Chapter 10A NCAC 27G

SUBCHAPTER 27G - RULES FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES, AND SUBSTANCE ABUSE FACILITIES AND SERVICES SECTION .0100 - GENERAL INFORMATION 10A NCAC 27G .0101 SCOPE (a) This Subchapter sets forth rules for mental health, developmental disabilities and substance abuse se…

10a NCAC 27g .0102 COPIES OF RULES Copies of these Rules are available from DMH/DD/SAS at a price to cover printing, handling and postage. History Note: Authority G.S. 122C-23; 122C-24; 122C-26; 143B-147; Eff. May 1, 1996; Pursuant to G.S. 150B-21.3A, rule is necessary without su…

10a NCAC 27g .0103 GENERAL DEFINITIONS (a) This Rule contains definitions that apply to all of the rules in this Subchapter. (b) Unless otherwise indicated, the following terms shall have the meanings specified: (1) "Accreditation" means the authorization granted to an area progr…

10A NCAC 27G .0104 STAFF DEFINITIONS The following credentials and qualifications apply to staff described in this Subchapter: (1) "Associate Professional (AP)" within the mental health, developmental disabilities and substance abuse services (mh/dd/sas) system of care means an i…

SECTION .0200 - OPERATION AND MANAGEMENT RULES 10a NCAC 27g .0201 GOVERNING BODY POLICIES (a) The governing body responsible for each facility or service shall develop and implement written policies for the following: (1) delegation of management authority for the operation of th…

10A NCAC 27G .0202 PERSONNEL REQUIREMENTS (a) All facilities shall have a written job description for the director and each staff position which: (1) specifies the minimum level of education, competency, work experience and other qualifications for the position; (2) specifies the…

10A NCAC 27G .0203 COMPETENCIES OF QUALIFIED PROFESSIONALS AND ASSOCIATE PROFESSIONALS (a) There shall be no privileging requirements for qualified professionals or associate professionals. (b) Qualified professionals and associate professionals shall demonstrate knowledge, skill…

10A NCAC 27G .0204 COMPETENCIES AND SUPERVISION OF PARAPROFESSIONALS (a) There shall be no privileging requirements for paraprofessionals. (b) Paraprofessionals shall be supervised by an associate professional or by a qualified professional as specified in Rule .0104 of this Subc…

10a NCAC 27g .0205 ASSESSMENT AND TREATMENT/HABILITATION OR SERVICE PLAN (a) An assessment shall be completed for a client, according to governing body policy, prior to the delivery of services, and shall include, but not be limited to: (1) the client's presenting problem; (2) th…

10A NCAC 27g .0206 CLIENT RECORDS (a) A client record shall be maintained for each individual admitted to the facility, which shall contain, but need not be limited to: (1) an identification face sheet which includes: (A) name (last, first, middle, maiden); (B) client record numb…

10a NCAC 27g .0207 EMERGENCY PLANS AND SUPPLIES (a) Each facility shall develop a written fire plan and a disaster plan and shall make a copy of these plans available to the county emergency services agencies upon request. The plans shall include evacuation procedures and routes.…

10a NCAC 27G .0208 CLIENT SERVICES (a) Facilities that provide activities for clients shall assure that: (1) space and supervision is provided to ensure the safety and welfare of the clients; (2) activities are suitable for the ages, interests, and treatment/habilitation needs of…

10a NCAC 27g .0209 MEDICATION REQUIREMENTS (a) Medication dispensing: (1) Medications shall be dispensed only on the written order of a physician or other practitioner licensed to prescribe. (2) Dispensing shall be restricted to registered pharmacists, physicians, or other health…

10a NCAC 27G .0210 RESEARCH REVIEW BOARD (a) For purposes of this Rule, "research" means inquiry involving a trial or special observation made under conditions determined by the investigator to confirm or disprove a hypothesis, or to explicate some principle or effect. The term "…

10a ncac 27G .0212 DISCLOSURE OF FINANCIAL INTEREST OF PROVIDERS OF MH/DD/SA SERVICES TO POTENTIAL CLIENTS (a) When a provider refers a potential client to another provider in which the referring provider holds a financial interest, the referring provider shall disclose and docum…

SECTION .0300 - PHYSICAL PLANT RULES 10a NCAC 27g .0301 COMPLIANCE WITH BUILDING CODES (a) Each new facility shall be in compliance with all applicable portions of the North Carolina State Building Code in effect at the time of licensing. (b) Each facility operating under a curre…

