10- 148 C.M.R. ch. 37, § 8

Current through 2024-25, June 19, 2024

Section 148-37-8 - PERSONNEL QUALIFICATIONS AND TRAINING

A.QUALIFICATIONS

1.Personnel qualifications. The Facility's personnel must be qualified to provide services by education, training, supervisory experience, licensure, or the equivalent, consistent with job descriptions and required qualifications to meet the needs of youth. The Facility must comply with the requirements of 22 M.R.S. §8110(2).

a. The Program administrator must have a bachelor's degree and a minimum of three (3) years' experience in human services.

b. Direct care workers must have a high school diploma or equivalent.

c. A Facility employing any person not possessing the usual qualification for the position as outlined in the job description must have a written statement placed in the personnel file justifying such decision.

2.Verification. The Facility must verify and document the references and credentials of prospective personnel, including: education; training; relevant experience; employment and professional recommendations; and state registration, licensing or certification for the respective discipline, if any.

3.Exercise good judgment and professional boundaries. Staff members, volunteers, and interns must exercise good judgment and must not engage in any action or practice that may be detrimental to the welfare of the youth. Staff members must:

a. Comply with Facility policies and procedures;

b. Act professionally, with integrity, objectivity and equity;

c. Treat all individuals in a respectful, non-judgmental way;

d. Comply with this licensing rule;

e. Not become involved in youth personal lives beyond the scope of their professional function;

f. Not have personal relationships with or accept gifts or services from current or former clients; and

g. Not share any program or client information on social media.

4.Background checks. An individual must not work until background checks are completed and must not work unsupervised with youth until orientation training is completed in accordance with Section 8(B), (C), and (D) of this rule.

5.References. The Facility must determine the suitability and capability of prospective staff, in part, by at least three reliable and satisfactory references from persons not related to the applicant.

6.Job descriptions. The Facility must have written job descriptions for personnel. Job descriptions must state the qualifications, job expectations, essential position functions, responsibilities, appropriate licensure, and supervisory relationships for each position or group of like positions.

7.Volunteers and interns. A Facility engaging volunteers and interns must:

a. Complete background checks on all volunteers and interns as required in Section 8(B) and 8(C);

b. Routinely supervise volunteers by a paid staff member;

c. Orient and train volunteers in the philosophy of the Facility and the needs of youth and methods of meeting those needs;

d. Perform character and reference checks comparable to those for employment applicants for volunteers and interns;

e. Provide a job description for each volunteer or intern position;

f. Make a copy of this rule available to each volunteer and intern; and

g. Require written acknowledgement that they have read and understand the policies, and retain the written acknowledgment in the volunteer or intern's records.

8.Supervision of staff. The Facility must assign a supervisor to each staff member. Supervisors must meet with assigned staff, individually or in a group setting, at least one hour per month, and document the supervisory session(s).

9.Staff evaluation. Within 90 days of date of hire, and annually thereafter, all personnel must participate in an evaluation of job performance by an assigned supervisor. Each staff member must be provided with a copy of their evaluation.

B.COMPREHENSIVE BACKGROUND CHECKS

1.Individuals required to undergo comprehensive background checks. All staff members of a Facility are subject to a comprehensive background check.

2.Individuals not required to undergo comprehensive background checks. Comprehensive background checks are not required for delivery persons, contractors performing maintenance or repairs, or waste removal persons.

3.Components of a comprehensive background check. The following registries, repositories, and databases must be checked for each staff member:

a. National Crime Information Center (NCIC) National Sex Offender Registry and Federal Bureau of Investigation (FBI) fingerprint check using Next Generation Identification.

b. In the State where the individual resides: State Child Abuse and Neglect registry/database, State Bureau of Identification (SBI) or comparable State agency's crime repository with fingerprints, and State Sex Offender Registry.

c. State Child Abuse and Neglect registry/database check for each state where the individual has resided within the preceding five years.

4.Process required for fingerprint based criminal background check.

a. Staff members must consent to having their fingerprints taken.

b. Facilities must email ResidentialCheck.DHHS@maine.gov and provide the name and date of birth of the staff member after fingerprinting has occurred. The Background Check Unit (BCU) within the Office of Child and Family Services will upon receipt of the criminal history report, make a determination regarding eligibility status and will email the status of "eligible" or "ineligible" to the Facility. The BCU will mail via United States Postal Service an official letter of eligibility to the Facility representative and directly to the staff member.

5.Process required for Child Abuse and Neglect Check and Sex Offender Registries.

a. Facilities must submit their request and payment directly through the online portal www.maine.gov/online/cpsbackgroundcheck. The results will be emailed back to the requestor. When there is an open/pending child abuse or neglect investigation regarding the staff member for whom a request has been made, the request shall be held until final determination has been made.

b. As applicable, the Facility must request a search of all child abuse and neglect registries, repositories, and databases for each State where the individual has resided within the previous five (5) years.

c. Facilities must request national and state sex offender registry checks.

6.Facility Responsibility.

a. A staff member must not be hired or begin working until the Facility receives notice that the staff member is eligible for hire based on returned criminal history and in-state child abuse and neglect checks and the staff member is not known as a substantiated abuser of a child.

b. When an out-of-state child abuse and neglect registry check has been requested and the agency has not yet received results but has received eligible results from criminal history and in-state child abuse and neglect searches, the prospective staff member may be hired. A substantiated finding of Child Abuse or Neglect from an out of state registry check is a disqualifier which results in the status of ineligible for further employment.

c. When a current staff member becomes ineligible either at the five-year renewal or at any time during employment due to a new disqualifier, the Facility may no longer employ the staff member.

