Code of Massachusetts Regulations
606 CMR - DEPARTMENT OF EARLY EDUCATION AND CARE
Title 606 CMR 5.00 - Standards for the Licensure or Approval of Agencies Offering Child Placement and Adoption Services
Section 5.04 - Administration of the Placement Agency

Universal Citation: 606 MA Code of Regs 606.5

Current through Register 1531, September 27, 2024

(1) Statement of Purpose . Each licensee shall maintain a written statement of purpose. The primary purpose of each agency shall be to assure that, whenever possible, each child will be raised by a permanent, loving and caretaking family. Agencies shall actively recruit foster and adoptive parents from diverse cultural, ethnic and socioeconomic backgrounds. Each agency shall, to the extent consistent with the best interest of the child, promote the optimal growth and individual development of all persons receiving its services.

(a) This statement shall include the following:
1. The agency's philosophy, goals and objectives;

2. The characteristics of children and families served;

3. The types of placements provided, including family foster care, residential, and adoption, specifying the type of adoption placements provided, e.g., identified, open, inter-country, interstate, infant, special needs, if applicable;

4. A description of the means the agency will use to identify children needing placement, and to identify and/or recruit prospective adoptive and foster parents;

5. A description of the services provided to families, expectant parents, children and their parents, birth parent, foster and adoptive parent applicants, foster and adoptive parents and adult adoptees.

(b) This statement shall make clear which services are provided directly by the agency, by referral, or through written agreements with other persons. If the licensee administers several programs at different locations, appropriate services and resources shall be identified for each location.

(c) The licensee shall keep this statement current by reflecting substantial changes in the agency's purpose, policy, procedures and services, and shall submit any revised statements to the Department. The licensee shall make this statement available upon request to any person.

(2) Organization .

(a) Each licensee shall have documentary evidence of its sources of authority to operate the agency.
1. An agency operated by the Commonwealth or any political subdivision thereof shall keep and maintain documents that identify the statutory basis of its existence and the administrative framework of the governmental departments in which it operates.

2. Each other agency shall maintain documents that identify its ownership, current list of officers, articles of incorporation, by-laws and identity of its incorporators and board of directors.

(b) Each licensee shall designate one person who is responsible for administrative supervision, and is duly authorized to act as an agent for the licensee and to oversee the operation of the agency.

(c) Each licensee shall maintain an organizational table showing the administrative structure of the agency, including the lines of authority, responsibility, communications and staff assignment.

(d) Each licensee shall have an advisory board of at least four persons. Such board shall include at least three persons who are not employees, family members of employees, or family members of the licensee. The advisory board members shall be familiar with children's needs and placement activities. If the agency's board of directors meets the requirements of 606 CMR 5.04(2)(d) then the board may function as the agency's advisory board.
1. The advisory board shall make recommendations on the agency's policy regarding agency structure, agency evaluation, personnel and services provided. The agency shall document the reason for any differences between these recommendations and the agency's activities.

2. The advisory board shall meet at least annually or more often if necessary to meet the above purposes.

3. Copies of the minutes of the advisory board meetings shall be maintained.

(e) The licensee shall provide evidence that it has completed its own annual written evaluation of its overall program which shall give special attention to its performance in promoting permanency for the children in its care, and shall include:
1. the number of children, parents, expectant parents, foster parents and adoptive parents served in the previous year. Foster care agencies shall indicate the number of children served who came into placement following adoption, their age at time of adoption and whether the adoption was a domestic or foreign placement;

2. the number of complaints received during the year and a description of the resolution in each case;

3. an evaluation of the success of any interagency agreements entered into during the year;

4. an assessment of the general effectiveness of the agency in relation to its stated goals and objectives; and

5. any recommendations for change in the subsequent year.

6. In addition, all adoption placement agencies shall include in their annual evaluation:
a. the number of adoptive parent applicants provided financial assistance during the previous year and a description of the assistance provided;

b. the number of expectant parents provided financial assistance during the previous year, and a description of the assistance provided;

c. the number of families receiving post placement or post-adoption services during the previous year, including the type of services sought, the ages of the adopted children, their age at time of placement, their country of origin, and the results of those services.

(f) Each licensee shall have a procedure for involving foster and adoptive parents, birth parents, and adult adoptees in the development of agency policy.

(3) Administration .

(a) Each licensee shall designate one person who shall manage the operation of the agency in accordance with policies established by the agency board of directors.

(b) All employees on duty shall know who is responsible for administrative supervision of the agency at all times.

(c) Each licensee shall establish a system of business management and staffing to assure that the agency maintains complete and accurate accounts, books and records, including required financial, personnel and children's, foster and adoptive parent applicants', foster and adoptive parents' and birth parents' records.

