9.4.3.1: Maintenance and Content of Staff and Volunteer Records

Individual files for all staff members and volunteers, should be maintained in a central location within the facility and should contain the following:

1. The individual’s name, birth date, address, and telephone number;
2. The position application, which includes a record of work experience and work references; verification of reference information, education, and training; and records of any checking for background screenings, driving records, criminal records, and/or listing in child abuse registry;
3. The health assessment record, a copy of which, having been dated and signed by the employee’s primary care provider, should be kept in a confidential file in the facility; this record should be updated by another health appraisal when recommended by the staff member’s primary care provider or supervisory or regulatory/certifying personnel;
4. The name and telephone number of the person, primary care provider, or health facility to be notified in case of emergency;
5. The job description or the job expectations for staff and substitutes;
6. Required licenses, certificates, and transcripts;
7. The date of employment or volunteer assignment;
8. A signed statement of agreement that the employee understands and will abide by the following:
   1. Regulations and statutes governing child care;
   2. Human resource management and procedures;
   3. Health policies and procedures;
   4. Discipline policy;
   5. Guidelines for reporting suspected child abuse, neglect, and sexual abuse;
   6. Confidentiality policy.
9. The date and content of staff and volunteer orientation(s);
10. A daily record of hours worked, including paid planning time and parent/guardian conference time;
11. A record of professional development completed by each staff member and volunteer, including dates and clock or credit hours;
12. Written performance evaluations.

RATIONALE

Complete identification of staff, paid or volunteer, is an essential step in safeguarding children in child care. Maintaining complete records on each staff person employed at the facility is a sound administrative practice. Employment history, a daily record of days worked, performance evaluations, a record of benefits, and who to notify in case of emergency provide important information for the employer. Licensors will check the records to assure that applicable licensing requirements are met (such as identifying information, educational qualifications, health assessment on file, record of continuing education, signed statement of agreement to observe the discipline policy, and guidelines for reporting suspected child abuse, neglect, and sexual abuse).

Emergency contact information for staff, paid or volunteer is needed in child care in the event that an adult becomes ill or injured at the facility.

The signature of the employee confirms the employee’s notification of responsibilities that might otherwise by overlooked by the employee.

COMMENTS

If a small family child care home has employees, this standard would apply.

TYPE OF FACILITY

Center, Early Head Start, Head Start, Large Family Child Care Home, Small Family Child Care Home

RELATED STANDARDS

1.3.1.1 General Qualifications of Directors
1.3.1.2 Mixed Director/Teacher Role
1.3.2.1 Differentiated Roles
1.3.2.2 Qualifications of Lead Teachers and Teachers
1.3.2.3 Qualifications for Assistant Teachers, Teacher Aides, and Volunteers
1.3.2.4 Additional Qualifications for Caregivers/Teachers Serving Children Birth to Thirty-Five Months of Age
1.3.2.5 Additional Qualifications for Caregivers/Teachers Serving Children Three to Five Years of Age
1.3.2.6 Additional Qualifications for Caregivers/Teachers Serving School-Age Children
1.3.2.7 Qualifications and Responsibilities for Health Advocates
1.3.3.1 General Qualifications of Family Child Care Caregivers/Teachers to Operate a Family Child Care Home
1.3.3.2 Support Networks for Family Child Care
1.4.2.1 Initial Orientation of All Staff
1.4.2.2 Orientation for Care of Children with Special Health Care Needs
1.4.2.3 Orientation Topics
1.4.3.1 First Aid and Cardiopulmonary Resuscitation Training for Staff
1.4.3.2 Topics Covered in Pediatric First Aid Training
1.4.3.3 Cardiopulmonary Resuscitation Training for Swimming and Water Play
1.4.4.1 Continuing Education for Directors and Caregivers/Teachers in Centers and Large Family Child Care Homes
1.4.4.2 Continuing Education for Small Family Child Care Home Caregivers/Teachers
1.4.5.1 Training of Staff Who Handle Food
1.4.5.2 Child Abuse and Neglect Education
1.4.5.3 Training on Occupational Risk Related to Handling Body Fluids
1.4.5.4 Education of Center Staff
1.4.6.1 Training Time and Professional Development Leave
1.4.6.2 Payment for Continuing Education
1.5.0.1 Employment of Substitutes
1.5.0.2 Orientation of Substitutes
1.7.0.1 Pre-Employment and Ongoing Adult Health Appraisals, Including Immunization
1.8.2.2 Annual Staff Competency Evaluation
1.8.2.3 Staff Corrective Improvement Plan
2.2.0.6 Discipline Measures
2.2.0.7 Handling Physical Aggression, Biting, and Hitting
2.2.0.8 Preventing Expulsions, Suspensions, and Other Limitations in Services
2.2.0.9 Prohibited Caregiver/Teacher Behaviors
2.2.0.10 Using Physical Restraint
9.2.1.1 Content of Policies
9.2.1.3 Enrollment Information to Parents/Guardians and Caregivers/Teachers
9.2.1.6 Written Discipline Policies
9.3.0.1 Written Human Resource Management Policies for Centers and Large Family Child Care Homes
9.4.1.3 Written Policy on Confidentiality of Records