Current through Register Vol. 43, No. 02, November 27, 2024
(1) Personnel
Files. Administrative files shall include, but are not limited to, the
following information:
(a) Written personnel
policies approved by the board which regulate such practices as salaries,
fringe benefits, working hours, sick leave, vacation, holidays, retirement, and
termination, grievance and training. A copy shall be provided to each
employee.
(b) Qualifications and
job descriptions for all administrative and regular positions. These shall be
reviewed annually by the executive.
(c) Individual personnel files shall be
maintained for the executive and for each employee. A file shall also be
established for each volunteer who individually has direct contact on a
continuing basis with children in circumstances other than under direct
supervision of agency staff. The files shall include at least the following:
1. The application for employment or
volunteer position.
2. Information
regarding the character and suitability of the applicant. This includes but is
not limited to:
(i) Results of criminal record
check,
(ii) Response to Clearance
of State Central Registry On
(iii)
Child Abuse/Neglect (DHR-DFC-1598),
(iv) Documentation of contact with former
employers and references, and
(v)
Other pertinent history.
3. Verification that the employee meets the
specific qualifications for his/her particular job as stated in job
descriptions of the child care facility.
4. Documentation of completion of
training.
5. Signed statement by
the employee confirming that they have read and have an understanding of
Section IV B, Program Child Care Practices outlined in these
standards.
7. Medical examination
reports as required, which shall be kept apart from general personnel files as
a separate, confidential medical record, available only under limited
conditions as specified under ADA/ Section 504.
8. Reports regarding criminal convictions or
charges occurring after the employment of an individual.
(d) In the event of misconduct or dereliction
of duty, a full report of the circumstances, the inquiry procedure followed,
and the disposition made shall be recorded and handled in accordance with the
child care facility's policies.
(e)
Staff records shall be kept for a period of five (5) years after the date of
employment termination. These files shall be made available for review by the
Department upon request.
(2) Medical Requirements. Complete physical
examinations for staff by a licensed practicing medical doctor or physician's
assistant shall be made within three months prior to employment, and record of
the examination shall be on file in the facility as a separate confidential
medical record. The DHR-DFC-737, Medical Report for Persons Giving Care to
Children shall be completed in all respects, including tests specified.
(a) Another medical report form other than
that which is supplied by the Department (DHR-DFC-737) may be used that
includes:
2. The history of any chronic disease and a
statement by the licensed practicing medical doctor or the physician's
assistant indicating whether or not the condition affects the individual's
ability to care for children or to perform services in a child care
facility;
3. A statement by the
licensed practicing medical doctor or physician's assistant as to whether or
not the examination reveals that the person examined is free of any contagious
or infectious disease, physically fit to care for children or to perform
services and does not pose a "direct threat" to the health or safety of others
in a child care facility as outlined under requirements of the American
Disabilities Act.
(b) At
least every four years from the initial examination (earlier if concerns
regarding the mental, physical or emotional health of the employee arise) each
employee shall have:
1. A complete physical
examination as specified above, excluding the tests specified; or
2. A statement from a licensed practicing
medical doctor or physician's assistant 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 care facility.
(c) A record of such examination
or physician's statement shall be on file in the facility as a separate
confidential medical record.
(d) A
staff person, who, upon observation or examination or as a result of tests,
shows indication of a physical, emotional, or mental condition that could be
detrimental to the children or staff, or which would prevent satisfactory
performance of duties, shall not continue work at the center until the staff
person provides a written statement from a licensed practicing medical doctor
indicating that the staff person is able to return to work.
(e) An additional medical or psychological
evaluation shall be required at the discretion of the Department's
representative. A release to allow the Department Office of Licensure
representative to confer directly with the doctor shall be provided on request.
Such report or recommendation shall be maintained in the employee's file for
review by the Department.
(3) Character and Suitability Requirement.
All applicants and holders of a child care license or six-month permit, all
applicants for employment in a paid or voluntary position, and all current
employees in paid or voluntary positions must be suitable and of good moral
character in order to operate or work in a child care facility.
(a) All applicants shall be investigated to
determine character and suitability to hold a license/permit or work in a child
care facility. Information regarding the character and suitability shall be
reviewed by the Department at the time of initial application.
(b) For purposes of this requirement, an
applicant includes all board members and officers of corporations,
partnerships, associations, or other legal entities having direct contact with
the children in care. Because staff family members living in the home or
visiting overnight shall also be of good character and suitability, a criminal
background check shall be obtained on these individuals.