(d) The licensee shall develop a written plan and follow procedures for conducting internal investigations within the agency or in foster or adoptive homes supervised by the agency. Such procedures are to be used for any complaints, incidents, and upon request of the Department, including suspected incidents of child abuse and/or neglect and cases of death or serious injury to a child placed by the agency. The licensee shall, within 24 hours, forward a copy of its investigation report to the Department.

(e) The licensee shall have a written plan for staff to file a report of abuse or neglect with the Department of Children and Families, pursuant to M.G.L. c. 119, § 51A.

(f) The licensee shall have a written plan for notifying the Department immediately after learning that a 51A Report has been filed alleging abuse or neglect of a child placed in an adoptive home by the agency, and for notifying the Department immediately of the death or injury resulting in hospitalization of a child in placement.

(g) Complaint and Grievance Procedure . The agency shall have written guidelines which establish an equitable procedure for receiving, considering, deciding upon and appealing complaints from children, expectant parents, parents, birth parents, foster and adoptive parents and foster and adoptive parent applicants and staff. A copy of the complaint policy shall be made available to all persons receiving services. A signed acknowledgment of receipt of the complaint policy must be maintained in the child's, birth parents', foster parents', adoptive parents', and foster or adoptive parent applicants' file. The complaint policy must include at a minimum:
1. a provision that the complaint will be handled by someone other than the person who worked directly on the complainant's case;

2. an indication whether the complaint may be filed in writing or verbally;

3. a provision that all complaints will be investigated and that a written decision regarding the complaint will be sent to the complainant within 30 days of receipt of the complaint;

4. a requirement that written agency decisions be sent to the complainant along with the written appeal process in the language spoken by the complainant.

(h) Complaint and Grievance Procedure Appeal . The appeal procedure shall include the opportunity for the complainants to avail themselves of at least one level of administrative review above line staff and their immediate supervisors. Such procedure shall include, but not be limited to:
1. a statement that the appeal must be filed in writing;

2. time lines for filing and making a decision on an appeal;

3. a requirement that an appeal decision be sent in writing to the complainant in the language spoken by the complainant.

(i) Record of Complaints, Grievances and Appeals .
1. In accordance with its grievance and appeal procedure, the licensee shall maintain written records of all complaints and grievances, copies of all internal investigation reports and the results and/or decisions resulting from complaint, grievance and appeal procedures.

2. A record of each complaint or grievance shall be maintained in the file of the involved child, parent and/or family.

(j) Provision and Explanation of Agreements . The licensee shall provide expectant parents, parents, birth parents, foster and adoptive parents a clear explanation in their own language of every term of any agreement before they sign it. The licensee shall provide birth parents, foster and adoptive parents with a copy of any agreement they sign.

(k) Emergency Assistance . The licensee shall provide a telephone number and a system of emergency assistance to parents, expectant parents, foster parents, adoptive parents, birth parents and children. This system shall be in place on a 24-hour per day, seven days per week basis.

(4) Required Notifications .

(a) Upon request of the Department, each agency shall make available to the Department any information required to be kept and maintained under 606 CMR 5.00. Each agency shall also make available to the Department any other information reasonably related to the evaluation of the placement agency.

(b) The licensee shall provide prior notification in writing to the Department of any change of location or ownership of the agency.

(c) Prior to any substantial changes in the program or policy, the licensee shall give written notification to the Department of the intent to change. Notice shall be given to allow the Department sufficient time to determine whether any change in licensing status is necessary, and shall not become effective until approved by the Department. Such substantial changes include, but are not limited to, any reduction of services changes in the population to be served or in countries of origin or referral sources for placement of children and/or revision to the policies and procedures required by 606 CMR 5.00.

(d) The licensee shall provide notification in writing to the Department of any change in the chief administrative person of the agency, the Director of Social Services, as required by 606 CMR 5.06(1). Such notification shall occur within two weeks after such a change occurs. Any change in the membership of the advisory board or board of directors as required by 606 CMR 5.04(2)(a)2. and 5.04(2)(d) shall be provided upon request by the Department and at the time of renewal.

(e) Within ten days of receipt of notice of the initiation of civil, criminal, or administrative action against the licensee or any person employed by the licensee, the licensee shall notify the Department in writing. Such notification is required only if the legal proceedings arise out of circumstances related to the care or treatment of children, expectant parents, parents, foster or adoptive parents, foster or adoptive parent applicants, or birth parents, or to the continued operation of the agency, excluding individual custody, guardianship, or adoption proceedings.

(f) The licensee shall immediately report to the Department any serious incident or death of any child who is in the care or custody of the licensee.

