10A NCAC 70I .0403         PERSONNEL FILE

A residential child-care facility shall maintain a personnel file for each employee (full-time, part-time and contracted) which includes the following:

(1)           application for employment including the record of previous employment;

(2)           documentation of at least three references; 

(3)           applicable position specific credentials or certifications (prior to employment certified college transcripts shall be obtained for positions requiring college degrees);

(4)           medical information required for each staff by licensure standards (initial and biennial medical examinations, initial TB test and medical history form);

(5)           signed statement indicating the employee's understanding of and willingness to comply with confidentiality agreement requirements;

(6)           signed statement that the employee has no criminal convictions that would adversely affect his or her capacity and ability to provide care, safety and security for the children in residence;

(7)           criminal record checks certified by the Clerk of Superior Court;

(8)           results of the search of the North Carolina Sex Offender and Public Protection Registry;

(9)           results of the search of the North Carolina Health Care Personnel Registry (pursuant to G.S. 131E-256);

(10)         results of the search of the Responsible Individuals List as defined in 10A NCAC 70A .0102 which indicates the employee has not had child protective services involvement resulting in a substantiation of child abuse or serious neglect;

(11)         a signed statement that the employee  has not abused or neglected a child or has been a respondent in a juvenile court proceeding that resulted in the removal of a child or has had child protective services involvement that resulted in the removal of a child;

(12)         signed statement that the employee has not abused, neglected or exploited a disabled adult;

(13)         signed statement that the employee has not been a domestic violence perpetrator;

(14)         record of completed orientation;

(15)         log of training;

(16)         written approval letter from executive director or his or her designee authorizing employee to administer physical restraint holds, if applicable;

(17)         annual performance evaluations;

(18)         documentation of disciplinary actions;

(19)         documentation of grievances filed;

(20)         employee's starting and termination dates;

(21)         reason for termination;

(22)         signed and dated release or notation of employee's waiver of release for future employment references; and

(23)         documentation of a driving record check, if applicable.


History Note:        Authority G.S. 131D-10.5; 131D-10.6; 143B-153;

Eff. July 1, 1999 (See S.L. 1999, c.237, s. 11.30);

Amended Eff. October 1, 2008;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 5, 2016.