Ala. Admin. Code r. 660-5-39-.03

Current through Register Vol. 43, No. 1, October 31, 2024

Section 660-5-39-.03 - Administration

(1)Board of Directors. Where a board exists, the board shall perform the following functions:

(a)The Board and the Department.

1. The board shall consult with the Department prior to establishing a new child-placing agency, changing the purpose, goals and function of the basic program or extending services into additional program or geographic areas.

2. The board shall notify the Department when there is a change of the executive and/or chief officer of the board.

3. The board shall provide financial information to the Department.

(b)Board Responsibilities.

1. The board shall articulate the purpose, goal and function of the child-placing agency.

2. The board shall establish written by-1aws governing the organization, duties and operation of the board.

3. The board shall establish written operating policies concerning organizational structure, personnel practices, and policies of serving children and their families.

4. The board shall provide a plan for regular review and updating of goals, policies, purpose and procedures of the child-placing agency.

5. The board shall acquaint its members with specific requirements of Minimum Standards, and familiarize itself with, and promote, progressive philosophies of child care, and shall seek constantly to provide a professionally sound program for children.

6. The board shall employ a qualified executive and delegate to him/her the responsibility for administration of the child-placing agency.

(c)The Board and Financing.

1. The board shall be responsible for providing operating and capital funds. Financial policies and practices shall be in accordance with sound budgeting, disbursement and audit procedures.

2. The board shall provide evidence that sufficient funds are available to equal twenty-five percent (25%) of the projected operating budget for the first year of operation and annually thereafter.

(i) If the agency charges a fee for adoption services, the executive board shall establish a fee policy and publish it in the agency's operating policy. Such information shall be provided to individuals and families who are considering using the agency's services.

(ii) The board shall assure that voluntary contributions are not accepted nor solicited from adoptive parents during the placement process and prior to the final order of adoption.

3. The board shall approve the annual budget and revisions, if any, to the annual budget in advance of the applicable fiscal period.

4. The board shall provide for proper bonding of board officers and agency employees who handle operating or capital funds.

5. The board shall cause to be conducted an annual or biennial audit of the financial affairs and transactions of the licensed provider by a certified public accountant not on the staff of the child-placing agency nor a member of the board and to make an annual or biennial report of the audit to the State Department of Human Resources upon completion of the report.

6. The board shall provide a copy of the audit to the Department that the chief officer of the board certifies has been presented to the board as a whole. Child-placing agencies operated by a governmental agency shall provide a copy of the annual report of the appropriate fiscal examining authority.

(2)The Executive in the Absence of a Board of Directors. The executive in charge of administration, where a Board of Directors does not exist, shall perform the following functions:

(a)The Executive and the Department.

1. The executive shall consult with the Department prior to establishing a new child-placing agency, changing the purpose, goals and function of the basic program or extending services into additional program or geographic areas.

2. The executive or the person assuming executive responsibilities shall notify the Department in advance when there is a change of the executive.

3. The executive shall provide financial information to the Department.

(b)Executive Responsibilities.

1. The executive shall articulate the purpose, goal and function of the institution.

2. The executive shall establish written operating policies concerning organizational structure, personnel practices, policies of intake, care, services and discharge of children.

3. The executive shall provide a plan for regular review and updating of goals, policy, purpose, and procedures of the child-placing agency.

(c)The Executive and Financing.

1. The executive shall be responsible for providing operating and capital funds. Financial policies and practices shall be in accordance with sound budgeting, disbursement and audit procedures.

2. The executive shall provide evidence that sufficient funds are on hand to equal twenty-five percent (25%) of the projected operating budget for the first year of operation and annually thereafter.

(i) If the agency charges a fee, the executive shall establish a fee policy and publish it in the agency's operating policy. Such information shall be provided to individuals and families who are considering using the agency's services.

(ii) The executive shall assure that voluntary contributions are not accepted nor solicited from adoptive parents during the placement process and prior to the final order of adoption.

