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  2. Guide to the NQF
  3. Section 3: National Quality Standard and Assessment and Rating
  4. Quality Area 7: Governance and leadership
  5. Standard 7.1: Governance
  6. Element 7.1.2: Management systems

Table of contents

Element 7.1.2: Management systems

Systems are in place to manage risk and enable the effective management and operation of a quality service.

 

National Law and National Regulations underpinning Element 7.1.2

Section 21 Reassessment of fitness and propriety

Section 51(2) Conditions on service approval (FDC co-ordinators)

Section 56 Notice of addition of nominated supervisor

Section 56A Notice of change of a nominated supervisor’s name or contact details

Section 161 Offence to operate education and care service without nominated supervisor

Section 161A Offence for nominated supervisor not to meet prescribed minimum requirements

Section 162 Offence to operate education and care service unless responsible person is present

Section 162A Persons in day-to-day charge, nominated supervisors and family day care co-ordinators to have child protection training

Section 163 Offence relating to appointment or engagement of family day care co-ordinators

Section 164 Offence relating to assistance to family day care educators

Section 164A Offence relating to the education and care of children by family day care service

Section 165 Offence to inadequately supervise children

Section 166 Offence to use inappropriate discipline

Section 167 Offence relating to protection of children from harm and hazards

Section 168 Offence relating to required programs

Section 169 Offence relating to staffing arrangements

Section 170 Offence relating to unauthorised persons on education and care service premises

Section 171 Offence relating to direction to exclude inappropriate persons from education and care service premises

Section 172 Offence to fail to display prescribed information

Section 173 Offence to fail to notify certain circumstances to Regulatory Authority

Section 174 Offence to fail to notify certain information to Regulatory Authority

Section 174A Family day care educator to notify certain information to approved provider

Section 175 Offence relating to requirement to keep enrolment and other documents

Section 188 Offence to engage person to whom prohibition notice applies

Section 269 Register of family day care educators, co-ordinators and assistants

Regulation 158 Children’s attendance record to be kept by approved provider

Regulation 159 Children’s attendance record to be kept by family day care educator

Regulation 160 Child enrolment records to be kept by approved provider and family day care educator

Regulation 161 Authorisations to be kept in enrolment record

Regulation 162 Health information to be kept in enrolment record

Regulation 163 Residents at family day care residence and family day care educator assistants to be fit and proper persons

Regulation 164 Requirement for notice in relation to persons at residence

Regulation 165 Record of visitors

Regulation 166 Children not to be alone with visitors

Regulation 167 Record of service’s compliance

Regulation 168 Education and care service must have policies and procedures

Regulation 169 Additional policies and procedures

Regulation 170 Policies and procedures to be followed

Regulation 171 Policies and procedures to be kept available

Regulation 172 Notification of change to policies and procedures

Regulation 173 Prescribed information to be displayed—education and care service other than a family day care service

Regulation 173A Prescribed information to be displayed—family day care service

Regulation 174 Time to notify certain circumstances to Regulatory Authority

Regulation 174A Prescribed information to accompany notice

Regulation 175 Prescribed information to be notified to Regulatory Authority

Regulation 176 Time to notify certain information to Regulatory Authority

Regulation 176A Prescribed information to be notified to approved provider by family day care educator

Regulation 177 Prescribed enrolment and other documents to be kept by approved provider

Regulation 178 Prescribed enrolment and other documents to be kept by family day care educator

Regulation 179 Family day car educator to provide documents on leaving service

Regulation 180 Evidence of prescribed insurance

Regulation 181 Confidentiality of records kept by approved provider

Regulation 182 Confidentiality of records kept by family day care educator

Regulation 183 Storage of records and other documents

Regulation 184 Storage of records after service approval transferred

Regulation 185 Law and regulations to be available

Jurisdiction specific provisions

Tasmania – Regulation 344 Working with vulnerable people registration—staff members

Victoria – Regulation 358 Working with children check to be read

Victoria – Regulation 359 Criminal history record check to be read and considered

What Element 7.1.2 aims to achieve

Efficient and effective systems

Efficient and effective management systems allow the service to identify and manage organisational risks in a timely manner, and carry out risks assessments as required to manage foreseeable risks to children’s safety and wellbeing (see Element 2.2.1). Effective management systems support the educational leader, nominated supervisor and educators in their planning, delivery and reflection on the educational program, and the development of strategies to continuously improve. When educators have adequate time and administrative support to perform their roles, they can focus on delivering a quality service to children and their families.

Confidentiality and records management systems

Services are required to safely store and maintain the confidentiality and currency of information provided by families, service staff and other stakeholders. This builds families’ confidence in the service’s records management practices, and is an indicator of the level of professionalism at the service.

Administrative systems

The approved provider is required to:

  • ensure that the service operates in compliance with the National Law, the National Regulations and the National Quality Standard
  • liaise with the regulatory authority when required.

