Chapter 9: Administration
9.4.1 Facility Records/Reports
126.96.36.199: Maintenance of Records
The facility should maintain the following records:
- A copy of the facility’s license, insurance coverage, child care regulations or registration, all inspection reports, correction plans for deficiencies, and any legal actions;
- Physical health records for any adult who has direct contact with children;
- Training records of the caregiver/teacher and any assistants;
- Criminal history records and child abuse and neglect records, as required by state licensing regulations;
- Results of well-water tests where applicable;
- Results of lead tests;
- Insurance records;
- Child health records;
- Attendance records and sign-in/sign-out records, as well as authorization for pick-up;
- List of reportable diseases;
- Incident reports;
- Fire extinguisher records and smoke detector and carbon monoxide detector battery checks;
- Evacuation, emergency, and shelter-in-place drill records;
- Play area and equipment warranty, maintenance, and inspection records;
- Consultation records;
- Medication administration logs; and
- Nutrition and food service records.
The length of time to maintain records should follow state regulation requirements. A sample of a state regulation is below.
RATIONALEOperational control to accommodate the health and safety of individual children requires that information regarding each child in care be kept and made available on a need-to-know basis. These records and reports are necessary to protect the health and safety of children in care.
An organized, comprehensive approach to injury prevention and control is necessary to ensure that a safe environment is provided for children in child care. Such an approach requires written plans, policies, and procedures, and record keeping so that there is consistency over time and across staff and an understanding between parents/guardians and caregivers/teachers about concerns for, and attention to, the safety of children.
COMMENTSA file of all purchased equipment and toys with warranty information and model numbers will help identify items that have hazard warnings or are recalled by the U.S. Consumer Product Safety Commission (CPSC). A photo of the purchased items can be added to the file.
A sample of state regulations for length of time to maintain records is below.
Retention of Records
- Documentation of the previous twelve months activity should be available for review. Records should be accessible during the hours the facility is open and operating.
- For licensing purposes, children’s information should be kept on file a minimum of one year from date of discharge from the facility.
- For licensing purposes, personnel records should be kept on file a minimum of one year from termination of employment from the facility.
- For licensing purposes, staff training certificates and continuing education certificates should be kept on file for a minimum of five years for currently employed staff (1).
TYPE OF FACILITYCenter, Early Head Start, Head Start, Large Family Child Care Home, Small Family Child Care Home
RELATED STANDARDS188.8.131.52 Staff Recruitment
184.108.40.206 Initial Orientation of All Staff
220.127.116.11 Orientation for Care of Children with Special Health Care Needs
18.104.22.168 Orientation Topics
22.214.171.124 First Aid and Cardiopulmonary Resuscitation Training for Staff
126.96.36.199 Topics Covered in Pediatric First Aid Training
188.8.131.52 Cardiopulmonary Resuscitation Training for Swimming and Water Play
184.108.40.206 Continuing Education for Directors and Caregivers/Teachers in Centers and Large Family Child Care Homes
220.127.116.11 Continuing Education for Small Family Child Care Home Caregivers/Teachers
18.104.22.168 Training of Staff Who Handle Food
22.214.171.124 Child Abuse and Neglect Education
126.96.36.199 Training on Occupational Risk Related to Handling Body Fluids
188.8.131.52 Pre-Employment and Ongoing Adult Health Appraisals, Including Immunization
184.108.40.206 Notification of the Facility About Infectious Disease or Other Problems by Parents/Guardians
220.127.116.11 List of Excludable and Reportable Conditions for Parents/Guardians
18.104.22.168 Testing of Drinking Water Not From Public System
22.214.171.124 Testing for Lead and Copper Levels in Drinking Water
126.96.36.199 Water Test Results
188.8.131.52 Emergency Safe Drinking Water and Bottled Water
184.108.40.206 Testing for and Remediating Lead Hazards
220.127.116.11 Reports of Annual Audits/Monthly Maintenance Checks of Play Areas and Equipment
18.104.22.168 Records of Proper Installation and Maintenance of Facility Equipment
22.214.171.124 Facility Insurance Coverage
126.96.36.199 Availability of Documents to Parents/Guardians
188.8.131.52 Records of Illness
184.108.40.206 Records of Injury
220.127.116.11 Documentation of Parent/Guardian Notification of Injury, Illness, or Death in Program
18.104.22.168 Review and Accessibility of Injury and Illness Reports
22.214.171.124 Record of Valid License, Certificate, or Registration of Facility
126.96.36.199 Maintenance and Display of Inspection Reports
188.8.131.52 Written Plan/Record to Resolve Deficiencies
184.108.40.206 Availability of Reports on Inspections of Fire Protection Devices
220.127.116.11 Evacuation and Shelter-In-Place Drill Record
18.104.22.168 Documentation of Child Care Health Consultation/Training Visits
22.214.171.124 Records of Nutrition Service
126.96.36.199 Contents of Child’s Records
188.8.131.52 Pre-Admission Enrollment Information for Each Child
184.108.40.206 Contents of Admission Agreement Between Child Care Program and Parent/Guardian
220.127.116.11 Contents of Child’s Primary Care Provider’s Assessment
18.104.22.168 Health History
22.214.171.124 Contents of Medication Record
126.96.36.199 Contents of Facility Health Log for Each Child
188.8.131.52 Maintenance of Attendance Records for Staff Who Care for Children