A-C. Record Management/ Section 5. Record Management and Retention

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

1. (NEW) 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. (NEW) 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.

State Attendance Record form. A provider may generate their own form as long as the required information is included.

3. (NEW) 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.

A break would entail a Provider not being in a caregiving capacity or counted in the staff to child ratio, for example, leaving the family child care for a scheduled lunch break. The record of staff hours worked and breaks daily may be recorded on the daily attendance sheet.

Staff and volunteer hours need to be documented. It can be included as part of daily attendance, but with breaks included might be easier on a separate form/spreadsheet. For sole providers you can more easily note your hours on the daily attendance form. Making note of any volunteer or emergency coverage.

4. Maintain a separate record of all reports of alleged Child Abuse or Neglect made in accordance with 22 MRS §4011-A.

5. (NEW) 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.

State fire drill form. Providers may use their own form as long as it includes required information (see state form). Your fire drill record can also be kept in an online format.

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

7. (NEW – check definitions)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. (NEW) Providers must draft and follow a records management and retention policy, which must include provisions for access to Child records by Legal Guardians.

*SUGGESTION: (Business Name) Care Agreement contains the entire agreement and understanding between myself as the provider and a child’s parents/legal guardians as to the services of child care provided by (Business name). A child’s parents/legal guardians has access to review all records maintained on their child by (Business name).

7. (NEW) Providers must maintain clean, readable records in an orderly, accessible format.

*REMINDER: These can be written/hardcopy or online or a combination of both.

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. (NEW) Inspection of records. Records must be made available for inspection by Providers and Staff Members upon request by the Department.

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