3. The executive shall prepare the annual budget in advance of the applicable fiscal period.

4. The executive shall provide for proper bonding of agency employees who handle operating or capital funds of the child-placing agency.

5. The executive shall provide for an opinion audit on an annual basis by a certified public accountant not on staff of the child-placing agency. Such audit shall review the agency's operations to determine if the agency's accounting policies and practices are consistent with standard accounting principles.

6. The executive shall provide a copy of the audit to the Department. Child-placing agencies operated by a governmental agency shall provide a copy of the annual report of the appropriate fiscal examining authority.

(3)Administrative Regulations.

(a) A child-placing agency which provides a full range of services, including, but not limited to, adoption, foster family homes, counseling services, or financial aid, shall maintain an office with a resident executive and staff within the state of Alabama.

1. An out-of-state child-placing agency shall adhere to all applicable terms of the Interstate Compact on the Placement of Children (ICPC).

2. An out-of-state agency placing a child in Alabama, shall have an Alabama licensed child placing agency or private independent practitioner to do the adoption home study, provide post-placement supervision and make reports to the Court.

(b) The child-placing agency shall have a manual of operating policies and procedures regarding its services. The written policies and procedures shall include (where applicable), but need not be limited to, regulations pertaining to:

1. Services to unmarried parents;

2. Procedures for termination of parental rights;

3. Adoption applications and adoption procedures;

4. Fees for services, including fee for counseling during pregnancy period, fees for adoptive applicants, and fees for record research for adult adoptees if such fees are charged by the agency;

5. Foster Family Home applications and approval procedures;

6. Procedures for obtaining temporary custody;

7. Foster care: medical and dental care, allowances, visitations, boarding foster family home payments, etc.; and

8. Interstate and intercountry placement of children.

9. Procedures for granting an exception which will allow for the approval of an application notwithstanding the fact that a household member has a criminal conviction as set out in Rule 660-5-39-.07(4)(a)1.

(a) Each social work supervisor and each social worker shall be provided with a copy of the manual of operating policies and procedures and a copy of said manual shall be made available to the Department.

(b) Written personnel practices and policies developed by the board (or in the absence of a board, by the executive), shall be on file in the child-placing agency and with the Department. A copy of personnel practices and policies shall be provided to each employee.

(c) Administrative files shall include, but are not limited to, the following:

1. Job description for all positions, which shall be reviewed annually by the board and the executive;

2. Policies regulating salaries, fringe benefits, working hours, sick leave, vacations, holidays, retirement and terminations; and

3. A file shall be established for the executive, for each employee and for each volunteer who individually has direct contact with children. The files shall include at least the following:

(i) The application for employment;

(ii) Information regarding the character and suitability of the person to work with children inclusive of:

(I) Recording of impressions gained through interviews with the individual to be employed, particularly his/her attitudes regarding child care;

(II) A written record shall be made concerning any oral reference contacts and such record shall be filed in the applicant/employee record.

(III) Reference contacts: statements from three unrelated references, including at least one previous employer, if previously employed. A written record shall be made concerning any oral reference contact and such record shall be filed in the applicant/employee's record.

(iii) Medical Records Requirements.

(I) Medical examination reports are required, (which shall be kept apart from general personnel files) as a separate, confidential medical record, available only under limited conditions specified under ADA/Section 504. All staff shall have verification of a medical examination as specified below.

(II) Complete an initial physical examination performed by a licensed practicing medical doctor, a physician's assistant (as 34-24-290(2), Code of Ala. 1975) or certified family nurse practitioner within six months prior to an employee starting employment OR within thirty (30) days of employment. A record of the examination shall be on file with the Department or licensed child-placing agency. A DHR-2092, Medical Report for Out of Home Care Provider for Children revised 05/01 (see copy in the Appendix), shall be completed, including the tests specified, and a copy placed in the provider's file.

(III) Every two years from the initial examination (earlier if concerns regarding the mental, physical or emotional health of the employee arise) each employee shall have:

I. A complete physical examination as specified in (I) above, excluding any test not required as often as two years.

II. A statement from a licensed practicing medical doctor, a physician's assistant (as defined in Section 34-24-290(2), Code of Ala. 1975) or certified family nurse practitioner which attests to the employee's freedom from contagious and infectious diseases and his/her physical fitness to care for children or to perform services in a child placing agency.