The approved provider must ensure that there are adequate systems in place to maintain the effective, compliant operation of the service.

Complaints management system

An effective complaints and grievance management system confirms to staff, families and the community that complaints and grievances are taken seriously and investigated promptly, fairly and thoroughly. Effective management of complaints may inform quality improvement processes and is an efficient way of considering and acting on feedback from families.

Notifying the regulatory authority of operational changes, incidents and complaints

The approved provider must notify the regulatory authority of certain circumstances and information, including any:

  • significant changes to the operation of the service, including changes to the hours and days of operation of the service, and, for centre-based services, if the service commences providing and/or arranging regular transport for children as part of the service, or if a service ceases providing and/or arranging regular transportation of children
  • for centre-based services, any change to the range of ages of children to be educated or cared for by a service 
  • for centre-based services, any change to the nature of education and care to be provided by a service
  • changes relevant to the fitness and propriety of the approved provider
  • complaints that may impact on the regulatory authority’s consideration of provider or service approvals
  • complaints alleging that a serious incident has occurred or is occurring while a child was or is being educated and cared for by the service*, or the National Law has been contravened
    * In WA the approved provider must notify of complaints alleging that the safety, health or wellbeing of a child (or children) has been compromised, or the National Law has been contravened
  • serious incidents that occur at the service
  • any incident 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.

Documented policies and procedures

The service should ensure that policies and procedures are well-documented, maintained and easily accessible to staff members and families. This supports the service to implement practices that are based on the service’s policies and procedures.

Regularly reviewing policies and procedures in collaboration with families supports a shared understanding of the service’s practices.

Risk management and employing fit and proper staff

Fitness and propriety describes a person’s suitability to be involved in the operation of an education and care service. Prior to granting provider approval or service approval, regulatory authorities assess whether the applicant applying for provider approval is fit and proper to provide an education and care service. The approved provider is responsible for assessing a person’s suitability for the roles of nominated supervisor and responsible person at the service.

The approved provider, nominated supervisor and responsible person must remain fit and proper for the service to operate under their management.

When a family day care service is provided in an educator’s home, adults who reside on the premises must be assessed as, and remain, fit and proper for the service to operate.

Checking and maintaining accurate records that relate to the fitness and propriety of all staff assists in safeguarding children against risks to their safety and wellbeing.

Thorough recruitment processes emphasising a commitment to children’s safety and wellbeing, including through advertisement, interview processes and candidate reference checks support a child safe organisational culture.

Assessment guide for meeting Element 7.1.2 (for all services)

Records management

Assessors may observe:

 
  • the facilities for storage of confidential records that are at the service or are immediately accessible by the service
  • program information being shared in a way that respects the rights of children and families to privacy and confidentiality.

Assessors may discuss:

 
  • the processes in place at the service for reviewing and updating records and information on a regular basis
  • the service’s practice in relation to the retention and disposal of records.

Assessors may sight:

 
  • the following records available and kept for the required length of time:
    • evidence of current public liability insurance (this does not apply if the insurance is provided by a state or territory government)
    • a Quality Improvement Plan
    • child assessments
    • an incident, injury, trauma and illness record
    • a medication record
    • the child attendance record
    • the child enrolment record
    • the record of the death of a child while being educated and cared for by the service
    • a record of the service’s compliance history
    • a record of the responsible person in day-to-day charge
    • the name of the person designated as the educational leader
    • the nominated supervisor’s written consent to the nomination
    • the record of volunteers and students

Centre-based services
  • the record of how children were accounted for as they embarked and disembarked a vehicle at the service premises during regular transportation
  • the record, including the name and signature of the person or persons who confirmed that the children were accounted for as they embarked and disembarked a vehicle at the service premises during regular transportation 
  • the record, including the name and signature of the person or persons who confirmed that a check of the interior of the vehicle was completed at the education and care service premises after a period of regular transportation
  • staff records, including:
    • the names of responsible persons for each time that children are being educated and cared for by the service
    • the record of educators working directly with children

Family day care
  • records of:
    • family day care
    • visitors to family day care residences or approved family day care venues
    • working with children checks for residents aged 18 years and over (or other checks as required, depending on the service’s jurisdiction:
      see       Regulation 163)
    • assessments of family day care residences and approved family day care venues
 
  • evidence that the educator is adequately monitored and supported by a family day care co-ordinator, including records of visits by the co-ordinator to the family day care residence or family day care venue, and any correspondence provided by the co-ordinator for the purpose of monitoring or support to the educator
  • evidence that records are stored appropriately to protect confidentiality
  • that the following prescribed information is displayed:
    • provider approval, including:
      • the approved provider name
      • the provider’s approval number
      • any conditions relating to the provider approval
    • service approval, including:
      • the name of the approved service
      • the service approval number
      • any conditions or waivers relating to the service approval
    • service or temporary waivers, including:
      • the National Regulations that have been waived
      • the duration of the waiver
      • whether the waiver is a service or a temporary waiver
    • nominated supervisor, including:
      • the name of the nominated supervisor
    • service rating, including the:
      • current ratings for each quality area under the National Quality Framework
      • overall rating of the service (a ratings certificate, which outlines the overall rating of the service and the current rating levels for each quality area, must also 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)
    • service operation, including the:
      • opening days and hours
      • name and phone number of the responsible person in charge at any given time
      • name and phone number of the person who can be contacted for a complaint
      • name of the educational leader
      • contact details of the Regulatory Authority
    • health and safety, including a notice:
      • stating that a child at risk of anaphylaxis is enrolled at the service, if applicable
      • of an occurrence of an infectious disease at the service, if applicable.