10a NCAC 27g .0302 FACILITY CONSTRUCTION/ALTERATIONS/ADDITIONS (a) When construction, use, alterations or additions are planned for a new or existing facility, work shall not begin until after consultation with the DHSR Construction Section and with the local building and fire of…

10a NCAC 27g .0303 LOCATION AND EXTERIOR REQUIREMENTS (a) Each facility shall be located on a site where: (1) fire protection is available; (2) water supply, sewage and solid waste disposal services have been approved by the local health department; (3) occupants are not exposed …

10a NCAC 27g .0304 FACILITY DESIGN AND EQUIPMENT (a) Privacy: Facilities shall be designed and constructed in a manner that will provide clients privacy while bathing, dressing or using toilet facilities. (b) Safety: Each facility shall be designed, constructed and equipped in a …

SECTION .0400 - LICENSING PROCEDURES 10a NCAC 27g .0401 LICENSE REQUIRED (a) No person shall establish, maintain or operate a licensable facility within the meaning of G.S. 122C-3 without first applying for and receiving a license from the DHSR. (b) Except for facilities excluded…

10a NCAC 27g .0402 LICENSE ISSUANCE (a) Applications for licensure shall be requested and completed on the form provided by DHSR at least 30 days prior to the planned operation date of a new facility. Copies of reports, findings or recommendations issued by any accreditation agen…

10a NCAC 27g .0403 DEEMED STATUS (a) A facility may be awarded a deemed status and licensed if it is certified or accredited by a nationally recognized agency that the Commission has determined to maintain certification or accreditation standards that meet or exceed the standards…

10A NCAC 27G .0404 OPERATIONS DURING LICENSED PERIOD (a) An initial license shall be valid for a period not to exceed 15 months from the date on which the license is issued. Each license shall be renewed annually thereafter and shall expire at the end of the calendar year. (b) Fo…

10a NCAC 27g .0405 LICENSE DENIAL, AMENDMENT OR REVOCATION (a) Denial: DHSR may deny an application for license based on the determination that: (1) the applicant is not in compliance with rules promulgated under G.S. 122C, for the facility which the applicant is seeking licensur…

10A NCAC 27G .0406 LETTER OF SUPPORT REQUIRED FOR LICENSURE OF RESIDENTIAL FACILITIES (a) An applicant for licensure of a residential facility shall submit with the application a letter of support obtained from the local management entity (LME) in the catchment area where the res…

SECTION .0500 - AREA PROGRAM REQUIREMENTS 10a NCAC 27g .0501 REQUIRED SERVICES Each area program shall provide or contract for the provision of the following services: (1) Outpatient for Individuals of all Disability Groups; (2) Emergency for Individuals of all Disability Groups;…

10a NCAC 27g .0502 AREA PROGRAM/HOSPITAL AGREEMENT (a) Each area program shall make provisions for inpatient services for individuals with mental illness or substance abuse disorders, including access for both voluntary and involuntary admissions. The area program may provide the…

10a NCAC 27g .0503 STAFF REQUIREMENTS Each area program shall employ or contract for the services of a: (1) psychiatrist; (2) licensed psychologist; (3) psychiatric nurse; (4) psychiatric social worker; (5) certified alcoholism counselor and certified drug abuse counselor, or at …

10a NCAC 27g .0504 CLIENT RIGHTS COMMITTEE (a) The area board shall bear ultimate responsibility for the assurance of client rights. (b) Each area board shall establish at least one Client Rights Committee, and may require that the governing body of a contract agency also establi…

10A NCAC 27G .0505 NOTIFICATION PROCEDURES FOR PROVISION OF SERVICES (a) If an area program plans to operate or contract for a service located within the catchment area of another area program, the Director of the area program that plans to operate or contract for the service sha…

10A NCAC 27G .0506 COMMUNICATION PROCEDURES FOR OUT OF HOME COMMUNITY PLACEMENT (a) The purpose of this Rule is to address communication procedures concerning out of the home-community placements for children and adolescents. This includes children and adolescents served through …

10A NCAC 27G .0507 AREA BOARD ANNUAL EVALUATION OF AN AREA DIRECTOR (a) This Rule governs the annual evaluation of Area Directors. (b) Area Boards shall evaluate, but not be limited to, the Area Director's performance in each of the following areas: (1) Relationship with the Boar…

section .0600 – area authority or county program monitoring of facilities and services 10A NCAC 27G .0601 scope (a) This Section governs Local Management Entity (LME) monitoring of the provision of public services in the LME's catchment area. (b) The LME shall monitor the provisi…