III. Seek appropriate professional consultation and treatment, if prescribed, when there is indication of a physical, emotional, or mental condition that could be detrimental to the children's care. Said person shall not give care to children until the condition is corrected to the satisfaction of the examining licensed practicing physician and the approving agency.

IV. A record of such examination(s) or physician's statement shall be on file at the child-placing agency as a separate confidential medical record.

(iv) Annual evaluations; and

(v) Any report of misconduct or dereliction of duty shall be handled in accordance with the agency's personnel policies and practices, and a full report of the circumstances, the inquiry procedures followed, and the disposition made shall be recorded. Any report of violation of child-placement laws in Alabama or other states shall be investigated by the Department.

(d) All employees of the child-placing agency shall meet the specific qualifications for their particular jobs, as stated in job description.

(e) All employees must complete a Criminal History Check and it must have been submitted to the ABI and FBI and clearance given, in the form of a suitability letter. If a previous criminal history is older than November 2000 a new criminal history check shall be required before a suitability letter will be issued. (See section on Character and Suitability)

(f) All employees must be cleared through the State Central Registry for Child Abuse/Neglect. (See section on Character and Suitability)

(g) Any staff member shall report to the County Department and to the Family and Children's Services Partnership any knowledge or suspicion of harm or threatened harm to a child's health or welfare through non-accidental physical or mental injury, sexual abuse or attempted sexual abuse; negligent treatment or maltreatment of a child, including failure to provide adequate food, medical treatment, clothing or shelter. Such reports shall be made immediately by telephone or direct oral communication followed by a written report as required under penalty by §§ 26-14-1 through 26-14-13, Code of Ala. 1975. The written report shall be made on DHR-DFC-1593, Report of Suspected Case of Child Abuse/ Neglect.

(h) The child-placing agency shall submit any reports regarding the care of children or the operation of the agency as required. The Monthly Report of Children Under Care or Supervision (BFC-611) shall be submitted to the Department no later than the fifth day of the month following the month for which the report is made.

(i) The child-placing agency shall submit to the Department any other reports regarding the care of children or the operation of the facility.

(4)Administrative Staff.

(a)The Executive.

1. The executive shall have a master's degree in the field of social work, psychology, education, administration, or a related field, plus five years experience in family and children's services with progressively responsible duties in supervision and/or administration.

2. The duties of the executive shall include, but are not limited to, the following:

(i) Direct and evaluate a program of child-placing which is child and family-centered, which is within the limits of function and policy established by the board, or by the executive where there is no board, and which is based upon sound professional concepts;

(ii) Organize the work of the agency and delegate responsibility to various staff members, as appropriate;

(iii) Make regular reports to the board, where applicable, on all aspects of the operation of the agency, and its program;

(iv) Handle expenditures according to allocations in the budget and develop the annual budget in conjunction with the board, where applicable;

(v) Develop a plan for orientation, training, and development of staff;

(vi) Appoint, evaluate and terminate staff;

(vii) Make provision for continuity of administrative authority in his/her own absence;

(viii) Develop a program of public relations, including interpretation to the community;

(ix) Notify the State Department in the event of an incident which is considered to jeopardize the life of a child, staff member or other person; and

(x) Make regular reports to the Department in accordance with requirements by the Department.

(b)Social Workers.

(1) There shall be a supervisor of social services, in addition to the executive, if there are more than the equivalent of two full-time social workers (full-time as defined according to the agency's personnel policies) or if the executive director does not have a master's degree in social work from a school of social work accredited by the Council on Social Work Education plus five years' experience in child placing.

(2) Social workers shall be licensed and shall practice social work pursuant to Code of Ala. 1975, §§ 34-30-1 through 34-30-58.

