10-148-32 Me. Code R. § 5

Current through 2024-25, June 19, 2024

Section 148-32-5 - RECORD MANAGEMENT AND RETENTION

A.Record management. Facilities must comply with the following:

1. The Child Care Facility must maintain a separate file for each Child Care Staff Member and Child served. These records must be retained by the Child Care Facility for a minimum of three years after the Child leaves care or the Child Care Staff Member leaves employment. Child and Personnel records must be available for inspection by the Department.

2. All attendance records must include date, year, start and end time of daily attendance for each group of Children. The list must be available for inspection by the Department and be kept on site for three years.

3. The Child Care Facility must record actual hours worked and break times in which Child Care Staff Members are not in a caregiving capacity and are not counted in the staff to Child ratio. This record must be available for inspection by the Department and be kept on site for three years.

4. The Child Care Facility must maintain a separate record of all reports of alleged Child abuse and/or neglect made in accordance with 22 MRS §4011-A.

5. A record of fire drills for the preceding three years must be available for inspection by the Department; the Department of Public Safety, State Fire Marshal's Office, and local fire inspectors.

6. The Child Care Facility must draft and follow a records management and retention policy, which must include provisions for access to Child records by legal guardians.

7. Child Care Facilities must maintain clean, readable records in an orderly, accessible format.

8. A record of rabies vaccinations for all pets on the premises.

9. Child Care Facilities that offer swimming and wading activities must keep a written record of the type, date, time and duration of the water safety emergency procedures training and drills required in Section 15 of this Rule.

B.Falsification of records. Falsification of records is a Class D crime under 17-A MRS §453 and may result in action by the Department.

C.Inspection of records. Records must be made available for inspection upon request by the Department, without the consent of the Child or their legal guardian.

1. Only authorized Child Care Staff Members may access the organization's records, on a need to know basis.

2. During business hours, authorized Child Care Staff Members at each service location must be able to locate and access records maintained in on-site and off-site locations.

D.Child records. Child records must be stored in a central location and may only be accessed by authorized Child Care Staff Members. Child records must be updated annually and maintained in an organized fashion.

1. A record must be completed at the time of admission and maintained in the Child Care Facility on each Child in care (including relatives) and must include:

a. Name, birth date, street address and mailing address of the Child;

b. Name, street address, mailing address and telephone number of parent(s) or legal guardian(s);

c. Places of employment of parent(s) or legal guardian(s), if employed;

d. The current telephone number of parent(s)' or legal guardian(s)' employers;

e. A method of contacting the parent(s) or legal guardian(s) while the Child is in care;

f. The name and telephone number of a person other than the parent(s) or legal guardian(s) to contact in case the parent(s) cannot be reached in an emergency;

g. Copy of financial agreement with parent(s) or legal guardian(s);

h. Dates of enrollment and termination;

i. Record of immunizations must be on file for every Child attending the program, including relatives and Children of Child Care Staff Members who are present in the program more than one day each month;

j. Names and telephone numbers of the Child's physician and family dentist. If there is no identified family doctor or dentist, it must be noted on the Child record form;

k. Signed authorization to dispense medication, if applicable;

l. Signed authorization to obtain emergency medical care;

m. Names of persons who are permitted by the parent(s) or legal guardian(s) to remove the Child from the facility premises;

n. A same-day record of all injuries, including serious injuries, Accidents, and Incidents or emergencies which reflects the time and date of verbal or written notification of Parent or Legal Guardian. The signature of the Parent or Legal Guardian must be obtained on the Incident report within 48 hours of the event.

o. Written record of significant changes in appearance and/or hygiene upon arrival, or significant changes in behavior (such as: increased aggression, withdrawal, sexual acting out, and/or prolonged tantrums) and other health conditions, if known;

p. Known allergies and other health conditions, including related health plans as needed,

q. Any relevant documentation of medical necessity (for example, sleeping in a non-horizontal position or avoiding the use of sunscreen), if applicable;

r. Signed acknowledgement by the parent or legal guardian that the program handbook has been received and read;

s. Signed permission for use or distribution of images or personal information of the Child on any publications, social media, or promotional materials;

t. Signed permission from the Child's parents before allowing the Child to participate in any high-risk activity, including but not limited to swimming, horseback riding and using a trampoline. The permission must be updated at least annually, and indicate the type and location of activity:

u. Written permission from the parent/guardian for use of sunscreen;

v. Signed permission to transport the Child, if applicable; and

w. Signed permission for the Child to leave the premises.

2. Child Care Facilities must place a written explanation in the Child's record explaining why any required information is missing.

E.Personnel records. A personnel record must be kept for all Child Care Staff Members.

1. Personnel records must be stored in a confidential and central location at all times and may only be accessed by authorized Child Care Staff Members.

2. The personnel record must contain:

a. Name, current street and mailing address, birth date and current telephone number;

b. Documentation of ongoing training,

c. Dates of employment and termination of Child Care Staff Members. Reasons for termination must be kept in the personnel record for a minimum of one year;

d. A statement signed and dated by each Child Care Staff Member certifying that the most current licensing rule has been read and understood;

e. A statement signed and dated by each Child Care Staff Member certifying that the program personnel policies, admission policies, and Parent handbook have been read and understood;

f. Documentation of any disciplinary action;

g. Documentation of completed background checks and eligibility for hire issued by the Department, in accordance with 45 CFR § 98.43; and

h. Documentation of medical examination declaring that employees are free from communicable diseases, as required for Nursery School Child Care Staff Members according to 22 MRS §8402(3)(A).

i. Education, experience, and other qualifications;

j. An annual evaluation of each Child Care Staff Member's performance by the Director or immediate supervisor signed by the Director and evaluator; and

k. Immunization records.

l. The Child Care Facility must document all orientation and training of all Child Care Staff Members by proof of completion from a qualified on-line or in-person source.

3. Active Child Care Staff Members may review, add, and correct information contained in their records. Access to active and inactive personnel records is limited to authorized Child Care Staff Members on a need-to-know basis.

10-148 C.M.R. ch. 32, § 5