Family Child Care Providers
Record Keeping in Family Child Care
Produced by the Community Care Licensing Division of the California Department of Social Services
[As the series host speaks off-screen, a family child care provider retrieves a child’s records from a binder and reviews them.]
One of your responsibilities as an operator of a family child care home is to maintain records required by Community Care Licensing. These records include medical and other critical information about the children in care, as well as information about employees and volunteers. [Host onscreen] In this video we’ll review the records you need to keep current at all times, and why it’s important to do so.
[Two licensing representatives speak.]
Community Care Licensing Representative 1:
Accurate and current information about the children in your care is critical. You must be able to respond appropriately when a child requires medical care, whether it is routine or in the event of an emergency. And you must also be able to contact a child’s parent or guardian without delay when necessary.
Community Care Licensing Representative 2:
Information about your employees and volunteers is also important because you as the provider, and we as the licensing agency, need to be certain that everyone who’s caring for children in a licensed facility is both fully qualified to deliver the kind of care and services the job requires and has met all the requirements of state laws and regulations.
CCL Rep #1:
Failure to have all required records can cause serious problems because if critical information is missing or not readily available, it could be a health and safety risk for children in care.
CCL Rep #2:
Failure to have all the required records may result in a citation that requires proof of remedy.
[The host speaks, and the questions she asks are displayed on a white board.]
What type of information do I have to keep for children in my care?
Licensing requires that you keep a child care facility roster–a list of all children who are enrolled at your facility.
[The roster briefly appears: LIC form 9040.]
For each child, licensing requires specific documents in their personal file. These records must be kept up to date as long as the child is enrolled at your facility.
[Licensing form LIC 311D appears—“Forms and Records to Keep in Your Family Child Care Home.”]
And after a child leaves your care, the signed portion of the notification of parents’ rights must be kept on file for 3 years.
[Licensing form LIC 995A appears—“Notification of Parents’ Rights.]
Here are some of the records in each child’s file:
- [Onscreen, licensing form LIC 700] identification and emergency information, including the emergency contact person in the child’s family;
- and consent to seek emergency care for a child, signed by the child’s parent or guardian [Onscreen, form LIC 627];
- notification of parents’ or guardians’ rights, a signed copy by the child’s authorized representative [Onscreen, form LIC 995A];
- and a copy of each child’s California school immunization record [Onscreen, form CDPH 286].
The full list of documents you are required to keep is available on the Community Care Licensing website. One important point: it is best practice to have in your possession copies of each child’s emergency information at all times, including times when care is provided away from the facility.
As a licensed provider, how does record keeping help me?
[As the host speaks off-screen, a provider retrieves a child’s records from a folder and reviews them.]
Accurate records help you address many situations, whether it’s monitoring food allergies, confirming who is authorized to pick up a child from your home, or verifying children’s ages for the purpose of ensuring you don’t exceed the capacity your license permits. Without these records, you may be putting children at risk when a quick response is needed. In addition to gathering this information when you first enroll a child, you should regularly confirm with families that your records are up to date.
What types of personnel records must I keep at my facility?
There are several items that you need to keep on file for yourself, your staff, and volunteers.
[The host speaks as the corresponding content is displayed onscreen.]
You will need documentation of:
- either a criminal record clearance or exemption;
- a signed statement regarding the employee’s criminal record history;
- proof of immunizations against influenza, pertussis, and measles unless there is a valid exemption;
- and proof of TB clearances are also required.
Exemptions for immunizations include:
- medical exemption via note from licensed physician;
- proof of immunity via note from licensed physician;
- a signed declaration that he or she has declined the influenza vaccine;
- or if in an individual begins working or volunteering after December of the previous year and before August of the current year, he or she is exempt from the requirement for the influenza immunization.
For more information about the caregiver background clearance process, watch the video, “Background Check Requirements for Caregivers.”
[The corresponding webpage briefly appears.]
Let’s take a closer look at the information that needs to be in each employee’s personnel record, including your own.
You will need:
- each person’s full name,
- date of birth, current home address,
- driver’s license number,
- telephone number,
- and the date the person began employment at the facility.
You will also need a signed and dated copy of the notice of employee rights, LIC 9052 [The corresponding form briefly appears], and information about the employee’s previous work experience.
What records are required only for the licensee?
In addition to the personnel records that were just mentioned, the licensee is required to have proof of completion of training in preventative health practices, as well as pediatric first aid and pediatric CPR. A licensee of a large family child care home has to have at least one person available at all times when children are present at the facility who has a current certificate in pediatric first aid and pediatric CPR.
What records do I need to maintain for adults residing in my home?
For adults residing in your home, you are required to have documentation of either a criminal record clearance or exemption. TB clearances are also required.
What items do I post in my facility where everyone can see them?
Licensing regulations require that the following items be clearly posted:
[The items appear as the host names them.]
- the family child care home notification of parents’ rights poster,
- your family child care license,
- and a notice of all visits to your facility by Community Care Licensing representatives.
These notices must be posted for 30 days following the visit. Also, for serious deficiencies that result in citations, you must post the information for 30 days.
How should I maintain these required records?
To manage your records, we suggest this process. Go to the Community Care Licensing website [The website briefly appears] and download the forms required for staff, volunteers, and children in your care. Complete the forms, making sure you obtain all the required signatures. Make individual files for each child and each staff member. Also, create files for all other required documents in order to find them easily.
You don’t have to follow this model exactly. For example, you can create your own forms unless otherwise noted in regulations or statute. However, you have to be sure forms you create include all the required information. And licensing staff need to be able to easily verify that the information is accurate and current. Some exceptions are: each child’s emergency medical information must be kept on an emergency information card [Onscreen, form LIC 627], and immunizations need to be documented on the California school immunization record. [Onscreen, form CDPH 286] Lastly, whether you use licensing forms or your own, all required records must be on file at the facility.
Remember to keep in mind these key points about recordkeeping in family child care. At your facility, maintain complete and up-to-date individual records for yourself, as well as each child, staff member, and any adults residing in the home. When your records are up to date and easy to access, you will not only be in compliance with licensing requirements, you’ll also be in a better position to respond effectively to emergency situations. And remember, it is best practice to have in your possession copies of the children’s emergency information at all times, including times when care is provided away from the facility.
State of California