10-148-33 Me. Code R. § 5

Current through 2024-25, June 19, 2024

Section 148-33-5 - RECORD MANAGEMENT AND RETENTION

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

1. Maintain a separate file for each Staff Member and Child served. These records must be retained for a minimum of three years after the Child leaves care or the 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. The list must be available for inspection by the Department and be kept on site for three years.

3. Record of actual hours worked and break times in which the Provider or 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. Maintain a separate record of all reports of alleged Child Abuse 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 of Health and Human Services, the Department of Public Safety, State Fire Marshal's Office, and local fire inspectors.

6. A record of rabies vaccinations for all pets on the Premises.

7. Providers 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.

8. Providers must draft and follow a records management and retention policy, which must include provisions for access to Child records by Legal Guardians.

9. Providers must maintain clean, readable records in an orderly, accessible format.

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 by Providers and Staff Members upon request by the Department.

D.Child records. 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 on the Premises for 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, street address 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 child care;

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 Provider's 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), if applicable;

r. Signed acknowledgement by the Parent or Legal Guardian that the Provider 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/Legal Guardian for use of sunscreen; and

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

2. Providers 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 Staff Members.

1. Personnel records must be stored in a confidential location.

2. The personnel record must contain:

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

b. Documentation of training,

c. Dates of employment and termination of 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 Staff Member certifying that the most current licensing rule has been read and understood;

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

f. Documentation of any disciplinary action;

g. Documentation of completed background checks in the form of a Provider Letter of Eligibility, issued by the Department, that specifies the Staff Member is Eligible for employment.

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

F.Household members. Documentation of a background check in the form of a Provider or Staff Member Letter of Eligibility must be available for licensing review for anyone who is 18 years of age or older and resides on the Premises, or who has unsupervised access to Children who are cared for or supervised by the Provider.

G.Record of overcapacity. The Provider must record for the Department the times, reasons and numbers of Children involved when more than 12 Children are cared for as provided in Section 7 of this Rule.

H.Code compliance. The Provider must maintain, and provide to the Department on request, documentation that indicates that the Provider complies with local codes and ordinances, including zoning, or a statement from the locality that no approval is required.

10-148 C.M.R. ch. 33, § 5