10a NCAC 27G .0602 DEFINITIONS In addition to the terms defined in G.S. 122C-3 and Rules .0103 and .0104 of this Subchapter, the following terms shall apply to the rules in this Section: (1) "Complaint investigation" means the process of determining if an allegation made against …

10a NCAC 27G .0603 incident response requirements for CATEGORY a and b providers (a) Category A and B providers shall develop and implement written policies governing their response to level I, II or III incidents. The policies shall require the provider to respond by: (1) attend…

10A NCAC 27G .0604 incident reporting requirements for category a and b providers (a) Category A and B providers shall report all level II incidents, except deaths, that occur during the provision of billable services or while the consumer is on the providers premises or level II…

10A NCAC 27G .0605 LOCAL MANAGEMENT Entity MANAGEMENT OF INCIDENTS Upon learning of a level III incident that occurs while a client is in the care of a provider or on a provider's premises, the LME shall respond by: (1) determining that necessary actions have been taken to protec…

10A NCAC 27G .0606 REFERRAL OF COMPLAINTS TO LOCAL MANAGEMENT ENTITIES PERTAINING TO CATEGORY A OR CATEGORY B PROVIDERS (a) The Local Management Entity shall respond to complaints received concerning the provision of public services or client rights pertaining to Category A and B…

10A NCAC 27G .0607 COMPLAINTS PERTAINING TO CATEGORY A OR CATEGORY B PROVIDERS EXCLUDING ICF/MR FACILITIES History Note: Authority G.S. 122C-112.1; 143B-139.1; Temporary Adoption Eff. July 1, 2003; Eff. July 1, 2004; Repealed Eff. August 1, 2009.

10A NCAC 27G .0608 LOCAL MONITORING (a) The Local Management Entity shall develop and implement written policies governing local monitoring of Category A and B providers. The written policies shall address: (1) the frequency and extent of local monitoring based on the following: …

10A NCAC 27G .0609 LOCAL MANAGEMENT ENTITY REPORTING REQUIREMENTS (a) As part of its quality improvement process as set forth in Rule .0201(a)(7) of this Subchapter, the LME shall review, not less than quarterly, patterns and trends in: (1) level I, level II and level III inciden…

10A NCAC 27G .0610 REQUIREMENTS CONCERNING THE NEED FOR PROTECTIVE SERVICES (a) If the circumstances identified surrounding an incident, complaint or local monitoring give reasonable cause to believe that a disabled adult receiving services from a Category A or Category B provide…

SECTION .0800 - WAIVERS AND APPEALS 10a NCAC 27g .0801 SUBMISSION OF REQUESTS FOR WAIVERS OF RULES Requests for waivers of these Rules insofar as they affect the issuance, renewal, revocation or suspension of licenses shall be submitted to the Director of DHSR in accordance with …

10a NCAC 27g .0802 CONTENTS OF WAIVER REQUESTS Except as provided in Rules .0806 and .0813 of this Section, waiver requests shall be in writing and shall contain: (1) the name, address and telephone number of the person making the request; (2) the name, address and telephone numb…

10a NCAC 27g .0803 PROCEDURE FOR WAIVERS BY COMMISSION If any rule for which waiver is requested was adopted pursuant to the rule-making authority of the Commission, the procedures set forth in this Rule shall be followed: (1) The person requesting the waiver shall be notified re…

10a NCAC 27g .0804 WAIVERS REQUESTED BY COMMISSION (a) Any member of the Commission may initiate a request for waiver of any rule adopted pursuant to the rule-making authority of the Commission, or the rule-making authority delegated to the Division Director by the Secretary as d…

10a NCAC 27g .0805 PROCEDURE FOR WAIVERS BY DIVISION DIRECTOR If the rule for which a waiver is requested was adopted pursuant to the rule-making authority delegated by the Secretary, the procedures set forth in this Rule shall be followed: (1) Decisions regarding waiver requests…

10a NCAC 27g .0806 WAIVERS REQUESTED BY DIVISION DIRECTOR (a) The Division Director may initiate a request for waiver of rules adopted pursuant to the rule-making authority of the Commission as described in this Section. (b) Except when requesting a waiver on behalf of one or mor…

10a NCAC 27g .0807 RESERVED FOR FUTURE CODIFICATION

10a NCAC 27g .0808 APPEALS PROCEDURES FOR CONTRACT PROVIDERS (a) Pursuant to G.S. 122C-151.3, an area authority shall establish written procedures for the resolution of disputes regarding decisions of an area authority with a contractor, former contractor, client or person assert…