(c) Upon promulgation of these regulations,
the applicant/ licensee shall conduct a character and suitability review on all
applicants for employment in a paid or voluntary position, and all current
employees in paid or voluntary positions. The review shall consist of the
following components:
1. Review of Past
History
2. Criminal History
Check
3. Clearance of State Central
Registry On Child Abuse/ Neglect.
(d) Evidence of unsuitable character may be
the basis for the denial of an initial application or renewal, or the
suspension, or revocation of a license or six-month permit.
(e) The character and suitability of a
licensee/permit holder, staff member, or applicant for employment, in a paid or
voluntary position, to hold a license or six-month permit or to work in a child
care facility may also be assessed by a review of the past history of the
individual regarding their veracity and their ability to care for children.
Past history to be considered includes but is not limited to the following:
1. False or misleading statements made by the
individual to the Department or other Government facility personnel regarding
incidents or events occurring while on the job or surrounding part of any child
abuse or neglect investigation conducted by the Department, law enforcement or
other government officials are considered as evidence of unsuitable
character;
2. Applicants for a
license/six month permit and holders of licenses/six month permits who are
discovered to have had a history of operating without a license and refusal to
cease operations and apply for a license or permit or refusal to allow the
Department to conduct investigations regarding their activities or allegations
of abuse and neglect or history of noncompliance with minimum standards are
also considered as evidencing unsuitable character.
(f) All applicants for a license or six-month
permit and all staff members and applicants for employment in paid or voluntary
positions, must reveal on their application all past criminal convictions/or
charges, except for minor traffic violations, since age 16. Driving Under the
Influence is not considered a minor traffic violation and must be reported to
the Department.
(g) All applicants
for a license or six-month permit and all staff members and applicants for
employment in paid or voluntary positions shall submit authorization for
release of Alabama criminal history information by completing the ABI-46
Release Form to the Alabama Bureau of Investigations (ABI) with instructions to
send the results to the Department for licensee/permit holders and to the
facility director for staff members or applicants for employment in a paid or
voluntary position. Fees required shall be paid by the facility or employees of
the facility.
(h) No applicant
shall be hired, or volunteer services used if convicted of a crime in this or
another state at any time if a State court of competent jurisdiction has
determined a felony conviction for any of the following crimes. Also, an
applicant shall not be hired, or volunteer's services used if convicted as an
accessory to a crime that involves a felony conviction for one of the following
offenses:
1. Any abuse or neglect against a
child,
2. Any felony against a
child,
3. Any assault or abuse
against a domestic partner or former domestic partner,
4. Any crime which has violence or threat of
violence against any person. This includes but is not limited to any
sex-related crime (including those listed under the Community Notification
Act). This includes the following crimes:
(i)
rape in the first or second degree;
(ii) sodomy in the first or second
degree;
(iv) promoting
prostitution in the first or second degree;
(v) arson in the first or second
degree;
(vi) serious intentional,
reckless or negligent physical injury, danger or death of any person such as
but not limited to: murder, homicide, manslaughter, assault with a weapon,
criminal negligence;
(vii) stalking
or aggravated stalking;
(viii) any
solicitation, attempt or conspiracy to commit any of the above
crimes.
(i) An
applicant will not be hired, or volunteer's services used if the record check
reveals that within the past five (5) years a court of competent jurisdiction
determined a felony conviction for any of the following crimes. Also, the
applicant will not be hired, or volunteer's services used if convicted as an
accessory to a crime that involves a felony conviction for one of the following
offenses:
1. physical assault against someone
other than a child, domestic partner, or former domestic partner in which a
weapon or deadly instrument was not used (see above if committed against a
child, domestic partner, or former domestic partner or if a weapon or deadly
instrument was used).
3. a felony drug-related
offense. This includes a felony DUI.
(j) The licensee or permit holder, and all
staff members must advise the facility's director or administrator and the
Department of all criminal convictions and /or current criminal charges,
including Driving Under the Influence which occurred after the licensee/permit
holder attains a license/ permit or during the course of employment with the
child care facility. Such reports shall be made within 24 hours and will be
followed by a written report within five (5) days. This information shall be
kept in the individual's file.
(k)
The character and suitability of a licensee/permit holder, staff member, or
applicant for employment, in a paid or voluntary position, to hold a license or
six-month permit or to work in a child care facility shall also be assessed by
a clearance of the State Central Registry on Child Abuse/ Neglect.