(g) The licensee shall notify the Department immediately after learning that a 51A Report has been filed alleging abuse or neglect of a child by an agency employee, and shall prohibit the allegedlyabusive or neglectful employee having unsupervised contact with children until the Department of Children and Families has completed its investigation and has determined that the allegation is unsupported, and until the Department has investigated the allegation and determined that the employee may resume his/her normal duties.

(h) The licensee shall immediately notify the Department whenever it learns that a 51A Report has been filed against a foster home or foster parent.

(i) A licensee that holds a license for placement of children in family foster care must submit to the Department quarterly a report on all 51A Reports filed against approved foster homes and foster parents.

(j) A licensee that holds a license for adoption placement shall immediately report to the Department any complaint or grievance against the agency or its staff.

(k) A licensee that holds a license for adoption placement shall notify the Department within one week following termination of a second pre-placement agreement with adoptive parent applicants, entered pursuant to 606 CMR 5.10(7)(b).

(l) The licensee must notify the Department at least 90 days in advance of its intended closing. Such notice shall include a review and update, as appropriate, of the plan for agency closing submitted in accordance with 606 CMR 5.03(2)(a)26.

(5) Personnel .

(a) The licensee shall describe in writing the agency's current personnel policies and practices. A copy of the personnel policies shall be given to each new employee or he or she shall be informed that a copy is available upon his or her request. The personnel policies shall include a description of:
1. criteria and procedures for hiring, assignment, promotion, probation, and suspension or dismissal of an employee;

2. non-discrimination statement;

3. the procedure for handling staff complaints;

4. provisions for vacations, holidays, and leaves.

(b) The licensee shall make available written job descriptions for all positions, including consultants, part-time employees, interns, volunteers and per diem workers. The job descriptions shall include the qualifications for and responsibilities of each position.

(c) The licensee shall establish and describe in writing a salary range including benefits covering all positions and shall provide each employee with information regarding the salary range for his or her position or the procedure for determining his or her salary.

(d) The licensee shall obtain evidence that personnel are currently licensed in the field of social work or a closely related clinical field.

(e) The licensee shall provide orientation for all new employees to acquaint them with the agency's philosophy, organization, program, policies, practices and goals. Each licensee shall describe in writing the agency's plan for staff orientation.

(f) No employee shall be assigned responsibility for agency clients until he or she has completed the required orientation.

(g) The licensee shall provide on-going staff training regarding adoption and foster care appropriate to the size and nature of the agency and staff involved. The training shall include, but not be limited to, current issues in placement. Each licensee shall describe in writing the agency's plan for staff training.

(h) The licensee shall provide or arrange for supervision of each social worker sufficient to maintain professional licensure. Such supervision shall be provided by a person who has prior experience suitable to the goals of the agency. The supervisor shall conduct regularly scheduled supervisory sessions, which must include individual supervision, for the purpose of:
1. providing continuity of planning for each child and family;

2. assuring the best possible services for each child;

3. evaluating the worker's job performance;

4. promoting the worker's professional growth.

(i) The licensee shall require annual written evaluations of its social work staff. The licensee shall afford each social worker or supervisor the opportunity to participate in his or her evaluation, read his or her completed evaluation, comment upon it in writing and sign it. Such written evaluations shall be kept and maintained in the employee's personnel record.
(j) The licensee shall maintain a personnel record for each employee. Such record shall be made available to the Department upon request, and shall include:

1. employee's resume or job application;

2. copies of licenses or certifications held;

3. documentation of reference checks by telephone;

4. documentation of supervision, as required by 606 CMR 5.04(5)(h);

5. annual evaluations as required by 606 CMR 5.04(5)(i);

6. documentation of training as required by 606 CMR 5.04(5)(g);

7. documentation of any disciplinary actions or investigations;

8. documentation of completed background record check evaluation as required by 102 CMR 1.05(2): Employees of Group Day Care, School Age, Residential Programs and Agencies Offering Child Placement and Adoption Services.

(k) If volunteers or interns are used, the licensee shall describe in writing its plan for using volunteer services. The licensee shall have evidence of each volunteer's compliance with 102 CMR 1.05(2): Employees of Group Day Care, School Age, Residential Programs and Agencies Offering Child Placement and Adoption Services. At least one reference check shall be conducted and documented on each volunteer.
1. Volunteers shall possess qualifications in accordance with the services they provide.

2. The licensee shall utilize volunteers in conjunction with an appropriate orientation and on-going, scheduled supervision and training.

(8) Misleading Information . The licensee shall not knowingly and willfully make any statement or prepare or use any document that is known to be false or conceal or misrepresent any material fact, in connection with the provision of services to parents, birth parents, foster or adoptive parents, foster or adoptive parent applicants or children.

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