Family day care
  • a diagram showing the areas of the family day care residence or approved venue indicating the areas of the residence or venue suitable for the provision of education and care to children.

 

Administrative systems

Assessors may observe the availability of information technology for administration, planning, evaluation and communication purposes, including for communication with families.

Assessors may discuss:

 
  • the role of the nominated supervisor in the service
  • procedures that apply to educators when requesting specific resources to support program delivery
  • human resource management procedures including recruitment and selection, leave, rosters and access to training and development
  • opportunities for all staff members to comment on and improve the effectiveness of systems within the service.

Assessors may sight examples of internal communications, such as meeting minutes, distribution of notices and staff bulletins.

Notifications to the regulatory authority

Assessors are unlikely to observe practice in relation to this element.

Assessors may discuss:

 
  • the process the service has in place for informing the regulatory authority about relevant changes
  • the service’s processes for notifying the regulatory authority of required matters
  • with the nominated supervisor, examples of the types of incidents they consider to be serious, which would require notification to the regulatory authority.

Assessors may sight:

 
  • information displayed in staff areas about the required notifications
  • records of notifications to the Regulatory Authority
  • records held by the regulatory authority in relation to complaints against the service that allege a breach of legislation or a serious incident.

Complaints management

Assessors are unlikely to observe practice in relation to this element.

Assessors may discuss:

 
  • the management of any complaints or grievances lodged with the service
  • how educational leaders, educators, nominated supervisors, co-ordinators and staff members listen to, document and follow up issues raised by children, families and other stakeholders.

Assessors may sight:

 
  • a documented grievance and complaints management procedure
  • evidence that grievances and complaints are investigated and documented in a timely manner
  • evidence that complaints lead to amendments to policies and procedures as required
  • information for families on how complaints and grievances are made and how they are managed by the service.

Documented policies and procedures

Assessors may observe that the service’s practices are consistent with documented policies and procedures.

Assessors may discuss:

 
  • the provision of information about the service’s policies and practices to parents/families prior to the child’s attendance at the service
  • the ways in which families are encouraged to contribute to the development and review of policies
  • how families are explicitly informed of policy changes.

Assessors may sight the following required policies and procedures available at the service, which are also available to families:

 
  • health and safety policies and procedures, including:
    • delivery and collection of children
    • excursions or transportation provided or arranged by the service
    • refusal of authorisation for a child to leave the service
    • dealing with infectious disease
    • dealing with medical conditions
    • emergency and evacuation
    • health and safety, which covers:
      • nutrition, food and beverages, dietary requirements
      • sun protection
      • sleep and rest for infants and children
      • water safety
      • the administration of first aid
    • incident, injury, trauma and illness
    • a child-safe environment
  • staffing policies and procedures, including:
    • a code of conduct
    • determining the responsible person present
    • the participation of volunteers and students
  • relationships with children policies and procedures, including interactions with children
  • service management policies and procedures, including:
    • governance and management of the service, and confidentiality of records
    • enrolment and orientation
    • payment of fees
    • dealing with complaints

Family day care
  • the assessment, approval and reassessment of approved family day care residences and family day care venues
  • the engagement or registration of family day care educators
  • keeping a register of family day care educators
  • monitoring, support and supervision of family day care educators
  • fit and proper assessment of family day care educators and assistants and adults residing at family day care residences
  • visitors to family day care residences and venues
  • provision of information, assistance and training to family day care educators
  • engagement and registration of family day care educator assistants.

Fit and proper staff

Assessors are unlikely to observe practice in relation to this element during a site visit.

Assessors may discuss:

 
  • with service staff their understanding of their responsibilities under the relevant child protection legislation
  • with the approved provider the fitness and propriety of nominated supervisors

Family day care
  • the service’s approach to ensuring the fitness and propriety of adults who reside in educators’ homes when the education and care service is provided to children.

Assessors may sight evidence:

 
  • in the staff record of sighting, and recording the identifying number and expiry date of, working with children checks (or equivalent as required in Part 4.4 Divisions 9 and 10 of the National Regulations)
  • of required safety screening clearance for:
    • educators, co-ordinators, family day care educator assistants and staff members prior to engagement at the service

Family day care
  • residents aged 18 years and over.