1. At the time of initial application, a
completed Request for Clearance of State Central Registry on Child
Abuse/Neglect (DHR-DFC-1598) shall be submitted by the licensee/permit holder,
staff member, or applicant for employment, in a paid or voluntary position.
Completed forms shall be kept in the individual's file. NOTE: Subsequent
Request for Clearance of State Central Registry on Child Abuse/Neglect
(DHR-DFC-1598) may be requested at any time.
2. A review shall be conducted on all
applicants for a license/permit, staff members, and all applicants for
employment, who are discovered to have been determined by a child or adult
protective service agency in any state, to have perpetrated the abuse or
neglect of a child or adult.
3.
Determinations which fall within the general subject area outlined under
Criminal Records check above, even if no criminal conviction has occurred, are
considered as evidence of unsuitable character.
4. Employment or approval shall be denied,
terminated or the approval revoked if persons are determined to not be of
appropriate character or suitability to work with or provide care and
supervision for children.
(4) Job Descriptions and Qualifications. Any
child care facility accepting referrals from the Department of Human Resources
shall be certified by the Department as being in compliance with all laws
pertaining to non-discrimination (Title VI of the Civil Rights Act of 1964 and
Section 504 of the Rehabilitation Act of 1973, and Americans With Disabilities
Act of 1990).
(a) There shall be a board of
directors active in an administrative and/or advisory capacity. Their
responsibilities shall be as follows:
1. The
board or its designee shall consult with the Department prior to establishing a
new child care facility, changing the purpose, goals or 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 or its
designee shall provide financial information to the Department.
4. The board shall articulate the purpose,
goal, and function of the child care facility and establish written job
descriptions and qualifications.
5.
The board shall establish written by-1aws governing the organization, duties
and operation of the board.
6. The
board shall ensure the establishment of written operating policies including,
but not limited to: organizational structure, administration, personnel
practices, intake, discharge, program, and behavior management
practices.
7. The board shall
distribute to its members copies of the prescribed regulations for child care
facilities. The board shall employ a qualified executive, and delegate to
him/her the responsibility for administration of the child care
facility.
8. The board shall be
responsible for providing operating and capital funds. Financial policies and
practices shall be in accord with sound budgeting, disbursement, and audit
procedures.
9. 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.
10. The
board shall approve the annual budget and revisions, if any, to the annual
budget, in advance of the applicable fiscal period.
11. The board shall provide for proper
bonding of board officers and child care facility employees who handle
operating or capital funds of the child care facility.
12. 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 care facility 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.
13. The board shall
provide a copy of the audit, which the chief officer of the board certifies has
been presented to the board as a whole, to the Department. Child care
facilities operated by a governmental agency shall provide a copy of the annual
report of the appropriate fiscal examining authority.
(b) Executive responsibilities shall be as
follows:
1. Maintain knowledge of the
licensing standards, operating policies and personnel policies;
2. Direct, evaluate, and articulate a program
of child care within the limits of function and policy established by the
board;
3. Make regular reports to
the board on all phases of the operation of the child care facility and its
program;
4. Make regular reports to
the Department in accordance with requirements by the Department;
5. Prepare the annual budget, and handle
expenditures according to budget allocations;
6. Organize the work of the child care
facility and delegate responsibility to various staff members, as appropriate,
including the appointing, evaluating and termination of staff;
7. Make provision for continuity of
administrative authority in his/her own absence;
8. Assess the total operation of the child
care facility and its program annually, report to the board the successes,
barriers, strengths and needs, and make appropriate recommendations;
9. The executive shall not be assigned, nor
assume, any primary responsibility for fund-raising or other activities that
necessitate extended absences from the child care facility or which interferes
with his/her administrative responsibilities in conducting the child care
facility program, unless another full-time staff member is assigned
responsibility and authority for the day-to-day operation of the child care
facility.
(c) Executive
qualifications shall be as follows:
1. A
baccalaureate degree in the field of social work, psychology, administration,
or a related field, from a college or university accredited by one of the six
regional accrediting associations of the United States.
2. A minimum of 24 months' successful
full-time, paid employment in family and children's services, including
progressively responsible administrative and/or supervisory
experience.
3. Graduate training in
administration, education, psychology or social work at an accredited graduate
school may be substituted in lieu of up to 12 months of the experience listed
above. One academic year may substitute for 6 months' experience, and two
academic years for 12 months' experience (i.e. completion of a two-year
graduate program will require only an additional 12 months experience rather
than the 24 months as stated above).
