Quality Area 7: Governance and leadership

7.1 Policies and procedures

 

National Regulations, Regulation 168 ]

The approved provider must ensure the service has policies and procedures in place in relation to the following.

Required policies and procedures for all service types

Health and safety, including:  

  • sleep and rest (Regulation 168(2)(a), Standard 2.1)
  • nutrition, food and beverages, dietary requirements (Regulation 168(2)(a), Standard 2.1)
  • sun protection (Regulation 168(2)(a),Standard 2.2)
  • water safety (Regulation 168(2)(a), Standard 2.2)
  • administration of first aid (Regulation 168(2)(a), Standard 2.1)

Incident, injury, trauma and illness procedures (Regulations 85, 168(2)(b), Standard 2.1)

Dealing with infectious diseases (Regulations 88, 168(2)(c), Standard 2.1)

Dealing with medical conditions (Regulations 90, 168(2)(d), Standard 2.1)

Emergency and evacuation (Regulations 97, 168(2)(e), Standard 2.2)

*Delivery to and collection of children from the education and care service (Regulation 99 and 168(2)(f). Approved providers in WA must ensure the service has a policy about the delivery and collection of children that is consistent with the procedures for ensuring children’s safety set out at section 165A of the National Law (WA).

Excursions (Regulations 100–102, 168(2)(g))

Transportation (Regulations 102B–102F, 168(2)(ga))

Safe arrival of children (Regulation 168(2)(gb))

Providing a child safe environment, including matters relating to (Regulation 168(2)(h), Standards 2.2, 7.1):

  • the promotion of a culture of child safety and wellbeing within the service
  • the safe use of online environments in services

Staffing, including (Regulation 168(2)(i)):

  • professional standards / code of conduct for staff members (Standard 4.2)
  • determining the responsible person
  • participation of volunteers and students

Interactions with children (Regulations 155–156, 168(2)(j), Standards 5.1, 5.2)

Enrolment and orientation (Regulation 168(2)(k), Standard 6.1)

Governance and management of the service, including confidentiality of records (Regulation 168(2)(l), Standard 7.1)

Acceptance and refusal of authorisations (Regulation 168(2)(m))

Payment of fees and provision of a statement of fees (Regulation 168(2)(n), Standard 7.1)

Dealing with complaints including matters relating to (Regulation 168(2)(o), Standard 7.1):

  • the provision of a complaint handling system at the service which is child focused
  • the management of a complaint that alleges a child is exhibiting sexual behaviours that may be harmful to the child or another child.

*Approved providers may restrict who can be nominated to collect a child, for example by a person under the age of 16 years. This should be documented in the policy about collection of children. Authorised officers may talk to approved providers about whether they have taken into consideration that some parents may be less than 18 years of age.

National Regulations, Regulation 169 ]

 

For a family day care service, the approved provider must also ensure the service has policies and procedures in place in relation to the matters below.

Additional policies and procedures for a family day care service

Assessment, approval and reassessment of family day care residences and assessment, including risk assessment of family day care venues (Regulations 116, 169(2)(a), Standard 3.1)

Engagement or registration of family day care educators (Regulation 169(2)(b), Standard 7.1)

Keeping a register of family day care educators, co-ordinators and assistants (Regulations 153, 169(2)(c))

Monitoring, support and supervision of family day care educators (Regulation 169(2)(d), Standards 4.2, 7.1, 7.2)

Fit and proper assessment of family day care educators, family day care educator assistants and people living at family day care residences (Regulations 163, 169(2)(e), Standard 7.1)

Visitors to family day care residences and venues while children are being educated and cared for (Regulations 165, 169(2)(f))

Provision of information, assistance and training to family day care educators
(Regulation 169(2)(g), Standards 4.2, 7.1, 7.2)

Engagement or registration of family day care educator assistants (Regulations 154, 169(2)(h)).

The approved provider must take reasonable steps to ensure the nominated supervisor, staff members and any volunteers at a centre-based service follow the policies and procedures required under regulation 168.

 

National Regulations, Regulation 170 ]

The approved provider of a family day care service must take reasonable steps to ensure the nominated supervisor, and the staff members and family day care educators engaged by or registered with the service, follow the policies and procedures required under regulations 168 and 169.

 

National Regulations, Regulation 171 ]

The policies and procedures must be readily accessible to the nominated supervisor, staff members and volunteers.

The prescribed policies and procedures must be available for inspection at a centre-based service’s premises and, for family day care services, at each family day care residence and approved venue, and any office of the family day care service. This requirement can be met through a paper copy or electronic version.

Policies should be informed by the service’s philosophy statement, current research and contemporary views on best practice including Early Childhood Australia’s Code of Ethics, the National Child Safe Principles and advice from other recognised authorities.

Making changes to the policies and procedures

National Regulations, Regulation 172 ]

The National Regulations do not specify how often a policy or procedure must be reviewed. A review schedule should be developed, where policies are prioritised according to how often the content is expected to change. For example, changes in legislation, or a serious incident at the service may trigger a review.

Authorised officers may discuss with the approved provider how policies are developed, maintained and informed by best practice from relevant, recognised authorities. For example, a sun protection policy may reference information from Cancer Council Australia.

The policies do not have to be in any particular style or format, and do not need to be titled to reflect the exact wording of the National Regulations.

Parents of children at the service must be notified at least 14 days before making any change to a policy or procedure required under regulations 168 and 169 if the change:

  • may have a significant impact on the service’s provision of education and care to any child enrolled at the service
  • may have a significant impact on the family’s ability to use the service, or
  • will affect the fees charged or the way in which fees are collected.

The approved provider does not have to comply with the notice period if the provider considers it would pose a risk to the safety, health or wellbeing of any child at the service to do so. In that case the approved provider must notify parents as soon as practicable after making the change.

Policies on acceptance and refusal of authorisation

National Regulations, Regulations 92, 99, 102 ]

Authorisation must be obtained for:

The service’s ‘acceptance and refusal of authorisations’ policy should set out the circumstances the provider would accept (or refuse) an authorisation. For example, the policy may state authorisations must be in writing, signed and dated, and clearly state the name of the child to whom the authorisation relates.

  • may have a significant impact on the service’s provision of education and care to any child enrolled at the service
  • may have a significant impact on the family’s ability to use the service, or
  • will affect the fees charged or the way in which fees are collected.
  • administering medication to children
  • children leaving the premises in the care of someone other than a parent
  • children to be taken on excursions
  • transportation of children provided or arranged by the service.

7.2 Information to be displayed

 

National Law and Regulations, Section 172, Regulations 173, 173A ]

The approved provider must ensure the following information is clearly visible at the service premises in a place that is accessible to families.

Information to be displayed

The approved provider’s name, approval number and any conditions on the provider approval

The approved service’s name, approval number and any conditions on the service approval

The name of each nominated supervisor

The service’s current ratings against each quality area and the overall rating

A ratings certificate, which outlines the overall rating of the service and the current rating levels for each quality area, must be clearly visible from the main entrance at each FDC residence or venue used to provide education and care to children as part of a family day care service

Whether a waiver is in force at the service and, if so, which Regulations have been waived, the duration of the waiver, and whether the waiver is a temporary or service waiver

The hours and days of operation of the service

The name and telephone number of a person to whom complaints can be addressed

The name and position of the responsible person at a centre-based service at any given time

The name of the educational leader

The contact details of the regulatory authority

For family day care services: a diagram showing the areas of the FDC residence or venue indicating the areas of the residence or venue suitable for the provision of education and care to children. The diagram should include the existence of any water hazards, water features or swimming pools at or near the residence or venue. 