7.Frequency of comprehensive background checks and agency record retention. All components of the comprehensive background check must be completed at least once every five (5) years for each staff member. The Facility must keep a current record of all employee background check results on site and available for immediate inspection by the Department. If an employee ends employment with one Facility and begins employment with another, another comprehensive background check must be completed.

8.Ineligible for Employment. An individual is ineligible to work in a Facility if any of the following information is found in the individual's comprehensive background check:

a. Registration on a State or National Sex Offender Registry, or information that the individual is required to be listed on such a registry;

b. A substantiated finding of Child Abuse or Neglect by the Department or any comparable agency of another state;

c. Felony conviction for any of the following crimes:

i. Child abuse or neglect;

ii. Spousal abuse;

iii. A crime against children, including child pornography;

iv. A crime involving violence (including rape, sexual assault, or homicide);

v. Physical assault or battery within the preceding five years; or

vi. A drug-related offense committed during the preceding five (5) years.

d. An individual will be determined ineligible if they refuse to consent to a background check or knowingly make materially false statements in connection with such a background check.

9.Discretionary background checks. The Department may, at its discretion, request that a staff member sign a release authorizing the Department to conduct a background check with the SBI, the State's child abuse and neglect database, and the state sex offender registry.

10.Comprehensive background check appeal rights. If a staff member is ineligible due to the results of the background check, the Staff Member Letter of Eligibility will include the basis for the individual's ineligibility along with information regarding right to appeal.

a. Factual accuracy of information. An individual who is determined ineligible because of disqualifying information found in one of the registries, repositories, and/or databases searched and who disputes the factual accuracy of the disqualifying information may request review of the disqualifying information directly by the agency that maintains that registry, repository, or database. A staff member who prevails in their appeal process must obtain a Staff Member Letter of Eligibility.

b. Substantiation of Child Abuse or Neglect. Individuals who receive a letter that they are ineligible due to a substantiated finding of Child Abuse or Neglect in Maine by the Department may request an appeal pursuant to the 10-148 Code of Maine Rules Chapter 201. Listing on another state's child abuse and neglect registry must be appealed pursuant to that state's laws and procedures. A staff member who prevails in their appeal process must obtain a Staff Member Letter of Eligibility.

C.OTHER REQUIRED BACKGROUND CHECKS

1.Maine Bureau of Motor Vehicles. Facilities must check the driving record of staff members who are expected, or reasonably anticipated, to operate a motor vehicle to transport youth. Staff members must have the proper license to drive the class of motor vehicles being used.

a. The following offenses disqualify a staff member from driving youth for a period of five years from date of conviction:

i. Motor vehicle-related conviction, accident, or moving violation related to operating under the influence of intoxicants;

ii. Operating while license is suspended or revoked;

iii. Driving to endanger;

iv. Refusing to stop for a law enforcement officer; or

v. Criminal speeding.

b. The following offenses disqualify a staff member from driving youth, whenever committed:

i. Motor vehicle violation resulting in death;

ii. Aggravated refusing to stop for a law enforcement officer; or

iii. Criminal homicide in operation of a motor vehicle.

2.Professional Registries. Facilities must check for any disciplinary action by applicable licensing boards and listing or annotation on applicable registries for each staff member.

3.Adult Protective Check. Facilities must request the Department's Office of Aging and Disability Services search its records to determine whether any staff member has been substantiated for abuse, neglect or exploitation of an incapacitated or dependent adult. Facilities must submit the request via email to APSCheck.DHHS@maine.gov. If the Facility employs a staff member with a substantiated finding of abuse, neglect, or exploitation of an incapacitated or dependent adult, the Facility must determine that youth in the care of the Facility would not be endangered by the staff members employment and must document the rationale for this decision in the employee's personnel record. Facilities must comply with this provision within 6 months of the effective date of this rule for all current staff members.

D.PERSONNEL TRAINING

1.Staff orientation and training. The Facility must ensure that staff members participate in orientation, training and development that provide information necessary to effectively perform their job responsibilities; promote opportunities for learning and skill enhancement; and promote awareness of and sensitivity to the cultural backgrounds and needs of the population served. Training must be done by individuals qualified by education, training and experience.

2.Orientation training requirements. Any other person (including volunteers and interns) who has direct access to youth must be oriented and trained in at least the following areas. Multiple topics may be covered in the same training:

a. The Facility's policies and standard operating procedures;

b. Emergency and safety procedures;

c. Bloodborne pathogens including universal precautions and infection control procedures;

d. Effective crisis intervention techniques, including recognition of suicide warning signs;

e. Recognizing, identifying, and reporting child abuse and neglect; and

f. Confidentiality.

3.Annual training requirements. During each year of full-time employment staff members must receive training in at least the following areas. Multiple topics may be covered in the same training:

a. Bloodborne pathogens, including universal precautions and infection control procedures;

b. Positive youth development;

c. The Facility's policies and standard operating procedures;

d. Effective crisis intervention techniques, including recognition of suicide warning signs;

e. Medication administration, including psychotropic medications and Naloxone;

f. Recognizing, identifying, and reporting child abuse and neglect;

g. Licensing rules pertinent to daily operation of the Facility;

h. Emergency and safety procedures as well as the Facility's emergency preparedness plan;

i. Professionalism and boundaries;

j. Confidentiality;

k. Sexual orientation and expression;

l. Cultural competency and diversity;

m. Effects of alcohol and drug use;

n. Impact of trauma on homeless youth;

o. Human trafficking; and

p. Active attack response including active shooter.

4.Biennial training requirements. At least one direct care worker per shift per building must have a valid, current infant, child, and adult CPR and first aid certificate.

5.Training record. A record of orientation and training must be maintained for each staff member, intern, and volunteer. The training record must include the date, title, and name of trainer. A description of training content must be available for review by the Department.

10- 148 C.M.R. ch. 37, § 8