(d) Child Care Staff Responsibilities shall
be as follows:
1. Provide direct care and
supervision of children;
2. Every
child care staff worker who directly supervises children shall be off at least
24 consecutive hours per week for which they are not working in a child care
worker capacity;
3. When two relief
staff are unavailable, one child care staff worker shall be permitted to
provide relief for the two regular child care staff, as long as staff to child
ratio is maintained.
(e)
Child Care staff qualifications shall be as follows:
1. A high school diploma or a GED
certificate. Staff hired prior to March, 2000 who do not hold a high school
diploma or GED may retain their child care position for the facility in which
they are employed as of March, 2000.
2. Training or experience in child
development issues;
3. Physical
health adequate to participate, when appropriate, in the activities of
children, as documented by the required medical examination;
4. Minimum age of 19 years old.
(f) Relief Staff shall provide for
care and supervision of children when child care staff are off duty.
(g) Relief staff shall meet the same
qualifications for employment as child care workers.
(h) Social workers' service staff
responsibilities shall be as follows:
1. The
child care facility shall employ its own social service staff, or
2. Contract with a cooperating agency or
private individual to provide social services;
3. A written agreement shall be signed
between the child care facility and the social service agency providing such
services. The agreement shall detail specific duties to be performed for the
child care facility relative to admissions, discharges and Care/Treatment
Plans.
(i) Staff
rendering social services must meet at a minimum one of the following criteria:
1. A social worker licensed under Alabama law
shall be licensed and shall practice social work pursuant to Alabama Act No
652, (Regular Session 1977) effective November 23, 1978 and Alabama Act
2016-313, §1.
2. The social
worker shall have at least one of the following qualifications. The individual
may be licensed at the following levels:
(i) A
license as a master social worker (LMSW), or
(ii) A license as an independent clinical
social worker (LICSW), or
(iii) A
license as a bachelor social worker (LBSW) with continuing supervision from a
person licensed as specified above.
(iv) A licensed professional counselor (LPC)
under Alabama law specific in
Code of Ala. 1975,
§
34-8A-7(1) through
(7) or
(v) An associate licensed counselor (ALC)
under Alabama law specific in
Code of Ala. 1975,
§
34-8A-8(1) through
(3). The associate licensed counselor may not
practice without direct supervision by a licensed professional counselor. The
plan for supervision of the associate licensed counselor is to be approved by
the Alabama Board of Examiners in Counseling prior to any actual performances
of counseling on the part of the associated licensed counselor.
(vi) A psychologist licensed under Alabama
law.
(vii) All other professional
staff employed by the child care facility shall be qualified in their
occupational fields or licensed in their professional fields.
(j) For those child care
facilities using volunteers, the volunteer responsibilities shall be as
follows:
1. Volunteers shall not be permitted
to assume total responsibilities or duties of any paid staff member;
2. Written job descriptions and
responsibilities shall be developed for all volunteers;
3. A staff member shall be designated to
supervise and evaluate the activities of the volunteers;
4. A file will be maintained on the
schedules, hours worked and activities of volunteers.
(2) Staff Development (all staff,
including volunteers).
(a) New staff shall
receive orientation within 30 days of employment.
(b) Orientation will cover the following
topics:
1. Agency philosophy, policies, and
procedures;
2. Generally accepted
principles of child care and behavior management practices;
3. Overview of the Child Care Institution,
Group Homes, and Child Placing Agencies;
4. Confidentiality issues.
(c) This program must be under the
supervision of qualified staff and appropriate to the position being assumed by
the new employee;
(d) Completion of
orientation shall be documented in the employee's file;
(e) New hire 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.
(f) The training shall consist of the
following components:
3. The process of grief
and loss;
4. The dynamics of
attachment and separation;
5. The
value of families;
6.
*Individualized Service Plan;
7.
Identifying the strengths and needs of families and children;
8. Behavior as an expression of underlying
needs;
9. The value of
partnerships;
10. How children
enter the foster care system;
11.
Family implications among agency personnel;
12. *Overview of the R.C. Consent
Decree;
13. Understanding and
valuing cultural differences.
*Exemptions of these sections allowed for agencies not
accepting DHR children into placement.
(g) 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.
(h)
Training may include, but is not limited to the following components:
2. Crisis intervention/engaging
families;
3. The impact of the
media on children;
4. Effects of
multiple placements;
5. Cultural
sensitivity and responsive services;
6. Significance of birth families;
9. Universal precautions and infection
control.