Section 60. Records

A. General requirements.

1. Any forms used for record keeping shall contain at minimum the information specified in these Standards. Model forms, which may be copied, will be supplied by the department upon request.

2. If any model form developed by the department is not used, the substitute form shall be approved by the department.

3. All records shall be kept in a locked area.

4. The licensee shall have the responsibility for assuring that all records are treated confidentially and that information shall be made available only when needed for proper care of the children referred to homes who are members of the system. (EXCEPTION: All records shall be made available for inspection by the department's representative. See 22VAC40-120-10 D 3 b.)

B. Written policies and procedures. The following written policies and procedures shall be developed by the system. Copies shall be maintained in a permanent file within the system office. Those so identified shall also be permanently filed in homes that are members of the system.

1. Policies and procedures pertaining to operation and management of the system:

a. Written goals which clearly describe the philosophy and objectives of the family day-care system and address those areas specified in 22VAC40-120-20 C 1. A copy of these written goals shall be provided to each home that is a member of the system.

b. Written policies and procedures which address system services to be provided to member homes and services to be provided to children and their families. (See 22VAC40-120-20 C 2.) Copies of these policies and procedures which relate to services to be provided to member homes and to children and their families shall be provided to each home that is a member of the system.

c. Written by-laws, when the family day-care system is sponsored by an association or corporation.

2. Policies and procedures pertaining to staff employed in the system office.

a. A written job description for each staff position which exists in the system office. Each job description shall address the areas identified in 22VAC40-120-30 B 1.

b. Written policies which outline personnel practices as they affect both the employer and employee. These policies shall include the areas identified in 22VAC40-120-30 B 3.

c. Written requirements for the screening and selection of volunteers, if volunteers are used. (See 22VAC40-120-30 D 2.)

d. Written definition of the duties and responsibilities of volunteers. (See 22VAC40-120-30 D 3.)

3. Policies and procedures pertaining to member homes.

a. Policies and procedures which describe the selection, evaluation, approval and general management of homes which are members of the system and cover at minimum those areas specified in 22VAC40-120-40 A 1.

b. Specific criteria and requirements which family day-care homes must meet to be approved as members of the system. At minimum these criteria and requirements shall address the areas specified in 22VAC40-120-40 B 1.

c. Policies for suspension or termination of a home that is a member of the system. (See 22VAC40-120-40 B 1.)

d. Copies of the policies and procedures, required by subdivisions B 3 a, b, and c shall be provided to each home that is a member of the system.

C. System records. The following records shall be maintained by the system in a permanent file within the system office. Those so identified shall also be provided to each home that is a member of the system.

1. Records on the system.

a. An organization chart (See 22VAC40-120-20 B 3 h.)

b. Financial records which are consistent with generally accepted accounting principles and reflect a separation of system accounts form all other records. (See 22VAC40-120-20 D 2.)

c. An inventory of all real property and equipment belonging to the system. (See 22VAC40-120-20 B 3 1.)

d. A schedule of fees charged for services provided. (See 22VAC40-120-20 D 3 a.)

e. A schedule of payments to be made to homes that are members of the system which contains the items required by 22VAC40-120-20 D 3 b. A copy of this schedule shall be provided to each home who is a member of the system.

f. Minutes of all meetings of the corporate or association governing board. (See 22VAC40-120-20 B 2 b.)

2. Records on homes who are members of the system.

a. An individual record shall be maintained on each home that is approved as a member of the system.

b. This record shall be established when the home applies for membership in the system and shall be maintained in the system office.

c. The record shall be kept current.

d. The complete record shall be retained until two years after the home withdraws or is terminated as a member of the system.

e. It shall contain at minimum the following information and documentation:

(1) A copy of the agreement with the member home as required by 22VAC40-120-40 A 2 a. A copy of this agreement shall be on file in the member home.

(2) A copy of each compliance study completed on the home and required by 22VAC40-120-40 B 2 b.

(3) The report of each quarterly visit to the home as required by 22VAC40-120-40 B 6 a (2).

(4) A record containing the name of each child who has been referred to the home for care, the date of referral and in those cases where care has been terminated, the date and reason for termination.

(5) A notation of all technical assistance and consultation provided to the home as required by 22VAC40-120-40 D 3.

(6) The following personal and social data on each day-care provider.

(a) Name;

(b) Birthdate;

(c) Current address and telephone number;

(d) Last previous employment;

(e) For providers who are accepted as members of the system after the effective date of these Standards, copies of at least three references or notations of verbal references reflecting the date of the reference, the source and the content;

(f) A statement signed by the day-care provider reporting any convictions of law violations excluding traffic violations and offenses committed before his or her eighteenth birthday which were finally adjudicated in a juvenile court or under a youth offender law;

(g) Previous experience or training, or both;

(h) Social Security number;

(i) Name and telephone number of person to contact in an emergency; and

(j) Date and reason for termination as a member of the system.

