
(A) There shall be at least one direct service personnel assigned to every 10 children six years of age and older and at least one direct care personnel assigned for every five children younger than six years of age. Supervisory personnel within voice range shall be allowed to be included in the child to staff ratio;
(B) The residential child-care facility shall ensure that direct service personnel receive supervision and training in the areas of, first aid and CPR, child development, permanency planning methodology, group management, preferred discipline techniques, family relationships, human sexuality, health care and socialization, leisure time and recreation. In addition, the residential child-care facility shall provide training to direct service personnel in accordance with the needs of the client population, including, training in child sexual abuse;
(C) The residential child-care facility shall ensure that direct service personnel receive supervision in food preparation and nutrition when meals are prepared in the living unit; and
(D) Any duties other than direct services duties assigned to direct service personnel shall be specified in writing and assigned in accordance with the residential child-care program.
(3) Standards for supervisory personnel:
(A) There shall be at least one supervisor for every 15 direct service personnel.
(B) Supervisory staff shall be selected on the basis of the knowledge, experience and competence required to manage direct service personnel.
(4) Standards for other direct service personnel: For residential child-care facilities that employ staff as social workers, the following applies:
(A) There shall be at least one social worker assigned for every 16 children. Supervision of social workers shall be assigned as follows:
|
Supervisors Required |
Social Workers Employed |
|
0 |
0-5 |
|
1 |
6 |
|
2 |
7-12 |
|
3 |
13-18 |
|
There shall be one additional supervisor for every one to six additional social workers. |
|
(B) The residential child-care facility shall ensure that staff employed as social workers receive supervision and training in the areas of child development, permanency planning methodology, group dynamics, family systems and relationships, and child sexual abuse;
(C) Staff employed as social workers shall be familiar with community resources for children and their families in addition to the agency's services; and
(D) Any duties other than social work duties assigned to staff employed as social workers shall be specified in writing and assigned in accordance with the residential child-care program.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
Amended Eff.
10A NCAC 70I .0406 AUXILIARY SERVICES PERSONNEL
(a) The residential child care facility shall have available auxiliary services provided by contract to supplement the program of care. These service providers may include, but are not limited to, consultants, contracted services for the program of care, maintenance of the facility, and interns or students.
(b) Consultants shall be practitioners who are recognized by applicable degrees, organizations and appropriate licensing boards. If the residential child care facility contracts with consultants, the facility shall document the consultants' credentials.
(c) Paid consultants shall not be in conflict of interest with the residential child care facility in fact or appearance. They shall have no direct or indirect financial interest in the assets, transactions or services of the agency.
(d) Interns or students shall meet all of the requirements stipulated for the position in which they are serving with the exception of completed education and experience. There shall be a written agreement between the placing educational institution and the residential child care facility specifying responsibilities and supervision of the intern or student.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
10A NCAC 70I .0407 VOLUNTEERS
The residential child care facility shall have a written description of the specific responsibilities and the provision of supervision of all volunteers. Volunteers shall:
(1) Meet the personnel qualifications specified in 10A NCAC 70I .0404.
(2) Meet the qualifications and implement the duties of the position as specified.
(3) Be provided sufficient orientation, training and supervision to enable knowledge of the facility's purpose and services, the needs of children and families served and the role and responsibilities to be assumed.
(4) Provide two references relevant to the role and responsibilities to be assumed.
(5) Agree in writing to abide by the confidentiality policies of the agency.
History Note: Authority G.S. 131D-10.5; 143B-153; Eff.
SECTION .0500 - SERVICE PLANNING
10A NCAC 70I .0501 ADMISSION POLICIES
(a) The residential child care facility shall have written admission policies which clearly define and describe the age, sex and type of child to be served.
(b) The residential child care facility shall limit admissions to children who need out of home care apart from their families and for whom the facility is qualified by staff, program, buildings and services to give appropriate care.
(c) In the case of private referrals, the residential child care facility shall: