Filing Procedures Policy Number and Last Update
(01.07.04/01-2011)

Keep files two (2) years old and older in a secured storage area for the time periods specified by law. Use a card to hold the place of a file that an employee removes from the cabinet. The card should show the name of the employee and the date it was removed, to be crossed out when the file is returned to its place. Always shred any files that are no longer needed.

Component and Administrative Files

General files for every component should be kept in alphabetical order by subject, in each coordinator's office. These include all records required by the monitoring system and the HSPPS, e.g. records of meetings, consultant reports, correspondence, resources, etc.

Personnel Files

Keep together in a locked cabinet. Use a hanging file for each staff member with separate folders that contain:

  1. Current application or intent to return letter.
  2. Appointment letter with position and wage (yearly)
  3. W-4 and Illinois Withholding Allowance forms (updated yearly if needed)
  4. Three (3) letters of reference
  5. Copy of educational qualifications (once)
  6. Signed Job-Description
  7. Orientation Checklist (once)
  8. Standards of conduct, signed annually
  9. Confidentiality statement, signed annually
  10. Verification of receipt of personnel policies
  11. Sample signature, annually
  12. Acknowledgement of mandated reporter status
  13. Child Guidance Procedure
  14. Emergency contact information, updated
  15. Proof of personal vehicle insurance, yearly
  16. Cell phone, drug and alcohol, and smoking policy, signed yearly
  17. Copy of TB and physical examination (within 6 months prior to date of hire and every 2 years thereafter)
  18. Disciplinary actions
  19. Staff training survey
  20. Requests for training
  21. Individual staff development plan
  22. Performance evaluations, probationary and annual
  23. Staff training record

The following are required by either state or federal law, and must be filed separately from personnel files, in a locked cabinet. Always shred files that are no longer needed.

  1. Form CFS 508, report of person employed in a childcare facility
  2. Form 718-E, employees or volunteers of child care facility - fingerprinting
  3. Declaration form for prospective employees
  4. Form I-9 and 2 forms of identification, employment eligibility verification

Child and Family Files, Current Year

File in a central location, alphabetically by the last name of the family. Use a separate accordion or hanging file for each family, labeled with the family's last name containing separate folders for each of the following sections:

  1. Family Folder: Family Circumstance and Resources; Residence Tracking form; Certifications and Signatures; Employment and Income Verification form; Income Chart (if used); CACFP application; Family Assessment; Child Information; Child Intake Addendum; Persons to Contact in Case of Emergency; Child Pick-Up Authorizations; Consent for Developmental Screening; Permission to Reveal Confidential Information; Parent Volunteer Checklist; DCFS Verification Receipt; Child Guidance Policy; Intoxicated Child Pick-Up.
  2. Family Services Folder: Family Tracking form; Child-Absence documentation; Field Trip Permission slips; Family Partnership Agreement; Parent Training survey.
  3. Education Folder: Denver II results; Behavioral Checklist; Assessment Reports; Teachers' Home Visit; Parent Conference Reports; and Notes.
  4. Health Folder: Progress notes; Health History (initial and update); Nutrition History and Assessment; Initial Physical Exam form and Screening forms; documentation of subsequent Well-Child Exams; Dental Exam and Treatment form; Growth Charts; Parental Consents for Screening, Examination, and Treatment; Releases of information, Daily Medication forms, Accident reports, Parent Notification of Screening, Treatment and Assessment results, Previous Year's Progress notes, History, Exam, Screening, Treatment reports, Accident and Medication reports should be attached to the back of the file, with the year marked.
  5. Bi-weekly staffing: Reports of each.
  6. Disabilities Folder: Parent Permission for Evaluation; Parent Consent for Special Services; Notification of Educational Rights of Students with Disabilities; Diagnostic Reports Part I, II, III, and Diagnostician's Narrative; IEP/IFSP Notification to Parent of the Meeting; Progress notes; correspondence; and other documents. The files should be organized, and if the child has more than one diagnosed disability, each file should have sections with all parents' consents, all data required, all information related to the diagnosis, including the diagnostic forms, IEP/IFSP from the current and previous years, progress notes, bi-weekly staffing notes, correspondence, and all other records.

Child and Family Files, Previous Years

Keep in a separate drawer but in the same cabinet as the above material. Previous years' information should be stapled together by year, by component , by family, and by child, in one accordion or hanging file per family. File alphabetically by last name. When a family has not returned for two full seasons, these files may be stored elsewhere in a secure place. Family files should be shredded when they are no longer needed.