(7) The following personal and social data for each person employed by the provider as a staff member in the home:

(a) Name;

(b) Birthdate;

(c) Current address and telephone number;

(d) Position and date employed;

(e) Last previous employment;

(f) For persons who are employed after the effective date of this chapter, copies of at least two character references or notations of verbal references reflecting the date of the reference, the source and the content;

(g) A statement signed by the staff member reporting any convictions of law violations excluding traffic violations and offenses committed before his or her eighteenth birthday which were finally adjudicated in a juvenile court or under a youth offender law;

(h) Previous experience or training, or both;

(i) Social Security number;

(j) Name and telephone number of person to contact in an emergency;

(k) Notations of formal training received following employment; and

(l) Date and reason for termination of employment.

(8) The health related statements required by 22VAC40-120-40 B 1 h.

(9) The provider training plan, the record of initial provider training and the record of on-going provider training required by 22VAC40-120-40 C 1, 2, c, and 3 c.

(10) A copy of the record of each complaint received on the home as required by 22VAC40-120-50 C 2. (See subdivision C 5 for content of this record.)

3. Records of persons employed in the system office.

a. An individual record shall be maintained on each staff member employed in the system office.

b. This record shall be established when the individual is employed and shall not be destroyed until two years after employment is terminated.

c. The record shall be kept current.

d. It shall contain at minimum the following:

(1) Personal and social data:

(a) Name;

(b) Birthdate;

(c) Current address and telephone number;

(d) Position and date employed;

(e) Last previous employment;

(f) For persons employed after the effective date of this chapter, copies of at least three references or notations of verbal references reflecting the date of the reference, the source and the content;

(g) A statement signed by the employee reporting any convictions of law violations excluding traffic violations and offenses committed before his or her eighteenth birthday which were finally adjudicated in a juvenile court or under a youth offender law;

(h) Previous experience or training, or both;

(i) Social Security number;

(j) Name and telephone number of person to contact in an emergency;

(k) Notations of formal training received following employment; and

(l) Date and reason for termination of employment.

(2) The record of staff orientation required by 22VAC40-120-30 C 3 a.

(3) The annual plan for in-service training required by 22VAC40-120-30 C 3 c.

4. Records on children referred for care.

a. An individual record shall be maintained on each child accepted by the system and referred to a member home for care.

b. This record shall be established when the child is accepted for care.

c. The record shall be kept current.

d. It shall contain at a minimum the following:

(1) A copy of the child care agreement required by 22VAC40-120-50 A 5, 6, and 7;

(2) A record of placement which contains the name of each home in which the child has received care, the date referred for care and the date and reason care was terminated;

(3) A copy of the medical information required by 22VAC40-120-50 A 8;

(4) A copy of the emergency medical authorization form required by 22VAC40-120-50 A 9;

(5) A record or each referral of the child and/or the family to social, mental health, welfare and medical services as required by 22VAC40-120-50 B 2.

e. A copy of the records required by subdivisions C 4 d (3) and (4), shall be on file in the member home in which the child is provided care.

5. Complaint records.

a. Each complaint shall be recorded on a complaint record. (See 22VAC40-120-50 C 1.)

b. The complaint record shall include at minimum the following information:

(1) Name and address of the family day-care home;

(2) Name, address and telephone number of the complainant;

(3) Method by which the complaint was made, including the date and time received;

(4) Person receiving the complaint;

(5) A description of the complaint, including dates and times, where applicable;

(6) Findings and action taken to include whether the complaint was found to be valid, invalid or validity not clearly determined;

(7) The name of the person or persons who investigated the complaint and the date the investigation was completed; and

(8) The date the complainant was notified of the results of the investigation.

c. When the complaint includes an accusation of child abuse or neglect, a copy of the written notification required by 22VAC40-120-50 C 6 shall be attached to the complaint record and filed as a permanent part of that record.

d. Release of information regarding the identity of the complainant shall be governed by the provisions of the Privacy Protection Act, Chapter 26 (§ 2.1-377 et seq.) of Title 2.1 of the Code of Virginia.

Historical Notes

Derived from VR615-26-01 §VI, eff. April 16, 1981; amended by the State Board of Social Services eff. February 1, 1984; amended by the State Board of Social Services eff. May 1, 1984, eff. July 1, 1984.

Statutory Authority

Chapter 1 (§ 63.2-100 et seq.) of Title 63.2 and §§ 63.2-203 and 63.2-217 of the Code of Virginia.