Embedded Files
Record Keeping & Reporting
GHC maintains record-keeping & reporting systems that maintain effective quality program operations and oversight and comply with all record retention and confidentiality laws and regulations stated by all regulatory funders. GHC recognizes that record keeping & reporting facilitate the monitoring of program services by documenting child and family information, services provided, training and technical assistance, and other key activities required to ensure program compliance and quality.
All GHC staff are expected to keep CARES/Earlybird up-to-date with child, family, personnel, and other program operation data, as detailed in the CARES/Earlybird manual. Teaching Strategies GOLD/My Teaching Strategies website to monitor child outcome progress. On-site files for staff personnel and children/families to document and track staff, child, family, and program operations data. Monitoring checklists for required on-site file contents are included in the Forms Addendum and on the CSD website. Child files must be kept on-site in a locked file cabinet at the location where the child receives services. For Home-based/home-visiting, child files must be kept in a locked file cabinet at the agency’s administrative office.
Staff Files Confidentiality
Personnel files must be kept at the main office. All personnel records and medical files are confidential except as legally required. Site Managers must take appropriate steps to maintain and secure all personnel information and files in a secure, locked file cabinet on site. Personal files may not be shared with a non-relevant staff member for any reason. Personal files may only be shared with appropriate funders regarding federal guidelines and procedures.
Child Confidentiality Mandates
Child files must be kept on-site in a locked file cabinet at the location where the child receives services. For Home-based/home-visiting, child files must be kept in a locked file cabinet at the agency’s administrative office.
GHC maintains confidential information as personal details from the lives of our families, which may not be shared with outside agency personnel or unrelated entities outside the scope of the funders. Confidential information can include address, phone number, birth date, employment history, or other personal information. It may also include information about a family's past or present health and development. Individuals have the right to keep information of this type private. GHC routinely handles confidential information about enrolled children, families, and staff. When managing sensitive information, it is important for childcare directors, administrators, and staff to be aware of their ethical and legal responsibility to protect the privacy of individuals and families. Files that must be maintained and held confidential are as follows:
health screenings and records, including immunization records
emergency contact information
contact information for those authorized to pick up the child • emergency care consent forms
consent forms (permission slips) for outings or special activities
names of regular medical or dental providers who know the child
nutritional restrictions
progress reports
child observation logs
parent conference logs
medication logs
documentation of medical, behavioral, or developmental evaluations, referrals, or follow-ups, addressing issues relevant to the child’s participation in the program
documentation of any injury occurring at the program site and the steps that are taken to address the situation
Program Reports & Record Keeping
GHC staff should maintain records of all meetings, including but not limited to meeting sign-in sheets, agendas, and notes and minutes that document the meeting. Record keeping is required for others areas, such as family engagement specialists/ service workers should document case notes daily or as necessary and training sign-in sheets and agendas.
GHC CSD Staff should use reports drawn from the CARES, Earlybird, SalesForce, and Teaching Strategies GOLD systems, as well as personnel and child/family files.
Monitor agency performance and determine training and technical assistance needs.
Track quality indicators.
Report to funders on program services and child progress.
Inform programmatic decisions.
Reporting to governing body and Policy Committee—HS/EHS/CCP-funded agencies are expected to report regularly to their governing body and Policy Committee as outlined in the HSPPS.
Reporting to DFSS/ Chicago Commons
CACFP Annual Enrollment Form
Parents complete the CACFP Annual Participation Enrollment form for their children every year.
The CACFP APE form must be signed and dated to be valid.
The site manager signs off on the form, and the form is kept in a secure place and monitored monthly.
State CACFP Meal Count:
The program follows all applicable CACFP guidelines, including meal counts, use of family-style dining, etc.
All meal counts are taken at the point of service or after the end of meal service per CACFP standards
Copies of meal count documents are kept on file for three (3) years and monitored monthly for reimbursement.
Funder & Grantee Reporting
Immediate Reporting to GHC's DFSS Chicago Commons should report to their assigned monitoring team supervisor/liaison at DFSS/ CC, and partners of DFSS/CC delegate agencies must report to their delegate agency, any of the following immediately, meaning within the same day as the incident:
1. Significant incidents affecting the health and safety of program participants.
2. Occurrences involving child abuse and neglect or laws governing sex offenders after the agency has completed its obligation to call IDCFS as a mandated reporter.
3. Incidents regarding agency staff, volunteers, or consultants in noncompliance with federal, state, tribal, or local laws.
4. Cases of a communicable disease or other serious health issues.
5. Breaches of personally identifiable information.
6. Missing and/or damaged files.
7. Incidents that require classrooms or centers to be closed for any reason.
8. Disqualification from CACFP.
9. Revocation of a license to operate a center by a state or local licensing entity.
10. Circumstances affecting the financial viability of the program, including receipt of an audit, audit review, investigation, or inspection report from the agency’s auditor, a state agency, or the cognizant federal audit agency, containing a determination that the agency is at risk of an ongoing concern.
11. Program involvement in legal proceedings.
12. Any matter the agency is involved in that has been reported to the state or local authorities.
13. Debarment from receiving federal or state funds from any federal or state department. Immediate reporting is considered the same day. Relevant GHC staff must submit a written, follow-up report within 24 hours to the monitoring team supervisor describing the details of the incident.
Self Assessment
This is a required annual process in which staff, parents, and the community assess their program, both classrooms, and administration, in relation to the requirements, addressing the need, and quality—the results of this assessment guide program planning and decision-making. PFA and PI programs must use a standard tool to evaluate their program; approved tools are ITERS and PAS, ECERS and PAS, Head Start monitoring protocol, and NAEYC Accreditation Process (self-study or site visit years ONLY).
Data Management Systems
All staff responsible for collecting, recording, and utilizing data will use the appropriate data management system, including but not limited to, the electronic data tracking system and Teaching Strategies Gold. The Recipient system administrator will grant access to these systems. Paper copies of data will be entered into the electronic data tracking system in a timely manner and secured in the appropriate location(s).
All data must be entered into the appropriate system in a timely manner to allow for use in ongoing monitoring and continuous improvement efforts. Supervisors will be responsible for monitoring the timeliness of data entry and the accuracy of the data entered. A standardized format for data entry will be maintained for each data set, as determined by the appropriate program manager. These expectations will be communicated to all staff collecting and entering data.
Child Data Files (Paper/On-Site)
GHC staff and Partners are required to use paper files to collect data on the comprehensive services provided to children and families in the program. All paper files containing any personally identifiable information are kept in a locked file cabinet in every classroom and administrative office. Client files may not be left unattended. The following parties have access to records in the file:
• A parent who has custody, foster parent, or legal guardian
• Any person or agency that the parent has given written consent to look at the child’s file
• Staff assigned to work with family
• Federal, State, and County officials for audits or review
• Any court officials or the Department of Children and Family Services (DCFS)
• Staff with appropriate identification and documentation
Privacy of Child Records
The privacy of child records is required to be maintained through compliance with the agency’s Code of Conduct, internal policies, and external regulations (see requirements and relevant policies section above). In addition, the agency must administer data systems under regulatory compliance with HIPAA. All child files should be kept in locked file cabinets and access to approved staff only, state/federal auditors, and licensing professionals. Electronic data must be password protected, with limited access granted to staff and management depending on needs and appropriateness.
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