If applicable, a notice stating a child who has been diagnosed as at risk of anaphylaxis is enrolled at the centre-based service. In the case of family day care residence or venue, a notice stating a child who has been diagnosed as at risk of anaphylaxis is enrolled or attends the family day care residence or venue

If applicable, a notice of an occurrence of an infectious disease at the premises for a centre-based service. In the case of a family day care residence or venue, a notice stating that there has been an occurrence of an infectious disease at the family day care residence or venue.

Prescribed information about anaphylaxis or infectious diseases should be displayed at a family day care residence or venue if applicable to a child who attends that specific family day care residence or venue. It should be displayed at the family day care office if children or parents regularly attend the office.

The National Law and Regulations do not prescribe how this information should be displayed. Some information could be permanently displayed as a laminated poster or framed certificate, while other information (such as information which is updated regularly) could be displayed on a whiteboard.

7.3 Reporting information to the regulatory authority

Information about the approved provider and service

 

National Law & Regulations, Sections 56, 173, 174, Regulations 174, 175, 176 ]

The approved provider must notify the regulatory authority that granted the provider approval if any of the events below occur in relation to the approved provider or each approved service.

Applications and notifications can be submitted online using the National Quality Agenda (NQA) IT System at www.acecqa.gov.au.

Circumstances that must be notified to the regulatory authority

Type of notification

Responsible

Timeframe

Reference

Death of approved provider

Nominated Supervisor or person in day to day control

Within 7 days of the death

Section 39(2)

Intention to transfer service approval

Transferring approved provider and receiving approved provider

At least 42 days before transfer

Section 59,

Regulations 36 & 37

Change in name of approved provider

Approved provider

Within 14 days

Section 173(1)(a)

Any appointment or removal of a person with management or control of service

Approved provider

Within 14 days

Section 173(1)(b)

Failure to commence operating within 6 months (or within the time agreed with the regulatory authority) after being granted a service approval

Approved provider

Within 14 days

Section 173(1)(c)

The suspension or cancellation of a working with children card or teacher registration, or disciplinary proceedings under an education law of a participating jurisdiction in respect of a nominated supervisor engaged by the service.

Approved provider

Within 7 days of the approved provider being notified

Section 173(2)(a)

Addition of a new nominated supervisor

Approved provider

At least 7 days prior to commencement (or as soon as practicable but no more than 14 days after commencement)

Section 56

Nominated supervisor ceases to be employed or engaged at the service, is removed from the role, or withdraws consent to the nomination

Approved provider

Within 7 days

Section 173(2)(b)

Any proposed change premises (other than a family day care residence)

Approved provider

Within 7 days

Section 173(2)(c)

Change of a nominated supervisor’s name or contact details

Approved provider

Not specified

Section 56A

Ceasing to operate the education and care service

Approved provider

Within 7 days

Section 173(2)(d)

A change in the location of the principal office of a family day care service

Approved provider

At least 14 days before the change will occur

Section 173(2)(e)

Any change relevant to approved provider’s fitness and propriety

Approved provider

Within 7 days

Section 174(1)(a)

Any change to the address of the approved provider, or the principal office of the approved provider, or the contact details of the approved provider

Approved provider

Within 7 days

Regulation 175(1)(a)

The appointment of receivers or liquidators or administrators to the approved provider or any matters that affect the financial viability and ongoing operation of the service

Approved provider

Within 7 days

Regulation 175(1)(b)

Any change to the hours and days of operation of the service

Approved provider

Within 7 days

Regulation 175(2)(a)

For centre-based services, any change to the range of ages of children to be educated or cared for by a service  Approved provider Within 7 days Regulation 175(2)(ab)
For centre-based services, any change to the nature of education and care to be provided by a service Approved provider Within 7 days Regulation 175(2)(ac)
For centre-based services, the first time the service provides, or arranges for, the regular transportation of children  Approved provider Within 7 days Regulation 175(2)(f)
For centre-based services, the final time the service provides, or arranges for, the regular transportation of children Approved provider Within 7 days Regulation 175(2)(g)

In general, the notification must be in writing to the regulatory authority in which the service approval was granted or, for a family day care service, the regulatory authority in each jurisdiction the family day care service operates.

Information about nominated supervisors the approved provider must notify to the regulatory authority

The approved provider must notify the regulatory authority if they add a new nominated supervisor of a service (section 56, regulation 35).

The provider must give written notice at least 7 days before the new nominated supervisor commences or if that is not possible in the circumstances, as soon as possible but not more than 14 days after the individual starts work as a nominated supervisor (section 56(2)(c)).

The notice to the regulatory authority must include written consent from the new nominated supervisor to the nomination. The only exception is if the approved provider is an individual and nominates themselves to be a nominated supervisor. In this case, the approved provider does not need to provide their own written consent to being a nominated supervisor (section 56(2)(a)).

The approved provider must also notify the regulatory authority in writing of any change to the name or contact details of any nominated supervisor (section 56A).

The approved provider must also notify the regulatory authority if a nominated supervisor is no longer employed or engaged by the service, if they are removed from the role of nominated supervisor, or if they withdraw their consent to be the nominated supervisor (section 173(2)(b)).

Serious incidents, change of circumstances and complaints

 

National Law & Regulations, Section 174, Regulations 12, 164, 174–176A ]

The approved provider must also notify the regulatory authority in writing of the following incidents, change of circumstances and complaints.

Applications and notifications can be submitted online using the National Quality Agenda (NQA) IT System at www.acecqa.gov.au.

Serious incidents, change of circumstances and complaints to notify

Type of notification

Responsible

Timeframe

Reference

Notification to regulatory authority

Death of a child

Approved provider

As soon as practicable, but within 24 hours

Section 174(2)(a)
Regulation 12 Regulation 176(2)(a)(i)

Any incident involving serious illness of a child while being educated and cared for which the child attended or ought reasonably to have attended a hospital

Approved provider

Within 24 hours of the incident

Section 174(2)(a)

Regulation 12

Any incident involving serious injury or trauma to a child while being educated and cared for which the child attended or ought reasonably to have attended a hospital, or a reasonable person would consider that the child would require urgent attention from a registered medical practitioner

Approved provider

Within 24 hours of the incident

Section 174(2)(a)
Regulation 12

Any emergency for which emergency services attended

Approved provider

Within 24 hours of the incident

Section 174(2)(a)
Regulation 12

A child is missing or cannot be accounted for or appears to have been removed from the premises by a person not authorised by a parent

Approved provider

Within 24 hours of the incident

Section 174(2)(a)
Regulation 12

A child is mistakenly locked in or out of the premises or any part of the premises

Approved provider

Within 24 hours of the incident

Section 174(2)(a)
Regulation 12

Any incident that requires the provider to close or reduce the number of children attending

Approved provider

Within 24 hours of the incident

Section 174(2)(c) Regulation 175(2)(b)

Any complaint alleging that a serious incident has occurred or is occurring at an education and care service, or the National Law has been contravened (refer to Serious Incidents outlined in table above)

Approved provider

Within 24 hours of the complaint

Section 174(2)(b)

Regulation 12

The centre-based service is educating and caring for extra child/ren due to an emergency

Approved provider

Within 24 hours

Section 174(2)(c) Regulation 175(2)(ca)

Any circumstance at the service that poses a risk to the health, safety or wellbeing of a child attending the service

Approved provider

Within 7 days

Section 174(2)(c) Regulation 175(2)(c)

Any incident where the provider reasonably believes that physical or sexual abuse of a child or children has occurred or is occurring while the child is being educated and cared for by the service

Approved provider

Within 7 days

Section 174(2)(c) Regulation 175 (2)(d)

Allegations that physical or sexual abuse of a child or children has occurred or is occurring while the child or children are being educated and cared for by the service

Approved provider

Within 7 days

Section 174(2)(c) Regulation 175 (2)(e)

Information for FDC Educators to report to their Approved Provider

Any serious incident while a child is being educated and cared for by the educator (refer to Serious Incidents outlined in Incidents and Complaints table above)

FDC Educator

None specified

Section 174A
Regulation 12

Any complaint alleging that a serious incident has occurred or the National Law has been contravened while a child was being educated and cared for (refer to Serious Incidents outlined in Incidents and Complaints table above)

FDC Educator

None specified

Section 174A
Regulation 12

Any new person over 18 years who resides at the FDC residence and any circumstance relevant to whether a resident who is over 18 years is fit and proper

FDC Educator

None specified

Regulation 164

Any circumstances relating to whether a person who resides at the FDC residence is a fit and proper person to be in the company of children, including if the person is changed with or convicted of a sexual offence, an offence of a violent nature, an offence involving drugs, an offence involving a weapon; if a person’s application for a working with children or vulnerable people check is revoked, suspended or rejected; if the person is prohibited from working with children. FDC Educator None specified Regulation 164

Renovations or other changes to the FDC residence or approved venue that create a serious risk to the health, safety and wellbeing of children attending the residence or venue

FDC Educator

None specified

Regulation 176A

Any circumstances arising at a family day care residence or approved family day care venue that may pose a risk to the health, safety and wellbeing of children cared for at a residence or approved venue, including any renovations or other significant changes to the residence or venue, an infectious disease outbreak at the residence or venue, a bushfire, flood or other natural disaster that may affect the residence or venue

Information received by the approved provider through this notification mechanism must be considered, and addressed or mitigated, as part of a risk assessment process.

FDC Educator None specified Section 174A Regulation 176A

Notification to parents

Policies: parents of children enrolled at the service are notified before making any change to a policy or procedure that may have a significant impact on the service’s provision of education and care to any child enrolled at the service; the family’s ability to utilise the service; any change that will affect the fees charged or the way in which fees are collected.

Approved provider

At least 14 days prior unless a lesser period is necessary because of a risk

Regulation 172

Voluntary suspension of provider approval: approved provider must notify the parents of children enrolled at the services operated by the approved provider.

Approved provider

At least 14 days prior to application for suspension

Section 37(3)

A parent of a child being educated and cared for by the service is to be notified if the child is involved in any incident, injury, trauma or illness while at the service.

Approved provider

As soon as practicable, no more than 24 hours

Regulation 86

If there is an occurrence of an infectious disease at a centre-based service, the approved provider of the service must ensure that a parent or an authorised emergency contact of each child is notified of the occurrence.

Approved provider

As soon as practicable

Regulation 88

If medication is administered in case of an anaphylaxis or asthma emergency, the approved provider or a nominated supervisor of the service or family day care educator must ensure that a parent and emergency services are notified.

Approved provider/nominated supervisor/educator

As soon as practicable

Regulation 94

See below for more information on serious incidents.
Providers can download an (optional) incident, injury, trauma and illness record template to record any supporting evidence of other (non-serious) incidents for example, bruises or scratches, from the ACECQA website (www.acecqa.gov.au).
There may be other reporting requirements for approved providers, educators and service staff under different state and territory laws, for example, child protection laws and requirement to meet Child Safe standards. Visit the Australian Government, Australian Institute of Family Studies website for Australian child protection legislation at www.aifs.gov.au.

The intent of the National Regulations is to ensure regulatory authorities are notified of serious incidents, complaints and circumstances where the health, safety or wellbeing of children may have been compromised so that it is able to take appropriate action.

Serious incident

National Regulations, Regulation 12 ]

A serious incident (regulation 12) is defined as any of the following:

  • the death of a child while being educated and cared for at the service or following an incident at the service
  • any incident involving a serious injury or trauma while the child is being educated and cared for, which:
    • a reasonable person would consider required urgent medical attention from a registered medical practitioner; or
    • the child attended or ought reasonably to have attended a hospital e.g. broken limb*
  • any incident involving serious illness of a child while that child is being educated and cared for by a service for which the child attended, or ought reasonably to have attended, a hospital e.g. severe asthma attack, seizure or anaphylaxis*.
    • *NOTE: In some cases (for example rural and remote locations) a General Practitioner conducts consultations from the hospital site. Only treatment related to serious injury or illness or trauma are required to be notified, not other health matters.
  • any emergency for which emergency services attended. NOTE: This means an incident, situation or event where there is an imminent or severe risk to the health, safety or wellbeing of a person/s at an education and care service. It does not mean an incident where emergency services attended as a precaution.
  • a child appears to be missing or cannot be accounted for at the service
  • a child appears to have been taken or removed from the service in a manner that contravenes the National Regulations
  • a child was mistakenly locked in or locked out of the service premises or any part of the premises.

Below are some examples of serious incidents to notify.

Examples of a serious incident

Amputation, for example, removal of fingers

Anaphylactic reaction requiring hospitalisation

Asthma requiring hospitalisation

Broken bone/fractures

Bronchiolitis

Burns

Diarrhoea requiring hospitalisation

Epileptic seizures

Head injuries

Measles

Meningococcal infection

Sexual assault

Witnessing violence or a frightening event

If the approved provider is not aware that the incident was serious until sometime after the incident, they must notify the regulatory authority within 24 hours of becoming aware that the incident was serious. For example, where a child hurts their arm at the service, but is in no obvious pain and continues to play. If the parent later advises that the child’s symptoms had worsened and a fractured arm had been confirmed, then the approved provider should report the incident as a serious incident.

If it is not practicable to notify the regulatory authority through the National Quality Agenda IT System portal (because, for example, of the extreme urgency of the notification or difficulty getting the notification forms signed by the number of people indicated by the form) the notification can be made initially in whatever way is best in the circumstances. The important thing is for the notification to be made within 24 hours.

Notifying physical or sexual abuse to the Regulatory Authority

National Regulations, Regulations 175 (2) (d), (e) ]

The following guidance is for notifying physical and sexual abuse to the regulatory authority as required by the NQF. In addition to reporting an incident to the regulatory authority, it may be appropriate to report the matter under reportable conduct (e.g. Ombudsman), to child protection agencies or to the police. This is to meet other reporting requirements for approved providers, educators and service staff under different state and territory laws. For example, child protection laws or child safe standards may apply in your jurisdiction, in addition to your obligations under the National Quality Framework.

Notifications for the NQF can be submitted to the regulatory authority online using the National Quality Agenda IT System on the ACECQA website (www.acecqa.gov.au) and should include details of the reports made to child protection or other agencies.

Regulations 175(2)(d) and (e) require the approved provider to notify the regulatory authority of any allegations or incidents where they reasonably believe physical or sexual abuse of a child or children is occurring, while they are at or being cared for by an education and care service. The intent of the Regulation is to ensure incidents and allegations of physical or sexual abuse by a staff member or other adult at the service are reported.

Incidents that occur between children may be notifiable, such as cases where one child has power over the other because of physical stature or an age difference.

Regulations 175(2)(d) and (e) do not relate to incidents and allegations of physical or sexual abuse of a child or children when they are not being cared for by an education and care service.

The following definitions of physical and sexual abuse are adapted from the Australian Government, Australian Institute of Family Studies website (www.aifs.gov.au). Refer to this website for information on child abuse and neglect.

Definition of physical abuse

For the purposes of NQF notifications, child physical abuse refers to the non-accidental use of physical force against a child that results in harm to the child. Depending on the age and the nature of the behaviour, physical force that is likely to cause physical harm to the child may also be considered abusive. For example a situation in which a baby is shaken but not injured would still be considered physical abuse.

Definition of sexual abuse

For the purposes of NQF notifications, the definition of child sexual abuse varies depending on the relationship between the victim and the perpetrator. In the context of education and care, the definition of sexual abuse is any sexual behaviour, including grooming behaviour, between an adult and a child. Adults working in an education and care service are in a position of power or authority over children and any sexual behaviour by an adult towards a child is sexual abuse.

Note: Grooming behaviour is when an adult engages in inappropriate conduct towards a child that serves to increase the likelihood of future sexual abuse. This is done by gaining trust and compliance, and building a relationship with a child through premeditated behaviour and actions.

For adolescent or child perpetrators, sexual abuse is indicated when there is non-consensual sexual activity between minors, or any sexual behaviour between a child and another child or adolescent who – due to their age or stage of development – is in a position of power, trust or responsibility over the victim.

Other reporting obligations
Visit the Australian Government, Australian Institute of Family Studies website (www.aifs.gov.au) for further information relating to state and territory child protection legislation and child protection reporting requirements.
Child safe initiatives
Visit the Australian Human Rights Commission, National Child Safe Principles website for further information on child safe requirements, initiatives and resources in each state and territory (https://childsafe.humanrights.gov.au/tools-resources/links-resources).

Timeframe for notifying

The timeframe for reporting any incident or allegation to the regulatory authority where the approved provider reasonably believes that physical or sexual abuse of a child (or children) has occurred (or is occurring) while the child is being educated and cared for by the service, is within seven (7) days of the incident.

If the incident or allegation of physical or sexual abuse also meets the criteria for a serious incident notify within 24 hours of the incident. For example if emergency services attend the education and care service in response to an incident of physical abuse.

Approved providers should submit notifications online using the National Quality Agenda IT System or by contacting the regulatory authority, within the appropriate timeframes.

The approved provider must ensure that a parent of a child being educated and cared for by the service is notified as soon as practicable, but not later than 24 hours after the occurrence, if the child is involved in any incident, injury, trauma or illness while the child is being educated and cared for by the education and care service.

Refer to the ACECQA website (www.acecqa.gov.au) for more information regarding notification types and timeframes and for further information on reporting requirements about children.

Record keeping 

Good record keeping is important in identifying and responding to the risks and incidents of child sexual abuse, minimising distress and trauma for survivors and seeking information about their abuse while in the care of institutions. The Royal Commission into Institutional Responses to Child Sexual Abuse recommended that institutions engaged in child-related work retain records relating to child sexual abuse that has or is alleged to have occurred for at least 45 years. In addition to this, it is recommended that records identified as relevant to child safety and wellbeing, including child sexual abuse, be clear, objective and thorough, be maintained in an indexed, logical and secure manner, and be retained and disposed of in a consistent manner. 

Matters which impact on day-to-day operation of the service or may pose a risk to children

The intent of the National Law is to ensure regulatory authorities are notified of circumstances that pose a risk or negatively impact on the operation of the service. This is separate from the requirement to notify a ‘serious incident’ involving a particular child.

Examples of circumstances that need to be notified:

These circumstances are more about situations that have happened to, or impacted on, the operation of the service, rather than an incident that has occurred directly to a child.

Family day care educators to report to the approved provider

 

National Law & Regulations, Section 174A, Regulations 164 ,176A ]

Family day care educators must notify the approved provider of:

  • a serious incident (see below and defined in the National Regulations)
  • any complaint alleging that a serious incident has occurred, or is occurring, while a child is being educated or cared for by the educator, or the National Law or Regulations have been contravened
  • any circumstances arising at the residence or venue that may pose a risk to the health, safety and wellbeing of children, including:
    • any renovations or other significant changes to the residence or venue which may pose a serious risk to the health, safety and wellbeing of children
    • an infectious disease outbreak at the residence or venue
    • a bushfire, flood or other natural disaster that may affect the residence or venue
  • any changes in the persons, 18 years or over, residing at the family day care residence (for example, a new partner of the family day care provider)
  • any circumstances relating to whether a person who resides at the FDC residence is a fit and proper person to be in the company of children. This may include: 
    • if the person is changed with or convicted of:
      • a sexual offence
      • an offence of a violent nature
      • an offence involving drugs
      • an offence involving a weapon
    • if a person’s application for a working with children or vulnerable people check is revoked, suspended or rejected, or if the person is prohibited from working with children. 

Failure to comply with these requirements is an offence with a penalty of $2,200.

Family day care educators must seek approval from the approval provider if they plan to use a family day care educator assistant to provide education and care to children at the service. See Staffing Requirements and regulation 144 for what circumstances the assistant may be able to deliver education and care, including how much notice must be given to parents of children in attendance.

The requirement for educators to notify matters to the approved provider assists the approved provider to meet their obligations under the National Law.

National Regulations, Regulation 174(2)(c) ]

* It is expected that this information would then be notified by the approved provider to the regulatory authority as a circumstance arising at the service that poses a risk to the health, safety and wellbeing of children.

7.4 Management of records

Accurate record keeping assists in the management of the service, ensures the safety of children and provides a level of transparency and accountability for services, regulatory authorities and families.

Under the National Regulations, approved providers must:

  • keep and maintain certain records
  • ensure confidentiality and secure storage of records
  • have the records available for inspection by an authorised officer and, in some cases, parents of enrolled children.

Family day care educators are also responsible for the management of records.

Penalties apply if accurate records are not maintained.

What records must be kept

National Law & Regulations, Section 175, Regulations 177–179 ]

The following table describes what records and documents must be kept and for how long. Any other records must be kept for three years after the record was made.

Reasonable steps must be taken to make sure the documents are accurate.

Family day care

A family day care educator must:

  • keep the below documents (identified as the responsibility of family day care educators) for each child being educated and cared for
  • take reasonable steps to ensure the documents are accurate
  • provide all documents listed below to the approved provider when the educator is no longer engaged by or registered with the service.

The approved provider does not need to keep a document if the equivalent is kept by the family day care educator (see below).

See Confidentiality and storage of records (below) for more information on record inspections and confidential storage.

Storage of records and documents (Regulation 183)

Type of record

Responsibility

Timeframe

Reference

Evidence of current public liability insurance

Note: Does not apply if the insurance is provided by a state or territory government

Approved provider

Family day care educator

Ongoing

Available for inspection at service premises or family day care office

Regulations 29, 30, 180

Quality improvement plan

Approved provider

Ongoing, to be revised annually

Regulations 31, 55, 56

Child assessments or evaluations for delivery of the educational program

Approved provider
(Centre-based services)

Family day care educator

Until the end of 3 years after the child’s last attendance

Regulations 74, 183, 177(1)(a)


Regulation 178(1)(a)

Incident, injury, trauma and illness record

Approved provider

Family day care educator

Until the child is 25 years old. 

Note the Royal Commission into Institutional Responses to Child Sexual Abuse recommended institutions engaged in child-related work retain records relating to child sexual abuse that has, or is alleged to have occurred, for at least 45 years. 

Regulations 87, 183, 177(1)(b)

Regulation 178(1)(b)

Medication record

Approved provider

 

Family day care educator

Until the end of 3 years after the child’s last attendance

Regulations 92, 183, 177(1)(c)

Regulation 178(1)(c)

Child attendance record

Approved provider

Family day care educator

Until the end of 3 years after the last date on which the child was educated and cared for by the service

Regulations 158, 183, 177(1)(k)

Regulation 159;
Regulation 178(1)(d)

Child enrolment record

Approved provider

Family day care educator

Until the end of 3 years after the child’s last attendance

Regulations 160, 183, 177(1)(l)

Regulation 178(1)(e)

Death of a child while being educated and cared for by the service

Approved provider

Until the end of 7 years after the death

Regulations 12, 183(2)(c)

Record of service’s compliance history

Approved provider

Until the end of 3 years after the approved provider operated the service

Regulations 167, 183(2)(e)

Storage of records and documents (Regulation 183)

Type of record

Responsibility

Timeframe

Reference

For centre-based services only

Staff record

Approved provider

Until the end of 3 years after the staff member works for the service

Regulations 145, 183(2)(g)

Record of replacement of educator Approved provider Until the end of 3 years after the staff member works for the service Regulations 152A, 183(2)(f)
Record of replacement of early childhood teacher or suitably qualified person Approved provider Until the end of 3 years after the staff member works for the service Regulations 152B, 183(2)(f)

Record of access to early childhood teachers or suitably qualified person

Approved provider

Until the end of 3 years after the staff member works for the service

Regulations 152, 183(2)(f)

Record of educators working directly with children

Approved provider

Until the end of 3 years after the staff member works for the service

Regulations 151, 183(2)(f)

Record of volunteers and students, full name, address and date of birth details, days and hours in attendance, and working with children / vulnerable people check or teacher registration details

Approved provider

Until the end of 3 years after the volunteer or student attended the service

Regulations 149, 183(2)(f)

Record of responsible person in day-to-day charge including nominated supervisors placed in day-to-day charge

Approved provider

Until the end of 3 years after the staff member works for the service

Section 162

Regulations 145, 150, 177

Regular transportation of children records

Approved provider

Nominated supervisor

Until the end of 3 years after the last date on which the child was educated and cared for by the service Regulations 117(1)(o), 117(1)(p), 183(2)(d)

For family day care services only

Record of assessments of family day care residences and approved family day care venues

Approved provider

Until the end of 3 years after the record was made

Regulations 116, 183(2)(g)

Record of family day care staff (including educators, co-ordinators and assistants)

Approved provider

Until the end of 3 years after the staff member ceased working at the service

Regulations 154, 183(2)(f)

Record of visitors to family day care residence or approved family day care venue

Family day care educator

Until the end of 3 years after the record was made

Regulations 165, 183(2)(g)

Register of family day care educators, co-ordinators and assistants engaged by, or registered with, the service

Approved provider

Must be kept until 3 years after the date on which the family day care educator or co-ordinator ceased to be employed or engaged by or registered with the service

Regulation 153

Staff record – centre-based services

National Regulations, Regulations 145–152 ]

The staff record for a centre-based service must include the below information.

Information that must be included in a staff record (centre-based services)

Full name, address and date of birth of the nominated supervisor and each other staff member

Evidence of any relevant qualifications (or, if applicable, evidence the nominated supervisor or staff member is actively working towards that qualification) and approved training (including first aid training) held by the nominated supervisor and each other staff member

Record of evidence of fitness and propriety of staff members, volunteers and students: 

  • if the education and care service is located in a jurisdiction with a working with children law or a working with vulnerable people law, a record of the identifying number of the current check conducted under that law, and the check’s expiry date if applicable, OR
  • except in the case of NSW, Queensland and Tasmania, if the staff member, volunteer or student has provided proof of their current teacher registration, a record of the identifying number of the staff member, volunteer or student’s teacher registration and the expiry date of that registration
  • in Tasmania, a record of the identifying number of the staff member’s working with vulnerable people registration and the expiry date of that registration.  

The name of the person designated as the educational leader

Full name, address and date of birth of each student or volunteer who participates, and the date and hours of participation

The name of the responsible person for each time that children are being educated and cared for by the service

The name of each educator who works directly with children, including the hours that each educator works directly with children

Record of access to early childhood teachers or suitably qualified person, including:

  • for services providing education and care to less than 25 children preschool age or under, the period that an early childhood teacher is working with the service, including when the teacher did and did not work directly with children
  • for services providing education and care to 25 or more children preschool age or under, the period that an early childhood teacher is in attendance at the service.

See Quality Area 4: Staffing arrangements for information on responsible persons and minimum requirements for nominated supervisors.

Visit the ACECQA website to download an optional staff record template at www.acecqa.gov.au.

A sign in/out register, staff roster or time sheets might be some of the ways an approved provider can meet these requirements. The record should note the hours that each educator works directly with children and should exclude time spent off the floor for breaks, programming and preparation.

The requirement for approved providers to keep a record of educators working directly with children is intended to assist regulatory authorities to monitor compliance with educator to child ratio requirements and adequate supervision.

Regulation 151 does not dictate how the required information must be recorded. The provider may use a staff roster or time sheets to capture the required information, or an alternative method.

Authorised officers use a common sense approach. Authorised officers will not expect to see a record of breaks from working with the children if the breaks are short and are for matters such as going to the toilet, answering a phone call, talking to a parent or briefly checking paperwork. However, a record would need to be kept for rostered breaks, or if an educator is going into another room to do work away from the children for a longer period of time, for instance, preparing the programing for the next day.

Approved providers are encouraged to have a clear and accurate record of educators working directly with children to help demonstrate educator to child ratios are being met and children are adequately supervised at all times.

See Quality Area 4: Staffing requirements for information on educator to child ratios and Quality Area 2: Children’s health and safety for information on adequate supervision.

Records of family day care service staff

National Regulations, Regulations 153, 154 ]

In addition to a register of family day care educators, co-ordinators and educator assistants, the approved provider of a family day care service must keep a record of staff engaged or employed by the service.

Information that must be included in the record of family day care service staff

The name of the person designated as the educational leader.

The full name, address and date of birth of the nominated supervisor and each staff member.

Evidence of any relevant qualifications (or if applicable, the staff member is actively working towards that qualification), approved training (including first aid qualifications and training) and working with children checks (including identifying number and expiry date) held by the nominated supervisor, each staff member, volunteer and student.

Full name, address and date of birth of each student or volunteer who participates, and the date and hours of participation.

Visit the ACECQA website to download an optional template record of family day care staff at www.acecqa.gov.au. See example in the Appendix - Template record of staff for optional use or tailoring.

Children’s attendance record

National Regulations, Regulations 158–159 ]

The approved provider must ensure a record of attendance is kept for the service that:

  • records the full name of each child attending the service
  • records the date and time each child arrives and departs
  • is signed at the time the child arrives and departs by either the person who delivers the child or collects the child, or the nominated supervisor or an educator.

A preschool program provided by a school is not required to comply with this requirement if it keeps attendance records in accordance with the education law or government education department policy that applies in that jurisdiction.

Family day care

The family day care educator must keep a record of attendance for each child attending the educator’s residence or venue that:

  • records the full name of each child
  • records the date and time each child arrives and departs
  • is signed at the time the child arrives and departs by either the person who delivers the child or collects the child, or if the signature of the person who delivers the child cannot reasonably be obtained, the family day care educator.

The family day care educator’s own children (under 13 years of age) do not need to be signed in and out each day. However, keeping a record of when the educator is caring for their own children while also educating and caring for children as part of the service can assist the provider to make sure ratio requirements are met.

The approved provider does not need to keep the record of attendance if it is kept by the family day care educator (see regulation 177(5)).

Children’s enrolment record

National Regulations, Regulations 102, 102D, 160–162 ]

The approved provider must ensure that an enrolment record is kept for each child enrolled at the service. The family day care educator must keep an enrolment record for each child educated and cared for by the educator. The enrolment record must include the information below.

Information that must be included in enrolment record

Full name, date of birth and address of the child

The name, address and contact details of:

  • each known parent of the child
  • any emergency contact
  • any authorised nominee
  • any person authorised to consent to medical treatment or administration of medication
  • any person authorised to give permission to the educator to take the child off the premises
  • any person authorised to give permission for the child to be taken outside the premises on an excursion 
  • any person authorised to give permission for the child to be taken outside the premises on transport provided, or arranged, by the service

Details of any court orders, parenting orders or parenting plans

Gender of the child

Language used in the child’s home

Cultural background of the child and their parents

Any special considerations for the child, such as cultural, dietary or religious requirements or additional needs

Authorisations for:

  • the approved provider, nominated supervisor or an educator to seek medical treatment and/or ambulance transportation for the child
  • the service to take the child on regular outings
  • the service to transport the child during regular transportation

Name, address and telephone number of the child’s registered medical practitioner or medical service

Medicare number (if available)

Details of any specific healthcare needs of the child, including any medical conditions, allergies, or diagnosis that the child is at risk of anaphylaxis

Any medical management plan, anaphylaxis medical management plan or risk minimisation plan

Dietary restrictions

Immunisation status

If the approved provider or a staff member has sighted a child health record, a notation to that effect

In NSW, certificates for immunisation or exemption for the child, as required under the Public Health Act 2010 NSW

In VIC, certificates for immunisation, as required under the Public Health and Wellbeing Act 2008 VIC which excludes outside school hours care or school holiday care services.

Transferring a service approval

National Regulations, Regulation 184 ]

If a service approval is transferred, the transferring approved provider must transfer the documents required under regulation 177 (see above) to the receiving provider if they relate to children currently enrolled at the service. The transfer must not occur without the permission of a parent of the child.

Record of service’s compliance

National Regulations, Regulation 167 ]

The approved provider must keep a record of the service’s compliance. The record must include:

  • details of any amendment to the service approval made by the regulatory authority under section 55 of the National Law
  • details of any suspension of the service approval, other than a voluntary suspension
  • details of any compliance direction or notice issued to the approved provider in respect of the service.

The record must not include any information that identifies someone other than the approved provider. The details of an amendment, suspension, compliance direction or notice do not need to be included if the period for seeking review has not yet expired or a review request has not yet been determined. Details also do not need to be included if a review has been conducted and the amendment, suspension, compliance notice or compliance direction was not confirmed.

Regular transportation records 

Note: These regulations only apply to centre-based services. 

 

National Regulations, Regulations 102E and 102F ]

The approved provider and nominated supervisor must ensure that records are made when a child is transported during regular transportation provided or arranged by an education and care service.

A record must be made immediately after all children have embarked the vehicle that states:

  • Confirmation that each child was accounted for when embarking the vehicle at the education and care service premises
  • How each child was accounted for when embarking the vehicle at the education and care service premises
  • The name and signature of the person who accounted for the children who embarked
  • The time and date the record was made. 

A record must be made immediately after all children have disembarked the vehicle that states: 

  • Confirmation that each child was accounted for when disembarking the vehicle at the education and care service premises
  • How each child was accounted for when disembarking the vehicle at the education and care service premises
  • That the interior of the vehicle was checked after all children disembarked the vehicle at the education and care service premises
  • The name and signature of the person or persons who accounted for the children who disembarked and completed the check of the vehicle
  • The time and date the record was made. 

These records must be kept until the end of 3 years after the last date on which the child was educated and cared for by the service. 

As long as all of these requirements are met, these records may be kept in one document. 

Insurance information

National Law & Regulations, Section 51, Regulations 29–30, 180 ]

The approved provider must keep evidence of the current insurance at the education and care service premises or, for a family day care service, at the principal office. A family day care educator must keep evidence of the educator’s current public liability insurance at the residence or family day care venue.

This evidence, usually in the form of a ‘certificate of currency’, must be made available for inspection by the regulatory authority or an authorised officer.

This does not apply if the insurance (or indemnity) for the education and care service is provided by a state or territory government.

Regulation 29 requires approved providers to hold an insurance policy that has adequate cover for each of the provider’s services against public liability with a minimum cover of $10 million. Additionally, approved providers of Family Day Care services are also required under regulation 30 to ensure that each Family Day Care educator engaged by, or registered with, the service holds insurance against public liability with a minimum cover of $10 million.

Ensuring the safety, health and wellbeing of children attending education and care services is a key objective of the NQF, which is underpinned by a guiding principle that the rights and best interests of children are paramount. In determining the adequacy of coverage under regulations 29 and 30, policies of insurance obtained by providers and educators should address categories of public liability that may reasonably present a risk to the safety, health and wellbeing of children in the context of children’s education and care settings. At a minimum, policies must cover death of a child or adult, injury to a child or adult, or mistreatment of, or harm to, a child or adult .

 As regulations 29 and 30 also require insurance policies against public liability to have a minimum cover of $10 million, policies that reduce the amount of coverage payable to an amount below $10 million for a category of public liability that is material to addressing risk to the safety, health and wellbeing of children would not meet the requirements of regulations 29 and 30.

7.5 Confidentiality and storage of records

Documents to be available for inspection by authorised officers

 

National Law, Section 175 ]

The documents that an approved provider must keep under the National Regulations must be available for inspection by an authorised officer.

To the extent practicable, an approved provider must keep the documents set out in regulation 177 at the service premises if they relate to:

  • the operation of the service in the previous 12 months; or
  • any staff member employed or engaged by the service in the previous 12 months; or
  • any child educated and cared for at those premises in the previous 12 months.

In any other case, the documents must be kept at a place and in a manner that is readily accessible by an authorised officer.

The documents that a family day care educator must keep under the National Regulations must be available for inspection by an authorised officer at the educator’s family day care residence or approved family day care venue.

Records required to be kept under an education law in relation to a preschool within a school may be used to satisfy the recordkeeping requirements of the National Law or the National Regulations. This is consistent with the objective of the National Quality Framework to reduce regulatory burden.

Access to documents

 

National Regulations, Regulation 177, 178 ]

The following documents relating to a child must be made available to a parent of the child on request (unless limited by a court order):

  • the documentation of child assessments or evaluations for delivery of educational programs
  • an incident, injury, trauma and illness record
  • a medication record
  • a children’s attendance record, or
  • a child’s enrolment record. 

If any of these documents will disclose the personal information of one of the following people, the consent of that person must first be obtained before the approved provider or a family day care educator can disclose the information: 

  • a parent of a child, other than the person requesting the information
  • a person required to be notified of an emergency if a parent cannot be contacted
  • an authorised nominee of a child
  • a person authorised to consent to medical treatment or to authorise the administration of medication to a child
  • a person authorised to authorise an educator to take a child outside the service premises, and
  • a person authorised to authorise the service to transport or arrange transportation of a child. 

Consent must be expressly made in writing. Best practice is to check the currency of consent before each disclosure is made. Consent may be withdrawn at any time after it has been given. Withdrawal of consent must be in writing.

Personal information is defined in the Privacy Act 1988 (Cth) and includes any information about an identified individual, such as their home address, email address, telephone number, date of birth, medical records, bank account details, and tax file number.

The record of the service’s compliance must be able to be accessed by any person on request. These documents should only have information specific to their child.

Confidentiality

 

National Regulations, Regulations 181, 182 ]

The approved provider and the family day care educator must ensure that information kept in a record under the National Regulations is not divulged or communicated, directly or indirectly, to another person other than in the situations listed below.

Circumstances in which confidential information may be disclosed

To the extent necessary for the education and care or medical treatment of the child to whom the information relates

A parent of the child to whom the information relates (except information in a staff record)

The regulatory authority or an authorised officer

As expressly authorised, permitted or required to be given by or under any act or law

With the written consent of the person who provided the information

For a family day care educator – the approved provider or a nominated supervisor of the family day care service.

Confidential information may be communicated if authorised or required under any act or law, or if the person who provided the information gives written permission. For example, a parent may give written permission for the service to share information about their child with a support agency such as Inclusion Support. 

Storage of records and other documents

National Regulations, Regulation 183 ]

The approved provider must ensure the documents kept under regulation 177 are stored in a safe and secure place and for the relevant period. The relevant period for different types of records is set out below.

Records may be kept in hard copy or electronic form, provided they are accessible as required.

Timeframes for keeping records

If the record relates to an incident, illness, injury or trauma suffered by a child while being educated and cared for by the service, or may have been suffered following an incident that occurred while being educated and cared for at the service, until the child is aged 25

If the record relates to the death of a child while being educated and cared for by the service, or that may have occurred as a result of an incident while being educated and cared for by the service, until seven years after the death

In the case of any other record relating to a child enrolled at the service, until the end of three years after the last date on which the child was educated and cared for by the service

If the record relates to the approved provider, until the end of three years after the last date on which the approved provider operated the service

If the record relates to a nominated supervisor or a staff member, until the end of three years after the last date on which the nominated supervisor or staff member provided education and care on behalf of the service

If the record relates to regular transportation, until the end of 3 years after the last date on which the child was educated and cared for by the service. 

In the case of any other record, until the end of three years after the date on which the record was made.

The prescribed records and information must be stored in a safe and secure place. This means the information should remain confidential and only accessible by a person who has the authority to do so (which includes authorised officers). For example, through storage in a locked filing cabinet or locked room, or stored electronically in a secure manner (such as password protected).

Authorised officers may discuss with the approved provider and family day care educator what steps they take to ensure documents are kept confidential, including a discussion of any policies and procedures that relate to the governance and management of the service, including the confidentiality of records.

Storage of records after service approval transferred

National Regulations, Regulations 181–184 ]

If a service approval is to be transferred, the transferring approved provider must obtain consent from parents to transfer their children’s records listed in regulation 183 (see table below) to the new approved provider on the date the transfer takes effect.

Law and Regulations to be accessible

National Regulations, Regulation 185 ]

The approved provider must ensure that a copy of the National Law and Regulations is accessible at the education and care service premises at all times for use by nominated supervisors, staff members, volunteers, parents of children enrolled at the service and any person seeking to make use of the service.

For a family day care service, a copy of the National Law and Regulations should be accessible at the principal office of the service and each educator’s residence or venue. It can be an electronic copy.

7.6 Other staffing arrangements and related notifications and records

Note: See Quality Area 4 – Staffing arrangements for more information on responsible persons, qualifications, education leadership and family day care arrangements.

Register of family day care educators, co-ordinators and assistants

National Law & Regulations, Section 269, Regulation 153 ]

The approved provider of a family day care service must keep at its principal office a register of each family day care educator, co-ordinator and assistant and any other person engaged by or registered with a family day care service to educate and care for a child.

The approved provider must take reasonable steps to ensure the information contained in the register is accurate. Failure to do so will result in a penalty of $2,200 in the case of an individual, and $11,400 in any other case.

The approved provider must provide any information on the register and any changes to the information on the register to the regulatory authority on request within 24 hours of the request. Failure to do so attracts a penalty of $4500 in the case of an individual, and $22,900 in any other case.

It is an offence not to keep a register of family day care educators at the principal office of the service that contains the required information in respect of each family day care educator engaged by or registered with the service, each family day care co-ordinator employed or engaged by the service and each family day care educator assistant engaged by or registered with the service ($4,500 in the case of an individual, and $22,900 in any other case).

It is an offence if the approved provider does not provide any information on the register and any changes to the information on the register to the regulatory authority on request within 24 hours of the request. It is an offence not to provide information to the regulatory authority as required ($4,500, in the case of an individual, and $22,900 in any other case).

What should be included on the register?

National Regulations, Regulation 153 ]

The register of family day care educators, co-ordinators and assistants must include the information below in relation to each family day care educator, co-ordinator and assistant engaged by or registered with the service.

Information held on the register in relation to a family day care educator, a family day care co-ordinator or a family day care educator assistant must be kept on the register until the end of 3 years after the date on which the family day care educator, the family day care co-ordinator or the family day care educator assistant ceased to be employed or engaged by or registered with the service.

Information that must be included in the register of family day care educators, co-ordinators and assistants

For family day care educators

The full name, address and date of birth of the educator

The contact details of the educator

The address of the residence or approved family day care venue where the educator will be providing education and care to children as part of the service, including a statement as to whether it is a residence or a venue

The date the educator was engaged by, or registered with, the service

When applicable, the date the educator ceased to be engaged by or registered with the service for the period of 3 years following that date

The days and hours when the educator will usually be providing education and care to children as part of the service

If the educator is an approved provider, the number of the provider approval and the date approval was granted

Evidence:

  • of any relevant qualifications held by the educator or
  • if applicable, that the educator holds an approved certificate III level qualification* and is actively working towards either a diploma or ECT qualification.

*Transitional provisions apply for existing educators in some jurisdictions. Please check the legislation for commencement dates in Western Australia.

Evidence the educator has completed:

  • current approved first aid qualification
  • current approved anaphylaxis management training
  • current approved emergency asthma management training.

Evidence of any other training completed by the educator.

The name and date of birth of each child the educator cares for, and the days and hours that the educator usually provides care to that child.

If regulation 124(6) applies, a record of an approval granted in relation to the educator operating with more than seven children, or more than four children who are preschool age or under, due to exceptional circumstances, including:

  • the nature of exceptional circumstances described in regulation 124(6)
  • the date on which the approval was granted
  • the name of the person who granted the approval 
  • for each child educated and cared for as part of the approval, the child’s name and date of birth
  • the period during which the educator is approved to educate and care for more than seven children, or more than four children who are preschool age or under, at any one time, in exceptional circumstances.

The full name and date of birth of other people who normally reside at the family day care residence and a record of any working with children or working with vulnerable people check for those people, including the identifying number and expiry date, and date sighted by the approved provider or nominated supervisor of the service.

Evidence that each educator is adequately monitored and supported by a co-ordinator, including:

  • dates and times of the co-ordinator's visits to the residence or venue or phone calls between the co-ordinator and educator for the purpose of monitoring or support
  • details of any correspondence or written materials provided to the educator by the co-ordinator for the purpose of monitoring or support, and the dates and times the information was provided.

If the educator will be providing education and care to children in a jurisdiction with a working with children law or a working with vulnerable people law, a record of the identifying number of the check conducted or card issued under that law and the expiry date of that check or card (if applicable).

For family day care co-ordinators

The full name, address and date of birth of the co-ordinator

The contact details of the co-ordinator

The date the co-ordinator was employed or engaged by the service

When applicable, the date the co-ordinator ceased to be employed or engaged by the service (for a period of 3 years following that date)

If the co-ordinator is an approved provider, the number of the provider approval and the date the approval was granted

Evidence of any relevant qualifications held by the co-ordinator

If the co-ordinator will be providing education and care to children, evidence the co-ordinator has completed:

  • current approved first aid qualification
  • current approved anaphylaxis management training
  • current approved emergency asthma management training

Evidence of any other training completed by the co-ordinator

If the co-ordinator will be working in a jurisdiction with a working with children law or a working with vulnerable people law, a record of the identifying number of the check conducted or card issued under that law and the expiry date of that check or card (if applicable) record of the date that the check, card, record or registration was sighted by the approved provider or nominated supervisor of the service.

For family day care educator assistants

The full name, address and date of birth of the educator assistant

The contact details of the educator assistant

The name of the family day care educator to be assisted by the educator assistant

The address of the residence or approved family day care venue where the educator assistant will be providing education and care to children as part of the service, including a statement as to whether it is a residence or a venue

The date the educator assistant was engaged by, or registered with, the service

When applicable, the date the educator assistant ceased to be engaged by or registered with the service (for a period of 3 years following that date)

If the educator assistant is an approved provider, the number of the provider approval and the date the approval was granted

Evidence of any relevant qualifications held by the educator assistant

Evidence the educator assistant has completed:

  • current approved first aid qualification
  • current approved anaphylaxis management training
  • current approved emergency asthma management training

Evidence of any other training completed by the educator assistant

If the educator assistant will be working in a jurisdiction with a working with children law or a working with vulnerable people law, a record of the identifying number of the check conducted or card issued under that law and the expiry date of that check or card (if applicable), record of the date that the check, card, record or registration was sighted by the approved provider or nominated supervisor of the service

Visit the ACECQA website to download a copy of the below (optional) template register of family day care educators at www.acecqa.gov.au.

Residents and family day care educator assistants to be fit and proper

 

National Regulations, Regulations 163, 169 ]

The approved provider of a family day care service must take reasonable steps to ensure that family day care educator assistants and anyone aged 18 years or over who live at the family day care residence are fit and proper people to be in the company of children.

The approved provider must consider the person’s history in the following ways in each state or territory.

Australian Capital Territory

Northern Territory

South Australia

Western Australia

One of the following:

  • a criminal history check issued in the previous six months
  • a current working with children check or card, relevant history assessment as per child protection law or working with vulnerable people check based on a criminal history record check
  • a current teacher registration.

New South Wales

Current working with children check or card.

Queensland

Current working with children check or card.

Victoria

Current working with children check or current teacher registration.

Tasmania

Working with vulnerable people registration.

 

National Regulations, Regulations 164 ]

The approved provider of a family day care service must require each family day care educator to notify the provider of:

  • any new persons aged 18 years or over who live, or intend to live, at the educator’s family day care residence
  • any circumstance relating to a person at the residence or venue that may affect whether the person is a fit and proper person to be in the company of children, including: 
    • if the person is changed with or convicted of:
      • a sexual offence
      • an offence of a violent nature
      • an offence involving drugs
      • an offence involving a weapon.
    • if a person’s application for a working with children or vulnerable person check is revoked, suspended or rejected, or if the person is prohibited from working with children.

The family day care educator must notify the approved provider of the above. However, is not required to provide specific details of the circumstances relating to whether a person is fit and proper to be in the company of children. 

Visitors to family day care residences and venues

 

National Regulations, Regulations 165, 169 ]

An approved provider must take all reasonable steps to ensure a record of all visitors to a family day care residence or approved family day care venue is kept. A family day care educator must keep a record of all adult visitors to the educator’s residence or venue while children are being educated and cared for at the residence or venue. The record must include the signature of the visitor and the time of arrival and departure.

A sample (optional) template is included at the back of this section. This template may be adapted for use by individual services, or providers might develop their own.

 

National Regulations, Regulations 166, 169 ]

The approved provider must take all reasonable steps to make sure a child being educated and cared for is not left alone with a visitor. The family day care educator must not leave a child being educated and cared for at the residence or venue alone with a visitor. An approved provider must have policies and procedures in place to ensure children are not left alone with visitors in a family day care residence or venue.

See Supervising unauthorised persons below for information about who is considered to be a visitor under the National Law.

Supervising unauthorised persons

 

 

National Law, Section 170   TAS   ]

An approved provider and nominated supervisor (except for those in Tasmania) must ensure an unauthorised person does not remain on the education and care service premises while children are being educated and cared for, unless the person is under the direct supervision of an educator or other staff member.

A family day care educator (except for those in Tasmania) must ensure an unauthorised person does not remain on the premises while children are being educated and cared for, unless the person is under the direct supervision of the educator. In Tasmania, the Registration to Work with Vulnerable People Act 2013 provisions apply.

People who are not an unauthorised person

A person who holds a current working with children check or card

A parent or family member of a child at the service (not including a parent or family member whose access to the child is prohibited by a court or tribunal order, of which the approved provider, nominated supervisor or family day care educator is aware, or who is an inappropriate person)

An authorised nominee of a child at the service

In the case of an emergency, medical or emergency service personnel

A person who is permitted under the relevant working with children law to remain at the service premises without holding a working with children check or card.

Parents, family members and authorised nominees are not unauthorised persons and therefore are not required to be directly supervised while on the education and care service premises. Similarly, educators who are part of the family day care service are registered with the service and considered to be an appropriate person to educate and care for children, so are not considered to be an unauthorised person. This also applies to the co-ordinator of the family day care service.

The National Law does not require an approved provider or nominated supervisor of a centre-based service to keep a record of visitors. However, they may decide to keep a visitor’s book to help ensure any unauthorised persons do not remain at the service unless under direct supervision.