(i) A supervisor of social services shall be licensed as a graduate social worker or a certified social worker, and shall have a minimum of two years fulltime paid employment in family and children's services, including experience in child placing.

(ii) A social worker shall have at least the following qualifications:

(I) A license as a graduate social worker;

(II) A license as a certified social worker; or

(III) A license as a bachelor social worker with continuing supervision from a person so licensed as specified in (I) or (II) above.

(c)Clerical Staff.

1. Staff shall be selected on the basis of personal and technical qualifications and job descriptions.

2. A sufficient number of managerial and support workers shall be employed to carry out business, secretarial and clerical duties, such as maintenance of records, correspondence, fiscal matters, and bookkeeping so that the service of the agency can be carried out.

(d)Other Professional Staff. All other professional staff employed by the child-placing agency shall be qualified and/ or licensed in their professional field.

(e)Ancillary Staff. When the child-placing agency provides the professional services offered by physicians, dentists, psychiatrists, psychologists, teachers and other specialists on a fee basis, these specialists shall be qualified and/or licensed in their respective fields.

(f)Volunteers.

1. If the child-placing agency uses volunteers, it shall:

(i) Develop a plan for the orientation, training and use;

(ii) Develop job descriptions and specify responsibilities of volunteers; and

(iii) Designate a staff member to supervise and evaluate volunteers;

2. Volunteers shall not be expected to assume the total responsibilities of any paid staff member.

3. Records shall be kept on the hours and activities of volunteers.

(5) Staff Development. Any staff that will have direct contact with children.

(a) Orientation

1. New staff shall receive orientation within 30 days of employment. Orientation will cover:

(i) Agency philosophy, policies and procedures

(ii) Generally accepted principles of child care and behavior management practices

(iii) Overview of the Child Care Institution, Group Homes and Child-Placing Agencies

(iv) Confidentiality issues

2. The documentation shall include the name of the person responsible for conducting the orientation and the date and content of the orientation. Completion of orientation shall be documented in the employee's file.

(b) New Hire Training

1. Training consisting of a minimum of thirty (30) hours of actual training time will be given within the first one hundred eighty (180) days of hire.

2. The training shall consist of the following components:

(i) Child Development

(ii) Behavior Management

(iii) The Process of Grief and Loss

(iv) The Dynamics of Attachment and Separation

(v) The Value of Families

(vi) *Individualized Services Plan

(vii) Identifying the Strengths and needs of Families and Children

(viii) Behavior as an Expression of Underlying Needs

(ix) The Value of Partnerships

(x) How Children Enter the Foster Care System

(xi) Family Implications among Agency Personnel

(xii) *Overview of the R.C. Consent Decree

(xiii) Understanding and Valuing Cultural Differences

*Exemptions of these components allowed for agencies not accepting DHR Children into placement.

(c) Continuing Education

1. After the first anniversary of employment, a program of in-service training will provide staff with a minimum of fifteen (15) hours in-service training annually. Participation at conferences and workshops may be included as part of the 15 hours as documented by attendance certificates.

2. Training may include, but is not limited to:

(i) Child Safety Issues

(ii) Crisis Intervention/Engaging Families

(iii) The Impact of the Media on Children*

(iv) Effects of Multiple Placements

(v) Cultural Sensitivity and Responsive Services

(vi) Significance of Birth Families

(vii) Substance Abuse

(viii) Gang Activities

(ix) Universal Precautions and Infection Control

Note: * In cases that DHR holds custody of the child, the social worker with the CPA will contact the DHR social worker to inquire if media involvement may be appropriate.

Ala. Admin. Code r. 660-5-39-.03

Effective October 16, 1989. Emergency amendment effective February 12, 1990. Succedent permanent amendment effective May 9, 1990. Repealed and New Rule: Filed October 7, 2002; effective November 11, 2002.

Amended by Alabama Administrative Monthly Volume XLI, Issue No. 09, June 30, 2023, eff. 8/14/2023.

Author: Jodie Nata

Statutory Authority:Code of Ala. 1975, §§ 38-7-1 through -17, §§ 41-22-1 through -27.